Daniel Correa Email & Phone Number

Tampa, FL, US

Tampa/St. Petersburg, Florida Area

Tampa, Florida

Tampa/St. Petersburg, Florida Area

• Reviewed, prepared, and processed Mutual Fund corporate actions/fund events, received via emails to the department inbox, from Fund Companies, Transfer Agents or Record Keepers. Changes were processed on the internal.
• Corporate actions could include fund liquidations, mergers, share class exchanges, fund closings, stock splits, name changes, Cusip changes, symbol changes, policy changes or 22c-2 requests.
• Wrote the procedures for all facets of the Corporate Actions/Fund Events.
• Reviewed and processed Retirement Plan Investment Changes (PLIC) from email requests submitted to the JIRA system by retirement plan advisors or Business Relations Consultants.
• PLIC requests for the plans could include adding, deleting and/or replacing standalone funds to the plans. Adding or updating a Default Fund, that could include a table of funds based on a range of participant Date of.
• Quality Controlled processing of the PLICs of my co-workers.

Tampa/St. Petersburg, Florida Area

Tampa/St. Petersburg, Florida Area

• Sr MF Security Setup Support Associate Operations Representative III, Operations Technical Specialist, Security Setup Specialist I
• Responsible for set up of all data points for open end Mutual Fund securities of the Mutual Fund Companies that Raymond James had a selling agreement with. Set up of funds on the Raymond James Product Profile system.
• Monitored and processed items that were sent by fund companies and Transfer Agencies to the Mutual Fund information updates email inbox. Items sent could include, Fund mergers, liquidations, fund closings, names.
• Answered phones calls, as needed, from other departments and Financial Advisors pertaining to inquiries on open end Mutual Funds currently set up on the system, and 529 College Savings Funds and other Raymond James.

Milwaukee, WI

• Responsible for contacting broker/dealers in order to resolve NSCC automated trade rejects, and for the purpose of minimizing losses on the rejects.
• Processed adjustments of trades taken outside of the NSCC system, including purchases, redemptions, transfers, maintenance and dividend/capital gains increases or decreases.
• Wrote up adjustments from letters of indemnity received from broker/dealers to straight cancel trades, cancel and rebill trades, reverse transfers, or maintain accounts in order to pay out commissions correctly.
• Prepared monthly Excel spreadsheets for the purpose of paying 12b-1 commissions.
• Researched items in question from email communications or telephone calls from broker/dealers, and or branch representatives.
• Answered all inquiries from broker/dealers, including share balances, account registrations, trade