Nichole Rogers

Nichole Rogers Email and Phone Number

VP; Supervision Principal III at Merrill Lynch @ Merrill Lynch
new york, new york, united states
Nichole Rogers's Location
Fort Worth, Texas, United States, United States
Nichole Rogers's Contact Details

Nichole Rogers work email

Nichole Rogers personal email

About Nichole Rogers

My background includes over 20+ years of experience in the financial services industry in roles of ever increasing responsibility. I have 6 years of experience in Margin including 2 in management. In my most recent role as a Margin Specialist, I effectively led a team of representatives that handled inquiries on margin accounts, margin calculations, preformed wires, ACH transactions and account-to-account transfers. Highlights of my professional career that may be of particular interest to you include:• Obtained FINRA Series 7, 9, 10 and 63. • Managing and developing a team of highly motivated professionals, capable of consistently exceeding departmental standards and delivering superior customer service.• Comprehensive knowledge of equities, mutual funds, fixed income and options.• Consistently exceeding team and departmental performance benchmarks.• Expert knowledge of Margin and Security trading practices and procedure.Over my career, I have had a positive and upward trend in career development, determined to add value to my team, department and the entire firm at every opportunity. My business skills, technical expertise and leadership capabilities have contributed to the success of every organization that I have been associated. Enclosed, is a copy of my resume, which outlines my credentials in greater detail, as well as, provides a brief list of my personal accomplishments. I would welcome the opportunity to discuss how I might make contributions to your corporation. I look forward to hearing from you to schedule a personal interview, at your convenience.Specialties: margin

Nichole Rogers's Current Company Details
Merrill Lynch

Merrill Lynch

View
VP; Supervision Principal III at Merrill Lynch
new york, new york, united states
Website:
ml.com
Employees:
45157
Nichole Rogers Work Experience Details
  • Merrill Lynch
    Assistant Vice President Central Supervision Principal
    Merrill Lynch Apr 2013 - Present
    Dallas/Fort Worth Area
    Employee Activity Review
  • First Southwest Company
    Margin Specialist
    First Southwest Company Jul 2010 - Apr 2013
  • Fidelity Investments
    Margin Specialist
    Fidelity Investments Oct 2008 - Apr 2010
    Managed a team representatives that effectively supported client programs, products and services through interactions with clients and representatives. Provided supervision and direction to team members in their day-to-day tasks. • Developed and reviewed performance reports, recognize coaching opportunities, and implement measures to improve performance levels and exceed departmental objectives.• Monitored and maintain all quality assurance standards for the customer service team resulting in an 18% increase in quality scores.• Reengineered the method for tracking agent errors that was implemented department wide which led to a reduction of errors by over 600.• Partnered with various departments and business partners to resolve outstanding issues.• Provided review and approval for wire, ACH and journal requests in amounts up to $10 million. • Collaborated with members of senior management team on assigned projects.
  • Fidelity Investments
    Risk Intervention Strategy And Control (Risc) Specialist
    Fidelity Investments Mar 2004 - Sep 2008
    Primary point of contact for clients, representatives, management and other business partners for Margin information and Margin Issues. Performed risk mitigation for the firm and clients.• Developed a strong knowledge of Reg-T, Rule 431 (Day trades), Freeriding, Good Faith violations, etc.• Tracked and followed-up on issued margin calls and responded to representative inquiries regarding buying power, including intra-day calculations, available funds, 90-day restrictions, day trading, etc.• Analyzed and calculated complex margin requirements in accordance with federal and stock exchange regulations particularly Regulation T.• Demonstrated strong communication and analytical skills, while confidently dealing with the more confrontational situations, which posed a significant risk financially or to the Fidelity brand.• Enforced adherence to firm, industry and government rules and regulations. Communicated with various departments to solve outstanding issues when required.• Analyzed accounts to determine risk to the firm and perform sellouts during periods of high market volatility.• Reviewed money due, stock due and requirement reports, as well as, various risk reports.• Three time recipient of Employee of the Quarter award and recipient of written letter of praise from client, a departmental first. • Preformed account surveillance for signs of market manipulation, including odd-lots, wash trades, short sales and fraudulent transactions.
  • Fidelity Investments
    Senior Trader
    Fidelity Investments Sep 2002 - Feb 2004
    • Approved trades over $500k and distributions over $100k• Monitored calls monthly for compliance and coaching opportunities.• Resolved escalated client issues. • Acted as a reliable information source for representatives across multiple sites with inquiries that required advanced knowledge of Fidelity policies and procedures regarding client service or intricate trading issues.• Documented and analyzed representative questions and client concerns and delivered that analysis to management for the purpose of providing additional training to representatives and determining the effectiveness of firm polices.• Designed and facilitated weekly seminars on sales, products and trading procedures for 250 to 300 representatives resulting in a reduction of trade errors by 28% in a six month period.• Coordinated with the training department for effective training for employees, which helped in continuous learning and there by growth of the organization.
  • Fidelity Investments
    Fixed Income Specialist,
    Fidelity Investments Feb 2002 - Jun 2002
    Subject Matter Expert for high net worth clients, core clients, and representatives for Fixed Income products. • Employed needs based selling to uncover opportunities to drive business growth.• Identified customer’s Fixed Income needs and matched with appropriate product.• Executed Fixed Income trades, while ensuring a high level of trading accuracy.• Responsible for client account inflows of over $7 million to Fidelity funds and products.• Consistently ranked in top quarter for sales production and client satisfaction.• Identified and educated clients on Fixed Income strategies and solutions for their portfolio.• Developed and applied a strong knowledge of Fixed Income products, such as Muni’s, Corporate, Treasuries and Agencies.
  • Fidelity Investments
    Senior Trader
    Fidelity Investments Sep 2000 - Jan 2002
    Supported retail phone representatives across multiple sites providing expertise and assistance in resolving complex customer service and trading issues. Approved trades over $500k and distributions over $100kMonitored calls monthly for compliance and coaching opportunities.Resolved escalated client issues. Acted as a reliable information source for representatives across multiple sites with inquiries that required advanced knowledge of Fidelity policies and procedures regarding client service or intricate trading issues.Documented and analyzed representative questions and client concerns and delivered that analysis to management for the purpose of providing additional training to representatives and determining the effectiveness of firm polices.Designed and facilitated weekly seminars on sales, products and trading procedures for 250 to 300 representatives resulting in a reduction of trade errors by 28% in a six month period.Coordinated with the training department for effective training for employees, which helped in continuous learning and there by growth of the organization.
  • Fidelity Investments
    Financial Services Representative,
    Fidelity Investments Jun 1998 - Aug 2000
    Engaged clients and provided them guidance in achieving financial success by identifying unstated financial needs, such as, realizing long term financial needs, saving for college, planning for retirement, etc. • Consistently ranked in the Top 10% of representatives in the categories of: Client satisfaction, performance metrics, trading accuracy and lead generation.• Provided financial direction to clients and performed trades of Stocks, Mutual Funds, Options and Fixed Income securities, as well as, assisting with portfolio management, asset allocation and other investments.• Enhanced relationships and built customer loyalty by providing individual contact with customers regarding account features, balances, transactions and complex problems.• Executed trades, discuss Fidelity's extensive offering of products and services, provide market news and quotes, provide tax and retirement related information and analyzed customer financial data.

Nichole Rogers Skills

Fixed Income Series 7 Equities Financial Services Mutual Funds Series 63 Securities Investments Trading Options Risk Management Financial Risk Finra Capital Markets Asset Allocation Portfolio Management Risk

Nichole Rogers Education Details

Frequently Asked Questions about Nichole Rogers

What company does Nichole Rogers work for?

Nichole Rogers works for Merrill Lynch

What is Nichole Rogers's role at the current company?

Nichole Rogers's current role is VP; Supervision Principal III at Merrill Lynch.

What is Nichole Rogers's email address?

Nichole Rogers's email address is ni****@****ail.com

What schools did Nichole Rogers attend?

Nichole Rogers attended Tarrant County College, Obtained Finra Series 7, 9, 10 ,63 And 65., Tarrant County College,.

What skills is Nichole Rogers known for?

Nichole Rogers has skills like Fixed Income, Series 7, Equities, Financial Services, Mutual Funds, Series 63, Securities, Investments, Trading, Options, Risk Management, Financial Risk.

Who are Nichole Rogers's colleagues?

Nichole Rogers's colleagues are Moses Ehimeakhe, Dwayne Kingston, Jeffrey Gladstein, Jackson Baines, Sayantan Guha, Stephen Nett, Al Oliva, Crpc™.

Not the Nichole Rogers you were looking for?

Free Chrome Extension

Find emails, phones & company data instantly

Find verified emails from LinkedIn profiles
Get direct phone numbers & mobile contacts
Access company data & employee information
Works directly on LinkedIn - no copy/paste needed
Get Chrome Extension - Free

Aero Online

Your AI prospecting assistant

Download 750 million emails and 100 million phone numbers

Access emails and phone numbers of over 750 million business users. Instantly download verified profiles using 20+ filters, including location, job title, company, function, and industry.