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Consultant/tentative Principal Resume

Highly motivated and skilled professional seeking challenging position within organization that values focus on growth


  • Trader Desk Management
  • SEC Audits
  • Registration/Licensing
  • Regulatory Compliance
  • Clearing Operations
  • Investor Services
  • System Conversions
  • Quality Assurance
  • Mergers & Acquisitions
  • Corporate Communications
  • Procedure Development
  • Change Management
  • Client Education
  • Recruitment/Hiring
  • Staff Training



  • Extensive brokerage industry knowledge and experience with analysis/resolution of complex processing problems with trading and operations systems
  • Hands-on experience with the major systems (ADP/Broadridge, Sungard/Phase III, BETA) supporting brokerage operational areas, including Dividends, Corporate Actions, Clearance, Margins, New Accounts and Trading
  • Proven track record of managing brokerage operational functions and conversion teams.
  • Experience in multiple areas of financial trading, including stocks, commodities, options, margins, municipal bonds and mutual funds
  • Ability to work with ease in high-pressure, fast-paced environments
  • Engaging oral communication style and ability to quickly establish rapport
  • Track record of success in implementing large-scale procedural changes to enhance cost-efficiency and productivity, with particular emphasis on technology implementation and system conversion
  • Ability to communicate effectively with individuals at all organizational levels, both internally and externally
  • Exceptional leadership and team-building capabilities


  • Series 7, General Securities Representative
  • Series 24, General Securities Principal
  • Series 27, Financial and Operations Principal
  • Series 63, Uniform State Law


  • Played key role in liquidation of largest brokerage failure in the history of the Securities Investor Protection Corporation (SIPC), including recovery of $3.5B in CD operation
  • Coordinated and led mergers with, or acquisitions of, at least 5 broker/dealer firms; held responsibility for system and process conversions
  • Participated instrumentally in attainment of FDIC approval for newly-established trust company


Confidential 07/2008 - 02/2011 Consultant/Tentative Principal Major Functions: In charge of handling the 1017 FINRA process to purchase a broker/dealer. Worked with all outside vendors setting up the services for quotes, e-mail archives, system back-ups and clearing agreements. Responsible for all FINRA requirements for writing and receiving FINRA approval on the firm's WSP's, AML, BCP and all documentation requirements for FINRA approval.

Confidential 10/2007-06/2008 Senior Consultant Major Functions: Responsible for the data mapping, mock conversion balancing, B1 settings, employee training, conversion balancing of the firm, converting to the ADP/Broadridge platform for the following areas: Inventories; G/L trial balance; dividends; corporate action; compliance.

Confidential 06/2007-09/2007 Conversion Consultant Major Functions: Data mapping, conversion balancing of the firm, converting from ADP/Broadridge Gloss System to the new Phase III International Clearing System.

Confidential 2006-2007 Chief Operating Officer Major Functions: Chief Operating Officer of a self-clearing firm with 55 correspondents doing 35,000 trades per month with operational staff of 42. Oversight for all operational functions of a self-clearing firm, including but not limiting to, IT Department, ACATS, CNS settlements, box breaks, DTC breaks, focus reports and reserve computations.

Confidential 2001-2005 Senior Consultant Major Functions: Consulting to SIPC-appointed trustee during liquidation of MJK Clearing, Inc., the largest brokerage failure in SIPC history; key participation in development and execution of asset reconciliation plan; leadership of 18 financial professionals in endeavor to recover, balance and transfer $3.5B in CD operation from Scottsdale, AZ to Minneapolis, MN.

Confidential 2000-2001 Business Analyst/Conversion Team Manager Major Functions: Oversight and leadership of software design, testing and implementation for supplier of securities processing software; management of conversion teams throughout all phases, including custom modification and installation.

IConfidential 1999-2000 Senior Vice President/Director of Operations Major Functions: Oversight of all operations for full-service broker/dealer and Internet discount trader, including trade desk, client services and clearing operations; staff supervision and leadership; management of order execution function utilizing high-speed ECN venues.

Confidential 1987-1999 Senior Vice President/Director of Operations - Gemisys Transfer Agent Major Functions: Complete operations management for SEC-registered transfer agent for 600+ issues including limited partnerships, REITs and common stock with 2.5M+ investors; supervision of 65 staff members; management of annual SEC and independent audits; heavy participation in conversions and associated quality assurance; collaboration with investor services to ensure on-time deliverables; work flow design and enhancement; management coaching and development.

Senior Vice President of Trust Operations - Confidential Major Functions: Key role in due diligence for acquisition of Trust Company of America and TransCorp Pension Services; management of conversion team, with responsibility for process and system conversions for Gemisys Trust Company, Trust Company of America and TransCorp Pension Services; oversight of all operations, including client services, clearing and sub-accounting; recruitment, development and management of 110 staff members; participation on Executive Committee, charged with establishment of charter, FDIC insurance/approval and procedural documentation.

Senior Vice President/Chief Operating Officer - Confidential Major Functions: Establishment and complete operations management of NASD-registered broker/dealer with multiple branch offices spanning 4 states and 35 registered reps; oversight of merger/acquisition of 3 broker/dealer firms; management of 105 staff members.


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