Vice President/Manager Edison, NJ Office• Established first Wall Street Access branch office which also served as the firm’s business continuity facility; responsible for all operations of the firm’s Edison branch officeVice President Client Services and Operations• Managed department of 20+ customer service representatives that included the Customer Service Phone Group, Customer Service Operations Group and New Account GroupLICENSES / DESIGNATIONSSeries 3 - National Commodity Futures Series 4 - Registered Options Principal Series 7 - General Securities Representative Series 9 and 10 - Branch Office Manager (NYSE) / General Securities Sales Supervisor Series 24 - General Securities Principal Series 55 - Equity Trader LicenseSeries 63 - Uniform Securities Agent State Law

• Managed department of 20+ traders on the agency Equity, Options and Risk Management Desks • Responsible for covering securities in customer accounts that posed a financial risk to the firm • Designated as the trading desk’s Compliance Registered Option Principal (CROP)• Co-founded the firm’s options trading desk in order to provide complex option trading to retail customers at a time when no one else was offering this service 7-Year Member of Securities Traders Association of New York (STANY)

Policy Analyst – Bankcards Fraud Early Warning Dept• Conducted detailed process defect analysis for existing credit card fraud detection programs and strategiesAssistant Credit Card Investigator – Security Investigations Dept• Coordinated Citibank credit card fraud investigations with law enforcement (i.e. U.S. Secret Service, New York State Police, Postal Inspectors, etc.) and other financial institutionsRecipient of the Citicorp Service Excellence Award