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Accomplished financial industry professional with experience in trading, operations, and marketing. Results oriented, decisive leader with proven success in market making and strategic positioning for global investment banks, specialist organizations and boutique broker dealers. Extensive track record of increasing firms productivity and growing bottom line while spearheading operational improvements to drive profitability and lead firm into new business lines. Foremost trait is professionalism.
Professional Experience
Stuart Frankel & Company, New York, NY 3/2005 to Present
Senior Vice President/Principal-Sales and Trading
Lead executing broker for diverse base of asset managers, mutual funds, pension plans and alternative investment managers. Consistently used prior industry knowledge and experience to help generate ideas for firms customer base. Produced internal research material which sales force used to help generate new business.
Key Achievements:
➢ Spearheaded campaign to pursue new areas of profitability when existing ones were becoming over saturated.
➢ Helped develop and introduce successful new accounts by using past trading and marketing experience.
➢ Utilized prior professional experience to introduce customers to corporate executives in diverse industries.
BEAR WAGNER SPECIALISTS, NEW YORK, NY 8/2002 to 3/2005
Vice President, Market Making
Directed trading in numerous multi-billion dollar market capitalization companies in order to increase firms profitability and market metrics. Performed direct daily and weekly contact with executives of New York Stock Exchange listed companies in order to discuss specific activity in their issues caused by macro and stock specific situations. Helped market the exchange as well as the firm to prospective listed companies by attending analyst meetings and other corporate events.
Key Achievements:
➢ In two and one half years employed as full time Specialist achieved a net positive profit of $6.5 million dollars.
➢ Successfully won the exclusive trading privileges for FTD Florist Inc. a $300 million dollar private equity carve out.
➢ Enhanced firms standing and reputation with sell side traders and buy-side traders with impressive market making metrics.
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LEHMAN BROTHERS, NEW YORK, NY 1/1998 to 7/2002
Vice President, Member New York Stock Exchange
Built a solid record of achievement and advancement through increasingly responsible financial investment positions in a multi billion dollar, global investment banking company.
Key Achievements:
➢ Responsible for monitoring risk in equity positions involving hundreds of millions of dollars of the firm’s capital.
➢ Helped the firm become a more diverse organization from predominantly fixed income to a more balanced global investment bank.
➢ Became one of the youngest members of the NYSE to represent such a large global investment bank.
LAWRENCE HELFANT & COMPANY, NEW YORK NY 3/1995 to 1/1998
Vice President, Head Institutional Sales Trader
Vice President, Head institutional equity sales trader
Helped oversee the expansion and maturing of one of the pioneering direct access broker dealers, which was later sold to Jeffries and Company.
Key Achievements:
➢ Responsible for the logistical layout of a staff of 8 members and 9 sales traders.
➢ Over 3 years at firm the client business tripled.
➢ Point man for customer concerns on execution quality and exchange rules and policies.
Education And Credentials
Bachelors Degree Program in Political Science • Brooklyn College, Brooklyn NY
Licenses
Series 4, 7, 9, 10 and 55 currently pursuing 86 and 87
Professional Associations:
Security Traders Association of New York
New York Stock Exchange Facts Program
Volunteer for SIFMA and Finra Education Programs |
