SUMMARY OF QUALIFICATIONS

Background includes extensive practical experience and formal training in these

key areas:
Financial industry operations, trading, sales, market research and analysis, qua
lity assurance, regulatory compliance, NYSE standards, reporting, customer servi
ce, public relations, problem solving, management, staff development, interviewi
ng, hiring, training, supervision, motivation, performance evaluations, computer
s, trading software, Brass, Fidessa, Microsoft Word, Excel, Windows, Internet
Highly self-motivated; interact well with all levels of management, co-workers a
nd the public; take charge of situations to execute permanent solutions; effecti
ve multi-tasking skills.
PROFESSIONAL EXPERIENCE
Assent LLC, Croton-on-Hudson, NY 2009 to 2010
Proprietary Trader
a Responsible for trading in and out of securities on a daily basis.
a Effectively manage cost to increase bottom-line profitability.
a Demonstrated expertise in researching opportunities within the marketplace,
managing risk of capital, monitoring P&L reports/activity, and analyzing market
trends to determine effective entry and exit points.
a Also responsible for maintaining regulatory compliance with all FINRA standa
rds.
Jefferies & Company, New York, NY 2000-2008
Equity Sales Trader
a Responsibilities encompassed all phases of daily trading operation.
a Co managed 10 equity sales traders.
a Called on and met with customers to sell them our merchandise, research and o
ther products.
a Demonstrated a proven ability to meet and exceed quota expectations and sales
targets.
a Executed a high volume of trades for institutional buy-side traders in listed
and NASD securities.
a Researched and located liquidity in the marketplace using our in-house netwo
rk, algorithms, ECNas posit and pipeline.
a Worked with back office staff and compliance officers to research and resolv
e all trade discrepancies, and maintain compliance with all regulatory standards
.
a Additional duties included ensuring that all trades cleared, committing capi
tal whenever needed to capture an order, extensive customer service, maintaining
knowledge of market/financial trends, and preparing daily and weekly market syn
opses.
a Position required the ability to work effectively in an extremely high-press
ure environment.
a Promoted from initial position of Trader.
a Key member of the Healthcare Sector Group that traded over 6 million shares
a day and earned over $35 million in revenue for the firm in 2007.
a Achieved optimal trade execution by establishing strong relationships with o
ur analyst, sales force and NYSE floor brokers.
Continued next page aa
Performance Specialist Group, New York, NY 1996-2000
Head Trading Assistant-NYSE
a Supervised and directed activities of 15 Specialist Clerks, with responsibi
lity for interviewing, hiring recommendations, training, delegating assignments
to ensure that operational objectives were achieved, motivation, assisting with
complex trading, and providing input into performance evaluations.
a Determined proper price for securities on opening and closing by pairing of
f imbalances.
a Allocated stock to the proper brokers based on time and size priority.
 a Responsible for maintaining compliance with all NYSE standards.
a Consistently met or exceeded productivity goals.

RSF Partners, New York, NY 1990-1996

Head Trading Assistant
a Supervised and assisted 12 Specialist Clerks in making markets for 75 stock
s.
a Monitored compliance with regard to NYSE rules and regulations.
a Met with market surveillance quarterly to discuss proper procedures for the
specialist firm.
a Tracked daily records of firmas positions, P & L, and capital requirements.
a Staffing functions included interviewing, hiring recommendations, training,
motivation, delegating assignments and providing input into performance evaluat
ions.
a Promoted from initial position of Clerk.

Scotia McLeod, New York, NY 1987-1990

Spear, Leeds & Kellog, New York, NY 1984-1987
Tucker Anthony, New York, NY 1982-1984
Thompson McKinnon, New York, NY 1979-1982
Phone Clerk
a Responsible for taking and distributing phone orders to traders.

EDUCATION
University of Buffalo, Buffalo, NY
Bachelor of Arts in Economics, 1979

LICENSES
Series 7, 63 55, 24
CERTIFICATES
NASM Personal Trainer, First Aid, CPR/AED

- Excellent references available upon request -