Kenneth Baggio Email & Phone Number

Lisle, Il.

Reporting to the Chief Financial Officer and Chief Compliance Officer, responsible for all back office operations including reviewing suitability and concentration positions.• Annual field audits of branch offices.• Monitor and implement changes in FINRA directives.• Implement Continuing Education courses through Quest CE.• Liaise with National Financial Services to resolve any operational issues.

Wheaton, Il.

Reporting to Senior Vice President & Chief Operating Officer, responsible for all back office operations including the establishment of new accounts and transaction processing. • Maintaining sales blotter, reconciliation of settlements, working daily reports, monitoring electronic trade systems to ensure compliant processing and price reporting to regulators.• Liaise with BNY/Pershing and Bloomberg to resolve trade & settlement issues.• Maintain books and records retention.• Manage the account relationship openings including AML/CIP.• Simplified the process/procedures used by sales to onboard new clients by creating a standardized checklist.

Chicago, Il.

Reporting to the Senior Vice President of Operations, responsible for initiating, monitoring, and the settlement of all government book entry securities through our custodian bank. Frequent interactions with front office traders and sales force and also assisting in the aggressive pursuit and resolution of open payables and receivables. Processed a daily volume of between $100 million and $1.5 billion. • Increased settlement efficiencies by 30% by anticipating settlement issues and problems before they occur, reducing the number of failing trades. • Created a comprehensive contact spreadsheet by specific departments, allowing for faster communication with clients and other resources, resulting in minimal delay in processing trade resolutions. • Provided backup for the DTC Specialist and Foreign Securities Specialist on a routine basis.

Chicago, Il.

My responsibilities included the initiating, monitoring and settlement of all government book entry securities through our custodian bank. In addition I also initiated, monitored and settled all foreign security transactions for both local market and Euroclear through our custodian bank.Break Specialist, May 1996 - June 1998IRA Administrator, June 1993 - May 1996