Thomas Guinan Email & Phone Number

Melville, New York, United States

New York City Metropolitan Area

Daily supervision using internal system to monitor registered representative activity to ensure compliance with trading and account policies; reviews include commission, holdings, large trades, and other potential riskConduct regular reviews for new accounts, background checks, fund movement, trade corrections and any ad hoc reviews from compliance; Responsible for research and data compilation for FINRA and legal auditsOther supervision tasks include overseeing the investment banking group decisions and deals, handling ad hoc requests from representatives and clients, assisting compliance with AML, Continuing Education and other questionnaires and requests, and regular email and communication review

New York, Ny

Conduct daily review of fixed income trades, using understanding of FINRA Rule 2121, MSRB Rule G30, the fixed income marketplace and firm policy, to evaluate for best execution, fair price and fair remunerationRecord and analyze daily TRACE and RTRS reports for trade reporting accuracy and timeliness in accordance with FINRA 6200 rule series; promptly resolve unmatched and rejected items; Compile and analyze monthly reports for correctable patterns and peer group comparisonOther procedures include reviews of Markup/Markdown disclosure, MSRB minimum denomination and short sale trades and EMMA security alertsProvide formal and thorough responses to FINRA inquiries and information requestsPerform daily review of OATS for reporting efficiency, addressing unmatched and rejected items in a timely matterConduct weekly review of Options systematic trades for best executionConduct daily email surveillance for potential fraudulent or suspicious employee behaviorMember of Best Execution Committees that meet quarterly to address and solve any ongoing issues and significant changes to the trading environment

Greater New York City Area

• Confirmed and allocated all fixed income trades, including corporate bonds and treasuries• Collaborated closely with compliance to ensure adherence to regulatory reporting rules and standards• Improved regulatory report card with FINRA through monitoring and training • Provided support for customers and brokers, including onboarding and account creation• Balanced trading accounts, positions and P&L across multiple systems• Oversaw and expedited trade settlement with multiple programs and counterparties, including Euroclear and foreign settlements• Assisted operations staff and IT on system conversions resulting from company mergers• Acted on traders’ requests to research and process complex transactions such as Corporate Action, DWAC and arbitrage

New York, Ny

All trade support for small firm. Including booking trades, placing order, executing and settling trades; all account management. Assisted in operations including IT and customer service.

• Monitored trading accounts for improper position or money balances and resolved any that were discovered • Directed, monitored and reviewed trades to ensure fair executions and adherence to short sale rules and margin requirements • Worked closely with Compliance department to discover fraudulent trading and file Suspicious Activity reports (SARS)• Input equity, options and fixed income trades on Pershing’s systems for specific Pershing Prime customers• Compiled break reports and worked with customer representatives on resolving all breaks and discrepancies• Designed and updated break report utilized by senior management to monitor daily and monthly customer activity• Helped customers via phone and online with orders, system maintenance, etc.• Adjusted customer orders daily based on stock market splits, dividends and other updates