John Byron Email & Phone Number

Schaumburg, Il

•Provide phone support to Financial Advisers and clients regarding account related issues and inquires•Process new account and account maintenance paperwork for Financial Advisers•Provide daily operational support to Financial Advisers and Clients regarding fee based accounts broker dealer •Execute Adviser and clients daily cash flow requests•Liaison with Pershing LLC on client related service issues•Provide client service team with support in back office client issues•Trouble shoot account issues with Schwab, Pershing and Insurance and Mutual Fund direct companies

•Monitor and trade daily transaction activity including new accounts, withdrawals, deposits and registration changes, handling a high volume of trades for over 200 clients•Bi-monthly rebalancing of portfolios monitoring cash and securities positions for over $1 billion in assets•Daily reconciliation of accounts in Advent Axys against custodian downloads•Liaison with client’s custodians (Charles Schwab and TD Ameritrade) on client service issues•Setup, trade and maintain client accounts and information using various software (Advent, Qube, iRebal and Portfolio Express)•Quarterly preparation and distribution of customized portfolio reports for 200 clients•Quarterly processing of management fees and follow up as needed•Support Wealth Managers and Financial Advisors by preparing paperwork for new accounts and changes in client circumstances •Provide client service team with support in back office client issues

•Monitor and trade the daily activity on pending blotter for all wrap accounts including new accounts, withdrawals, deposits and registration changes, handling a high volume of trades (averaging over 5,000 trades annually)•Monthly rebalancing of portfolios monitoring cash and securities positions for over $2 billion in assets•Run daily reconciliation reports for wrap accounts and institutional accounts on APL and investigate and resolve any discrepancies in a timely manner•Interact daily with numerous sponsors, brokers and custodians regarding trade orders •Monitor institutional trading cycles on MacGregor and assist institutional senior trader as needed•Set up and maintain new accounts and close terminated accounts on APL•Review all paperwork for wrap account activities, including new accounts, withdrawals, deposits and registration changes•Communicate on a daily basis with various departments throughout company to develop new procedures and resolve issues

•Monitor the Private Capital Management trade blotter and delegate an average of 300 equity trades daily•Place and execute on average 150 Large Cap equity trades daily with various brokers•Compile and distribute Morning Research report including market and economic data to Portfolio Managers •Analyze and place non client designated OTC and Listed trades with appropriate brokers •Maximize the Private Capital Management trading efforts to achieve Research and Soft Dollar commitments•Provide Portfolio Managers with ongoing information regarding market sentiment, trading volume and price volatility•Develop and maintain relationships with securities dealers•Assist in the development and implementation of liquidity sources for electronic trading

•Implemented and enforced the firm’s Employee Code of Ethics•Responsible for the monitoring and pre-clearance of employee personal transactions•Annual distribution of Securities and Exchange Commission questionnaire•Annual review and distribution of the firm’s Insider Trading Policies •Maintain and monitor the firm’s restricted list•Liaised daily with chief compliance officer and staff

•Primary responsibility for disclosure review and portfolio compliance activities for 27 funds•Responsible for the timely filing of registration statements and annual/semi-annual reports with the Securities and Exchange Commission•Interacted with four legal counsels, four independent accountants and four client personnel, including portfolio managers and compliance personnel, on fund disclosure and compliance activities•On a monthly basis, reviewed portfolios to ensure that the mutual fund adheres to Securities and Exchange Commission Acts of 1993 and 1934 and Internal Revenue Service regulations

•Worked directly with outside legal counsel and accountants in preparing legal and financial statements for prospectuses and marketing materials for unit investment trusts •Worked with New Products Department in the research and development of prospectuses and procedures for all new products

B.S, Human Resources

Activities and Societies: Active in intramural sports.

Education record