Gary Stocker Email & Phone Number

Pennington, New Jersey, United States

Product Supervision Principal responsible for Trade Review and Risk Management of complex products including but not limited to Options, Closed End Funds, Unit Investment Trusts, Debt, and Market Linked Investments.Responsible for rhe onboarding and approval of UHNW client derivatives and international Market Linked Investments.I have acquired the review.

Hopewell, NJ

Review T+1 trades for Financial Advisors in multiple complexes ensuring compliance with firm and regulatory standards.Manage account and client risk for Investment Objective changes, mutual fund switches, margin, velocity and losses, and concentrations.Supervise a team of Principals responsible for the above, ensuring adherence to strict supervisory.

Hopewell, NJ

Reviewed T+1 trades for Financial Advisors in multiple complexes ensuring compliance with firm and regulatory standards.

• Supervised a team of 30 FINRA Series 7 registered staff responsible for providing trade and operational support for participants from over 2,800 Employee Stock Option, Employee Stock Purchase, and 401(k) plans.
• Consistently led the Hopewell and Jacksonville, FL contact centers in client asset retention.
• Successfully automated the fixed income trading function for Self Directed Brokerage Accounts.
• Managed the compliance function for the Hopewell contact center.

Managed a team of twenty professionals responsible for taxable fixed income executions, portfolio marketing, reconciliation, and order entry assistance to Client Financial Advisors, Client Associates, and Service Managers.In 2008 the team executed over $1 billion in taxable debt transactions and proposed over $3 billion in fixed income portfolios. Led the.

• Assisted Private Client Financial Advisors with order entry related issues, debt transactions, and sales and marketing. Responsibilities included, but were not limited to:
• Construction of Taxable Debt portfolios for Merrill Lynch FA’s.
• Manual fixed income trade execution support.
• Providing fixed income product and market information.

• Responsible for assisting Private Client Financial Advisors with order entry related issues, municipal bond support, debt transactions, agency transactions, and sales and marketing.Responsibilities included, but were.
• Continuous interaction with Merrill Lynch Traders and Financial Advisors (FA’s).
• Providing prices for Secondary transactions from traders’ inventories.
• Interpreting Fixed Income and Options product information.
• Providing extensive and detailed market information.