yyyyyy x. yyyyyy                                                    0000 xxxxxx xxxx , xxxx , xxxxx 00000

xxx-xxx-xxxx                                                                                                                            abc@xyz.com

 

objective

financial services professional exploring career opportunities to utilize brokerage, market operations, investment techniques, risk management and research talents in actively supporting a progressive organization; offer demonstrated dedication, personal drive and superior performance in optimizing operational and financial performance as a key team member.

 

career profile

ø  over 30 years of comprehensive financial services experience with major new york securities firms and life insurance entity.

ø  key role in start up of domestic trading for foreign firm; held responsibility for all facets of nasdaq market making.

ø  worked closely as agent for client base; developed relationships with other brokers/dealers in support of developing agency business.

ø  licensed registered representative, with upcoming series 63 certification; possess series 6 license.

ø  in-depth back-office experience, including clearing, coding, ncc-coding of tickets.

ø  proven long-term career accomplishment and stability.

ø  established reputation for sound, well-considered fiduciary actions/decisions for both company and clients.

ø  demonstrated comprehension of stock market operations and nuances.

 

professional experience

 

metropolitan life insurance company, new york, ny                                                                                                  2004 - present

financial services representative

       recruited to offer life insurance, retirement planning, annuities and ira's.

       effectively provide financial freedom to clientele.

       serve to protect current client assets.

 

donaldson, lufkin & jenrette securities, new york, ny                                                                                                    1991 - 2000

institutional equity trader

       manage trading on both nasdaq and otc exchanges; allocate funding for various investments.

       serve as registered representative to trade stocks on clients behalf.

       function in the capacity of accommodating clients financial objectives.

       administer proprietary risk for all affected accounts.

(not sure if following is retained)

       oversaw brokerage activity in both nasdaq and otc markets; allocated funding for both institutional and company investments.

       managed proprietary risk for all concerned accounts.

       conceived strategies in concert with dlj investment bankers and equity analysts to determine proper positioning of firm within target market.

       kept clientele appraised of stock trends and company earnings.

 

smith new court carl marks, new york, ny                                                                                                                        1989 - 1991

institutional equity trader

       commenced and operated enterprise of domestic proxy trading for foreign corporation.

       accountable for all company s nasdaq market making transactions.

       rendered services as representative agent on behalf of smith new court s existing client pool.

       initiated/nurtured relationships with other broker/dealers in order to solicit agency (non-risk) business.

 

 

 

 

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thomson mckinnon securities, new york, ny                                                                                                                    1979 - 1989

equity trader

       primarily acted to trade stocks for the firm s accounts.

       duties also included implementing agency orders (non-risk).

       extensive back-office experience including clearing, coding, ncc-clearing of tickets.

 

 

licensure

series 6 investment company/variable contracts limited representative license

series 7 general securities license (expired october 2002)

currently working toward series 63 license