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

• 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

• 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.
• 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

• 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

• 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