CAPITAL MARKETS PROFESSIONAL / EQUITY TRADER
Analytical and integrity-driven CAPITAL MARKETS PROFESSIONAL and EQUITY TRADER
offering 20+ years of Wall Street investment industry
experience. Accomplished leader with rich career successes spanning
investment analysis, new business development, vendor management,
and employee recruitment, training, and supervision. Expansive
understanding of market place drivers, trading risks, buy vs. sell
decisions, stocks, and other investment instruments.
Leverage linear thinking skills to rapidly understand new products
and services. Able to articulate dynamics of market performance with
non-financial clients and coworkers. Proven strengths in relationship
development and enrichment, decision making, problem solving, needs
analysis, research, and multi-tasking. Years of success working
within incredibly stressful and fast-paced investment environments,
delivering benchmarked solutions implemented internally, and
collaborating with colleagues to ensure positive bottom-line
performance.
~ DEMONSTRATED ACHIEVEMENTS ~
Capital Markets and Structures
Operations and Administration
New Business Development
Relationship Cultivation
Employee Hiring/Management/Training
Account Management
Trading Activities
Market Analysis
Market Performance Communication
Hired to collaborate with COO to develop new revenue streams and
diversify product portfolio. In charge of managing sales and trading
teams, overseeing trading clearance issues, monitoring trading
activities to ensure effective transaction management, creating
strategies to improve trading order flow, conducting trading research
activities, implementing new account acquisition strategies,
supporting a rebranding initiative, and handling trading activities
during high volume periods. Accountable for managing vendor
relationships, developing long-term business strategies, and
designing new business growth plans and marketing tactics.
* Key player who transitioned floor brokerage firm into a specialty
broker/dealer firm to meet needs of small and mid-size hedge funds
as well as investment managers. Broadened portfolio to include
direct market access, outsource trading, capital introduction
services, soft dollar strategies, idea generation, and research
assistance.
* Joined efforts with senior management team to position company for
financial success. Collaborated on long-term business strategies,
marketing strategies, and client acquisition and retention.
* Highly involved in selecting a new trading platform enabling firm
to receive trades electronically and allowing staff to improve
trading decisions. Credited as contributor on team tasked with
designing and implementing technological functionalities as well as
recommending advanced trade routes, partners, and algorithmic tools.
* Formulated innovative strategies to meet account acquisition goals
and crafted new marketing materials to position firm as an industry
leader with valuable and competitive services.
* Contributed to resolving trading platform issues as COO
representative tasked with collaborating and managing significant
relationship with clearing agent.
Leveraged expertise in US equities, electronic trading, and shifts
in capital markets to act as an industry specialist providing
guidance to buy side investors on these activities. Consult with
hedge funds, investment advisor's, and corporate clients regarding
exchange consolidation, the future of the hybrid market place, and
implications following a NYSE/Archipelago merger. Discuss future of
new providers of liquidity including Dark Pools, ENCs, ATSs, and
internal markets, and how it may affect end-users and service
providers.
* Consulted with Hong Kong investment firm regarding NYSE acquisition
of Archipelago. Helped corporate client generate return on investment
of $3 million (300%) based upon NYSE seat purchase.
Charged with creating profitability, trading stocks on the NYSE
floor; developing, transitioning, and rejuvenating relationships
with listed companies; pursuing new business opportunities.
* Acknowledged as NYSE Specialist with achievements in small and
mid-cap stocks. Generated above-average returns of capital and
balanced market making requirements. Acted as NYSE Floor Official
for six years. Managed trading activities, researched and recommended
new trading rule changes, and settled trading disputes.
* Restored trading profit by analyzing high-volume trading activity
and conducting peer comparison study.
* Achieved high level of institutional order flow and block volume
by understanding and meeting customers’ expectations and benchmarks
while minimizing market impact to reduce trade execution costs.
* Consulted with senior management team decision makers such as
CEO’s, COO’s, and CFO’s within assigned listed companies regarding
securities trading. Provided guidance on peer comparison, analyst
research, industry group trends, and technical trading issues.
* Strengthened relationships with assigned securities through
frequent communications, monitoring on-site trading activities, and
articulating firm’s value, strengths, and brand.
Promoted to manage a 12-person team of Brokers and Clerks, direct
capital according to dollar amounts, position, risk, and trade large
capitalization issues. Key activities encompassed floor operations
activities, risk management, capital usage, and employee hiring and
training activities.
* Instrumental in increasing firm’s business 400% during a 10-year
period.
* Drove efficiency levels up by introducing new operational policies
and procedures.
* Teamed with President/CEO to design strategic long-term business
plans, and orchestrate sale of company. During
this event, interfaced with prospective buyers and advisors.
* Dealt with high volume and volatile stock trading situations
involving stocks such as Nokia and Wachovia Bank.
* Successfully generated trading profits in secondary and tertiary
issues throughout entire tenure.
EDUCATION & ADDITIONAL HIGHLIGHTS
Education
Bachelor of Arts, Political Science
Drew University, Madison, NJ
Licensure
NASD Series 7, 55, 24, and 63 Licenses
Affiliations
Security Traders Association of New York
Financial Executives’ Networking Group (FENG)
FENG Asset Managers’ Specialist Interest Group |
