David M. Garner Email & Phone Number

Newport Beach, CA

Anaheim, CA

• Champion all trading desk activity including equity, options, mutual funds and fixed income while serving as a front line of compliance for all trades executed on Pershing and Charles Schwab platforms.
• Implement trading expertise when processing trade-orientated FINRA/SEC requests, generate ad-hoc reports as needed and develop strategic responses to inquiries.
• Exercise relationship-building acumen with Third Party entities resulting in desk revenue growth and expanded market share penetration.
• Employ world-class customer service, processing inbound, trade-related calls. Boost satisfaction and retention of both representatives and customers resulting in increased revenue streams. Also serve as primary.
• Partner with the Legal Department in executing successful arbitration on trading related disputes including equities, options, fixed income and mutual funds.
• Drive growth through leading-edge management methodologies to mitigate risk, prevent loss, and ensure business viability.

Irvine, CA

• Supervised and reviewed full-phase trading activity across geographically-dispersed areas in the Greater Los Angeles, Ventura, Santa Barbara, San Luis Obispo, and Monterey Counties in California as well as the entire.
• Ensured optimal levels of profitability as well as alliance with the customers’ financial objectives, diversified portfolio goals and products/services recommended by the Financial Consultant for high-risk transactions.
• Obtained authoritative knowledge of fixed and equity markets to ensure customers were acquiring competitive rates, while mitigating exposure. Served as Fixed Income Product Team Lead.
• Ensured 100% adherence to regulatory compliance and company policies with WMFS account transactions. Served as the go-to resource educating consultants as well as field employees on procedural changes, regulations and.

Los Angeles, CA

• Managed and maintained money market equivalents while communicating effectively with brokers and dealers on municipal, agency and corporate trade settlements.
• Provided business-critical support to traders with bond trades, swaps and agency crosses.
• Enforced compliance to MSRB/TRACE 15-minute reporting rules while processing trading tickets.
• Cultivated cross-functional communications between fixed income, operations and compliance department.
• Supervised customer accounts and ensured up-to-date information as well as debit balance coverage while also investigating issues-of-interest and successful mediation of trade disputes.

Brea, CA

• Grew revenue year-over-year through consultative sales of mutual funds, managed money programs, charitable gift funds, college savings plans and new account establishment.
• Conducted competitive analysis and gathered market intelligence in order to strategize and implement change management and quality improvements. Consistently met and exceeded sales objectives.
• Gave persuasive and informative sales presentations with a superior knowledge of the firm’s product portfolio, service options, and prospective return on investment.
• Served as the primary contact and face-of-the-branch while pursuing lead generation and business development with assertiveness and a “think outside the box” mentality to tap into opportunities within the community we.
• Coached, mentored and trained new back-office representatives with an emphasis on delivering top-tier customer service resulting in client retention, satisfaction and recurring revenue.