Mark Schell Email & Phone Number

Middletown, NJ, US

Greater New York City Area

• Principal Examiner in TFCE Department of Market Regulation – Options Experience conducting exams that entail the FINRA Consolidated Audit Trail (CAT)

New York, NY

• Monitored the “open outcry” option trading activities of market participants (floor brokers, market makers, specialists) at an assigned trading post and enforced compliance and trading floor regulations to insure a.
• Monitored the verbal and electronic trade capture / pricing application (Liquid Point) to validate option trades for participants and customers, resolve linkage problems, and perform periodic testing to insure seamless.
• Educated market participants regarding changes in FINRA regulation to reduce trading violations
• Developed knowledge of trading strategies (spreads, tied to stock, multi-leg trades, etc) to better serve participants

New York, NY

• Part of a team managing the investments of high-net-worth individuals who gave investment discretion to the firm
• Engaged clients to understand their risk tolerance, proposed various investment strategies, and coordinated with third-party institutional money managers, hedge funds, insurance vehicles, and private REITS (Brinker.
• Performed quarterly and semi-annual reviews of client portfolios (total of $100M AUM), ensured investments were properly allocated and in line with current investment objectives, accounted for changing market.
• Led discussions with firm’s investment committee to develop and implement ongoing investment strategies while keeping each client’s long term objectives intact
• Supervised a staff of three tasked with monitoring the investment strategies and objectives of all third-party relationships and executing all operational duties including account rebalances, distributions, wires, and.
• Proficiency in managing risk and investment options produced cross-selling opportunities and supported client retention

Newark, NJ

• Conducted conference calls and webinars to educate insurance reps in MI, CA, & HI and (under agreement / partnership) Allstate agents about annuity products to enhance product knowledge and promote cross-selling efforts
• Prepared competitor analysis of annuity and other investment products and reviewed with agents and brokers
• Participated in marketing and product development forums in order to understand client concerns and requirements and then develop new products based on future market conditions and anticipated client demands

Hackensack, NJ

• Fostered an environment of collaborative cooperation to facilitate internal referrals from bank branch employees
• Developed and communicated effective ways for the three licensed financial consultants under my management at four PNC branches to offer investment products to bank and investment clients which led to a 15% increase in.
• Trained bank staff regarding investment suitability, regulatory issues, and how to approach potential investment clients

Paramus, NJ

• Developed investment strategies based upon client’s individual financial status, investment objectives, and risk tolerance
• Customized appropriate financial products and potential investments to help client navigate volatile markets
• Executed the purchase or sale of investments in a manner that ensured conformity with applicable laws and regulations
• Conducted marketing and educational activities and seminars in order to retain existing clients and promote new business

New York, NY

• Managed and serviced the firm’s floor business which included the calculating the conversion of preferred and common stock (convertible preferred trading) and the hedging of various Equity positions