Stephen Nick Email & Phone Number

Work on the NYSE Floor for 28 years. Multiple merges with specialist units. Lehman Brothers purchased firm in 2007. Barclays Capital purchased the unit in 2008. Barclays Capital then purchased two more units on the NYSE floor to make us the largest firm on the NYSE floor. Coordinated all updates on the NYSE floor after merges to make transition seamless for all employees. Adjusted to all new technologies. Develop relationships with many different departments to coordinate and maintain proper business management. License's Series 7 63 24 55.I bring over 20+ years of financial industry experience, that required accurate, precise, and time sensitive responses while working in the fast paced environment on the floor of the New York Stock Exchange. I have fine-tuned my identification and resolution skills to meet the immediate needs of market fluctuations, all while operating and meeting regulatory obligations. I have the ability to work independently or create a strong team coupled with the leadership mindset to create innovative processes to work effectively and act decisively in a stressful and constantly changing environment. As a trader at Barclays, I was a member of the specialist unit management committee. This position entrusted me with the responsibility of the inside knowledge of day-to-day information, Chinese wall information, risk management, IPO’s and, profits and losses of the business unit. In addition, I prepared mission critical information and processes for pre and post acquisitions to ensure a seamless operational start upon the closing of the deal. Maintained and reviewed restricted list of stocks. Maintained employee pre-trading approval system to monitor all personal account transactions.I hold the following FINRA series licenses: 7, 63, 24, 55 as well as the New York State Life and Health Insurance license. Specialties: management liaison, personnel scheduling, office management, management committee, identify and correct problems.

Listed skills include Leadership, Finra, Management, Electronic Trading, and 14 others.

• 

  New York Technology

  None