Greenwood Village, CO
Premium Client Services August 2016 - Current
• Dedicated Professional with significant experience providing superior client services in personal investing.
• After passing both the FINRA Series 7 and FINRA Series 63 role included working as a mutual fund trader and general account services representative. Promoted to equity trader within 6 months due to accuracy of trades and positive feedback from client experiences. Promoted for the Premium Client Services, 2017 which assists clients with over $250,000 net worth in retail accounts.
• Attention to detail while working under stressful conditions of the stock market. Ensure accuracy and timeliness of trades. Relay complex information to clients. Work through many different markets, and products offered at Fidelity including equity markets, fixed income markets, and international markets. Discuss economic conditions that move the market and understand the clients market sentiment.
• Communicate with clients from around the world, and relay information digitally through the many programs Fidelity uses. Compile vast amounts of data through Active Trader Pro and accurately interpret and relay the information to the client in a way they can use for decision making.
- equity trader at Fidelity Investments
- Sales, Business Operations at Helping Hand Home Healthcare
- Sales, Business Operations at Bayada Home Health
3 years at this Job
- Master of Science in Business Analytics - Business and Data Analytics
- B.S. - Business Management
- - Business Analytics
Managed heavy load of trading under stressful and time-critical conditions as sole trader for two funds with different Healthcare strategies: a core long/short hedge fund with 8 separate accounts, which peaked at $1B+, and a long/short micro cap fund of $100M. Performed a variety of administrative and investment-related functions to support Portfolio Managers. Served as backup trader for the firm's institutional arm on a desk of four.
Trade Execution & Desk Management:
• Created tools for tracking crucial trade desk metrics and creating more efficient processes, including trade programs for weekly/monthly cash flows, ensuring accurate balancing of accounts.
• Researched and resolved trading discrepancies, in addition to reconciling fund positions, trades, and cash movements with various support groups.
• Minimized information slippage between products by sharing market and stock-specific information with team of 4 traders on desk.
• Improved trader decisions on selecting where orders were sent on a daily basis by running weekly commission reports displaying commissions paid versus internal broker rankings.
• Traded for UCITS fund, using core strategy, resulting in multiple swap transactions, including custom baskets. Portfolio Manager Support:
• Created successful trading strategies with Portfolio Managers, ensuring optimal execution, in addition to supporting all daily trading and operational aspects of fund management.
• Collaborated with Traders, Portfolio Managers, Research Analysts, and various internal support teams to develop a wide variety of trading strategies.
• Monitored macro and fast-breaking stock-specific news and notified multiple Managers and Analysts, frequently influencing pre-market and post-market trading activities.
• Rebalanced funds, as required, to ensure accurate tracking with associated indices.
• Consistently exceeded performance standards, receiving outstanding yearly performance reviews from both the Head Trader and Healthcare Portfolio Manager. COLUMBUS CIRCLE INVESTORS ) Internal & External Communications:
• Maintained pipeline to fast-breaking news and information on the Street by building and managing strong productive relationships with 75+ brokers within the healthcare industry.
• Communicated with and interacted with Portfolio Managers and third parties on trade-related queries. Program Management:
• Managed firm's commission sharing program (CSA), using 8 separate vendors paying 40+ brokers on a monthly basis, ensuring fair payment and ranking within company guidelines.
• Monitored multimillion soft dollar budget across multiple vendors, ensuring timely and equal payments from each product. Regulatory Compliance:
• Partnered with legal, front and back office, pricing, confirmation, and other support areas to ensure the highest standards of compliance and ethics within operationally complex markets and stringent regulatory environments.
- EQUITY TRADER at COLUMBUS CIRCLE INVESTORS (CCI)
- at COLUMBUS CIRCLE INVESTORS (CCI)
- OPERATIONS ASSOCIATE at COLUMBUS CIRCLE INVESTORS (CCI)
12 years at this Job
- - Business & Finance
• Responsible for electronic order routing strategies and contribute to the execution of 8,000,000 trades per year
• Recommend 10 - 30 tailored trading strategies per day with an emphasis on minimal market impact
• Conduct daily, weekly and monthly best execution analysis on different order types and categories
• Responsible for new associate training program by creating a question bank of 100 questions as well as assigning presentation topics to new associates
• Discovered and improved various system and process gaps resulting in less trading risk and more efficiency, such as: o Increased efficiency by reducing over 40% of manually reviewed daily equity order flow with the help of an auto re-routing process o Created a screen to review thinly traded common equities and ETFs in order to route over 600 tickers to correct destinations o Identified inconsistencies of large order review methods on both buy and sell side and provided solutions which were implemented in daily workflow o Discovered 400 commissionable accounts and reverted commission status efficiently and precisely o Revamped counterparty risk analysis by creating 5 ratios to measure the potential risk
- Equity Trader at Edward Jones
- Commodity Trading Intern at Archer Daniels Midland
- Finance Intern at Ameriprise Financial
5 years, 6 months at this Job
- Master of Business Administration - Business Administration
- B.S. in Business Administration - Finance and Banking
• Traded firm's capital on daily basis
• High volume trader: 50k-500k shares per day
• Consistently profitable over 14+ years despite adverse and dynamic market conditions
• Identified market inefficiencies in NYSE and NASDAQ opening/closing crosses, IPO opening crosses, LULD halts, new issues, spinoffs, uplistings, and secondary offerings
• Used advanced technical analysis to establish mid-long term positions
• Quickly interpreted news events from multiple real time news services while watching numerous index charts, trading in three level 2 boxes, and listening to S&P 500 auction
- Equity Trader at Trillium Trading LLC
- Senior Vice President at Millen Professional Services Inc
- Equity Trader at Schonfeld Securities LLC
14 years, 9 months at this Job
- B.A. - Finance B.A
•Provide exceptional customer service to Financial Advisors, their assistants, their clients and LPL Financial internal business partners as it relates to Mutual Fund, UIT and Precious Metals trading and trade corrections.
•Maintain knowledge about various products supported by the trade desk (Mutual Funds, UITs, Precious Metals, Equity, & ETFs). Be able to explain the differences between the products to advisors, clients and internal business partners.
•Support internal business partners with executing trades (Transfers, Managed Platforms, Research, etc.).
- Mutual Fund & Equity Trader at LPL Financial
- Equity Trader at Wells Fargo Advisors, LLC
- BROKER ASSOCIATE III at Wells Fargo Advisors, LLC
- PREMIER BANKER II at Wells Fargo Bank, Inc
1 year, 2 months at this Job
- Associate of Business Administration - Business Administration
- Equity Trader at Chimera Securities
- Strategic Planning Intern at TrackOFF
1 month at this Job
- Bachelor of Business Administration - Finance
Strategizing and executing trades for institutional clients revenues consistently algorithmic trading systems
● Using in-depth industry knowledge and real time information to provide differentiated advice
● Established trading for the spread products (merge/arb, hold co's, share classes) and have helped grow
● Trading programs for large institutions
● Managing algorithmic order flow from across the client base
● Developing and strengthening client relationships on a constant basis, providing updated advice and presenting new ideas
● Learning and maximizing multiple software platforms; Excel, Bloomberg, Fidessa OMS, various proprietary
● Finding creative solutions to trading conflicts in time sensitive situations
Strategizing and executing trades for institutional clients
algorithmic trading systems
- Equity Trader at Piper Jaffray
- Ski Instructor at Town of Crested Butte
- Bike Messenger at Bicycle Express
26 years, 2 months at this Job
• Managed account of $400,000 focusing on intraday and overnight news in long / short US equities, generating two consecutive profitable trading months of $4,400 and $820
• Analyzed risk-return tradeoff on thousands of potential trading opportunities by applying potential trading strategies to comparable past situations, providing framework to determine trades that have positive expected values and over 75% probability of making profit
• Assessed the stock implications of a variety of market situations including M&A deals, IPOs, secondary offerings, clinical trials, etc. with senior traders leading to over 10 personal trades of $500+
• Utilized bespoke software and data services such as Bloomberg on trading desk to access material stock information, reducing personal average trade execution time by 3 seconds
• Managed and coordinated multiple projects simultaneously including creating a database of semiconductor companies and researching financial attributes of REITs for senior trader
• Created several PowerPoint slide decks which were presented to senior management outlining the steps involved in successful trades by displaying instances of technical analysis signals such as overextension and consolidation
- Proprietary Equity Trader at Trillium Management
- Wealth Management Intern at AI ADVISORS
- Wealth Management Intern at OPPENHEIMER & CO. INC
1 year, 10 months at this Job
- Bachelor of Business Administration - Finance and Accounting
- Trade Forex currency pairs - Analyze multiple market conditions and available data along with Economic Calendar events to determine favorable trade opportunities. - Successfully demonstrate understanding of various methodologies for executing profitable trades in commodoties and foreign exchange markets.
- Equity Trader at Forex
- Independent General Contractor at Site
- at El Paso Community College
- Lead Equipment Operator at Four Corners Hay
1 year, 3 months at this Job
- Some college
Manage long-only trading strategy for multi-fund firm with $8B+ AUM, including international and domestic securities activity. Contribute actionable insights and quantified impact analysis to block trades, IPOs / secondary offerings, and call option decision making. Synthesize industry trends and single stock analysis into recommendations for optimizing routing orders, desk selection, and broker algorithms. Provide daily / weekly / quarterly performance reporting to support cost center analysis, cost reduction, and risk re-balancing efforts.
• Spearheaded benchmarking analysis of commissions and reduced rate by 40% for $500K cost savings.
• Recruited by senior management to lead cross-functional initiatives in broker vote administration and management system implementation.
• Project-managed data compilation and analysis of soft dollar-invoicing and brokerage payment projections.
• Developed complex models for transaction cost analysis to support enhanced portfolio decision making.
- Equity Trader at First Investors Corp
- Fund Accountant at
10 years, 11 months at this Job
- Bachelor of Science in Accounting - Accounting