Thomas Cerna Email & Phone Number

Licensed Series 7, Series 4, Series 24 and Series 63Two years Chartered Financial Analyst (CFA) Training. Expect to complete program.Worked as paralegal at Cravath,Swaine & Moore on the takeover attempt of Polaroid Corp. by Diamond Shamrock in 1987. Precedent setting case led to the end of the hostile takeover era.Employed with NASD (FINRA) as a Senior Examiner from 1990 - 1995 at the flagship District 10 office located in Wall Street financial district. This was during a time of numerous securities firms' abuse of penny stocks and IPO's. The District 10 office was very involved in bringing an end to these abusive practices. Employed at various retail brokerage operations in the capacity of Compliance Manager whereby I have been able to implement the procedures learned as an Examiner with FINRACurrently employed as Branch Manager of a Melville, NY office for Global Arena Capital, an entity headquartered in Manhattan with offices in Boston, Miami and China. I oversee all operations and activities for a staff of approximately 30 Registered Representatives and 5 Sales Associates