Primary contact between AST Financial LLC and 70 clients, providing critical Stock Transfer Agent services in a manner that meets and exceeds clients' expectations. On a daily basis, I coordinate all client activities and work diligently to establish and sustain a strategic plan for managing the client's registered shareholder base. Proactively cross-sell Proxy and Dividend Reinvestment services, Equity Plan solutions, Corporate Actions services and proprietary Ownership Intelligence product.

• Provide regulatory and client service guidance for transactions involving the transfer or sale of restricted and control securities for public and private companies.• Analyze related documents and opinion letters for compliance with applicable rules and regulations

• Responsible for researching strategy, performance and qualifications of over 200 hedge fund managers each year, and recommending managers for client allocations. • Perform due diligence on new hedge funds through conference calls, on-site visits, background checks and quantitative analysis. Attend industry conferences to discover new fund opportunities.• Responsible for client communication regarding detailed fund performance and current issues such as market, sector and strategy reviews and commentary

• Member of three person trading team dedicated to the best execution of trades for W.P. Stewart & Co., a Registered Investment Advisor with $9.6 Billion in client assets.• Executed block trades in listed, NASDAQ and foreign equities as well as government and corporate bonds.

• Responsible for all aspects of trading for Registered Investment Advisor managing $ 600 Million in assets.• Originated, documented and implemented trading policies and procedures.• Supervised all back office operations including reconciliation, corporate actions, and performance reporting

• Responsible for execution of equity and fixed-income trades for buy-side firm managing $2 Billion in assets.• Designed and implemented trade allocation system.

• Provided institutional sales/trading coverage for 96 investment managers with $22 Billion in assets.• Trading responsibilities included block trades in listed, NASDAQ equities, foreign equities convertible Preferred equities, options, warrants, UIT’s and CD’s.