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Securities, derivatives, and brokerage operations professional specializing in the application of technology to realize increased efficiencies at the individual and firm levels. Highly effective at combining employee development and leadership skills honed as Managing Director at a Fortune 500 investment company with the innovative, can-do spirit forged while serving as Vice President at an internet startup that excelled in derivatives and the active trader segment of the industry. Financial Licenses:Series 3 – Futures Representative Series 4 – Registered Options Principal Series 7 – General Securities Representative Series 9 – Securities Sales Supervisor OptionsSeries 10 - Securities Sales Supervisor EquitiesSeries 24 – General Securities PrincipalSeries 27 – Financial Operations PrincipalSeries 53 – Municipal Securities PrincipalSeries 55 – Equity Trader ExaminationSeries 63 – State Law ExaminationMicrosoft Certified Professional:Microsoft Exam 70-461 Querying SQL Server 2012/2014Microsoft Exam 70-761 Querying Data with Transact SQL 2016Areas of Expertise: Broker Dealer Operations | Business Analysis | Compliance Regulations | Corporate Actions | Leading Cross Functional Teams | Database Systems | Options & Futures | Process Optimization | SQL Querying & Programming | Risk Management | Trade & Order Handling | VBA for Microsoft Office
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Sr. Manager Broker Dealer OperationsPhillip Capital Inc. Nov 2022 - PresentChicago, Illinois, Us
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Director - Brokerage OperationsAlpaca 2021 - 2022San Mateo, California, UsLed and inspired a team of five fully remote employees responsible for margins, dividends, corporate actions, and the creation of desktop and supervisory procedures at a brokerage firm in the hyper-growth stage of development. -
Middle Office OperationsWolverine Trading 2019 - 2021Chicago, Il, UsResponsible for creating systems to reconcile and ensure synchronization of data between back office clearing systems with front office trading and accounting systems. -
Managing Director - Middle Office & Derivative OperationsCharles Schwab 2011 - 2018Westlake, Texas, UsLed and inspired a team of eight with primary responsibilities including the daily reconciliation and maintenance of brokerage accounts, clearing option and future products, manipulating data in the production of reports and execution of business functions, processing ex-date corporate actions, and leveraging technology to improve business processes and develop innovative solutions. -
Vice President OperationsOptionsxpress 2003 - 2011Transformed a Chicago based FinTech company specializing in equity options and derivatives from an internet startup with a few thousand customer accounts into a self-clearing firm with over half a million accounts, a perennially top ranked Barron’s Best Online Brokerage Firm, and a leader in the derivatives and active trader segments of the industry.
Scott Johnson Skills
Scott Johnson Education Details
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Bradley UniversityPolitical Science; Minor In Business Administration
Frequently Asked Questions about Scott Johnson
What company does Scott Johnson work for?
Scott Johnson works for Phillip Capital Inc.
What is Scott Johnson's role at the current company?
Scott Johnson's current role is Sr. Manager Broker Dealer Operations.
What is Scott Johnson's email address?
Scott Johnson's email address is sj****@****lve.com
What is Scott Johnson's direct phone number?
Scott Johnson's direct phone number is (312)-630*****
What schools did Scott Johnson attend?
Scott Johnson attended Bradley University.
What skills is Scott Johnson known for?
Scott Johnson has skills like Series 3, Series 4, Series 7, Series 9, Series 10, Series 24, Series 27, Series 53, Series 55, Series 63, Sql, Vba.
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