Randy Rix Email & Phone Number

Irving, Tx

Responsible for conducting the principal review of new securities accounts, investment suitability review, review of various key supervision and exception reports, outside brokerage account review, direct trades and active account review. Purpose of review is to ensure that each transaction meets clients’ objectives and that all transactions adhere to securities laws and regulations. Specific duties include:• Review of daily trade blotter for designated region, currently comprised of approximately 600 registered representatives. Transactions consist of stocks, bonds, mutual funds and options.• Responsible for review and approval of all annuity transactions, including fixed, variable and equity-indexed annuities.• As Senior Registered Options Principal designee, reviewing and approving option applications on a daily basis.• Review of multiple exception reports, including monitoring for proper mutual fund breakpoints, switches and reinstatement privileges.• Review and approve outside business activities.• Work on various projects, as needed.

Irving, Tx

May 2000 to July 2006 - Trading Supervisor / Brokerage Operations ManagerResponsible for the day to day management of the trading desk, as well as the margin, cashiering, and account transfer functions. In addition to the direct supervision of department personnel, duties include:• Maintaining productive relationships with clearing firm and trading partners.• Daily monitoring of several reports to ensure compliance with industry regulations, as well as internal procedures.• As Senior Registered Options Principal designee, reviewing and approving option applications on a daily basis.• Monitoring telephone statistics throughout the day to ensure proper coverage on the trading desk.• Monthly reconciliation of four separate trade correction accounts, which include an average of over 500 transactions per month.• Monthly reporting of trade correction statistics, as well as daily processing numbers for the department, to upper management.• Submission of proposals to upper management for improvements to current processes within the department.

Irving, Tx

• Placed mutual fund, stock, option and fixed income trades, which were initiated by registered representatives and/or clients via phone or letter of instruction.• Reviewed orders placed electronically by registered representatives in branch offices prior to releasing them to the market.• Maintained tracking list of letters of instruction for orders that were pending.• Helped to build customer loyalty through friendly, service-oriented demeanor when dealing with representatives and clients.

Irving, Tx

Supervised several Operations Dept. functions, including cashiering, account transfers, new account set up and margin duties.

Irving, Tx

• Learned and assisted with every function within the department.• Reviewed and distributed letters of instruction to various areas for processing.

Dallas, Tx

• Processed money market purchases, redemptions and check orders.• Balanced daily cash activity.• Handled Rule 144 restricted stock sales and transfers, including contact with transfer agents and corporate attorneys.• Processed stock option exercises.

Fort Worth, Tx

• Processed invoices for stores in U.S. and Canada• Worked on special projects when needed