Joshua Cleason Email & Phone Number

Plano, Texas, United States

Denver, Colorado

• Work within a team of 30 in monitoring $20.01 billion in margin debt and a team of 4 in monitoring $6.24 billion in pledged asset accounts for trading, concentration and credit risk
• Collect and analyze client account information including equity positions and derivative strategies to determine firm level and account level risk
• Provide direct support to on average 38 people per day from internal departments across the firm and external clientele in identifying, managing and resolving client margin account issues
• Specialize in collateral monitoring and analysis for Schwab Bank Pledged Asset lines of credit, including training bank support teams on new product functionality and more complex calculations
• Collaborate with multiple levels of management across departments to identify problem areas within the trading platform, collect data around the issue and present solutions to improve system functionality, reduce.
• Process retail account trades on behalf of the firm to enforce Regulation T lending requirements, and pledged asset account liquidations to maintain collateral requirements

Westminster, CO

• Promoted for high-level customer service and vast knowledge relating to financial markets and broker-dealer processes
• Selected to participate in launching company initiatives after demonstrating an ability to learn quickly and master complex industry concepts
• Trained new brokers on processing client trade requests and continued to support these team members with 1-1 coaching and targeted feedback sessions
• Worked with a small group of senior brokers in charge of processing the stock options expiration processes for the firm, including portfolio risk analysis, client notification and manual execution of unhedged client.

Westminster, CO

• Responsible for placing stock, bond, mutual fund and option trades for clients as well as educate clients on tools for security analysis and valuation
• Engaged high net worth clients in discussions of their financial goals and investment strategies to identify additional client needs and refer opportunities to provide useful products and services to sales team
• Worked closely with multiple levels of internal departments and management as part of a specialized group to enhance the client experience and increase asset gathering for the firm