Principal Operations OfficerResponsible for overseeing the day-to-day operations of the firms broker-dealer clients ensuring that all covered functions are compliant with the rules and regulations of the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC)

Execution Trader • Executed trades for the firm’s priority sell-side institutional and buy-side clients. Monitored market conditions/news to provide feedback to clients on order parameters and information that could affect stock prices • Primary point of contact for clients and maintain regular communication and client service through in-person meetings and/or calls • Routed and executed basket trades on behalf of customers • Monitored and minimized trading costs • Analyzed market liquidity in stocks that are bought or sold at the close of trading and adjust the quantity to reduce impact on the closing price • Monitored restricted list to ensure trading compliance • Established and managed relationships with JPMorgan, BTIG, Cowen, and Raymond James, which generate 300k to 1mm shares per day in order flow, in charge of trading out of positions held by traders at JPM, Cowen and Raymond James • Lead Broker on all IPO and Secondary Stock offerings when Bay Crest acts as agent for underwriting banks Operations Manager• Worked closely with outside trading vendors to reduce costs and increase efficiencies associated with electronic trading • Negotiated an agreement with third-party market data service provider reducing the firm’s cost by $20k a year • Communicated with the Front Office and stakeholders to investigate and resolve issues • Assisted traders in performing market analysis and analyzed trading strategies • Accurate calculation, allocation, and execution of trades within the order management system; reconciled execution differences with brokers and managed cash balances • Responsible for all client onboarding • Liaised with Compliance to ensure all trades and executions were FINRA compliant • Assisted all office groups and customers with ad hoc requests and projects

• Advised on regulatory requirements and best practices in connection with electronic trading controls• Served as a senior point of contact for Compliance on electronic trading related projects, including Regulatory change, system incidents related to electronic trading, and risk assessments• Identified and facilitated the resolution and documentation of trading errors• Provided support gathering information needed to conduct reviews on client adherence to trading guidelines and restrictions• Assisted the firms Compliance Director in executing the firm’s annual compliance review and monthly compliance reports

• Assistant Trader responsible for order management for all trading sectors • Responsible for maintaining all stock positions in the firm’s proprietary trading account • Successfully transacted bids and offers to customers during illiquid periods in order to facilitate trading • Executed proprietary trades ensuring customers received the fairest price at time of execution while limiting amount of risk taken by the firm

• Executed orders for firm’s position traders and wealth advisors on floor of NYSE, orders ranged from 1k to 5mm shares • Negotiated with competing brokers to ensure that customer orders were executed at optimal prices • Reduced firm’s costs by $50k a month by eliminating use of outside brokers • Implemented processes resulting in firm savings of more than $3mm caused by intraday trading errors • Interacted with high net wealth clients to address questions in efficient and responsive manner

• Supervised a desk of operation analysts and specialists; handled recruitment, training and career development• Strategic partner for the equities business (Cash Equities and Derivatives) serving the front and back office• Worked with senior management to improve infrastructure, reduce risk and cost to increase efficiency• Partnered with Compliance and IT departments to assist in the development and implementation of firmwide operation initiatives

• Supervisor of Bear Stearns & Co. customer trade breaks on the AMEX, CBOE, PBW and PSE Exchanges• Liaison between Option Clearing Corp. and Bear Stearns & Co. salesmen, traders, and clearance accounts• Responsible for notifying customers on option assignments in connection with end of the month expirations