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Click here or scroll down to respond to this candidateCandidate's Name
8 Wabash Road Marlboro, New Jersey Street Address Email EMAIL AVAILABLE Telephone PHONE NUMBER AVAILABLEExperienceReddaway Manufacturing Co., Inc. Newark NJLicensed CDL Tractor Trailer Driver 6/22 Present Navigate roadways in the safest manor for pick up of raw friction materials and deliveries of finished friction products throughout the eastern United States.Keller Williams Reality Monmouth/Ocean & Berkshire Hathaway Home Services Manalapan NJNew Jersey Licensed Real Estate Agent 3/20 3/21 Sales Agent, Sellers Agent, and Listing Agent.Financial Industry Regulatory Authority (FINRA)Senior Director, FINRA Market Regulation 7/02 3/20 Management and supervision of the Financial Examination Staff in multiple FINRA Offices. Responsible for development of appropriate staff and resources to complete aggressive examination cycles. Detailed interaction with the Securities and Exchange Commission (SEC) on various departmental, organizational, and industry related topics. Interaction with member firms to provide guidance with regards to continual SEC, industry, and external regulatory organization landscape changes. Maintain and follow department procedures, and provide service to member organizations. Communication to senior management concerning Exchange Specialists and Option Market Makers compliance with SEC, exchange, industry, and external regulatory requirements.The American Stock Exchange, LLC (Amex)Senior Financial Examiner, Financial Regulatory Services 10/00 7/02 Surveillance of Amex Specialists and Amex Market Makers for compliance with Exchange rules pertaining to minimum acceptable equity and net capital requirements. Conducted routine, cause, and exit financial examinations to make certain members and member firms were in compliance with SEC and Exchange rules and regulations. Conducted entrance interviews to assure new members and member firms were aware of their financial responsibilities and were in compliance with SEC and Exchange rules and regulations. Assisted members with questions pertaining to their compliance with SEC and Exchange rules and regulations. Performed monthly, quarterly, and annual review of member FOCUS Reports to monitor firms financial and operational condition. Involved in the development and enhancement of the Financial Regulatory Services internal database. Developed questionnaires and procedures for new Exchange rules specifically pertaining to floor broker compensation arrangements (Amex Rule 324).Merrill Lynch Professional Clearing Corp., New JerseySupervisor of Financial and Regulatory Reporting 11/96 10/00 Responsible for month end profit and loss, balance sheet reporting and analysis. Supervise staff of four throughout daily/monthly P&L, Balance Sheet, and Focus cycles. Fixed asset accounting (depreciation and cost analysis, uploads interfacing into M&D general ledger system). Prepare monthly divisional managers package and monthly focus report. Maintain daily estimate of firms net capital 15c3-1, balance sheet, and p&l. Compute 15c3-3 Reserve Requirements on a weekly basis. File daily futures segregation report with The National Futures Association. Responsible for maintaining and reconciling all firm intercompany loans. Extensive interaction with clients regarding commission account activity, rebates, and disbursements. Enhancement of report preparation to increase productivity and accuracy.A.S. Goldmen & Company Investment Banking, New JerseyRegistered Representative 9/95 - 11/96 Profiled for possible broker/client relationships, while soliciting in-house equity products. Responsible for maintaining and servicing client accounts while developing broker/clientrelationship.Baring Securities Inc., New YorkSenior Accountant, Financial Reporting 11/94 - 2/95 Responsible for month end profit and loss reporting and analysis. Designed soft dollar package for reporting and analysis purposes.In charge of financial reporting for all corporate syndicate deals.Candidate's Name
8 Wabash Road Marlboro, New Jersey 07746 Email EMAIL AVAILABLE Telephone PHONE NUMBER AVAILABLEPrivate consulting for firms including:InverMexico USA Inc., Merrill Lynch and J. P. Morgan Securities Inc.,Consultant 10/93 - 11/94 Developed reconciliation system for trading inventory and international company accounts. Designed corporate financial statements and firm trading position schedules. Foreign currency conversion and analysis for profit and loss reporting. Prepare, analyze and consolidate all financial statements for various partnerships.Donaldson, Lufkin & Jenrette Securities Corp., New YorkSenior Accountant, Regulatory Reporting 9/92 - 10/93 Created Asset and Liability analysis for month-end focus reporting. Developed graphic profit and loss analysis for divisional managers. Reconciled fails to customer positions. Ensured that firm met 15c3-3 Reserve Requirements. Performed Customer/Internal account analysis to comply with regulatory requirements.Corporate Accountant, Corporate Controllers Group 5/89 - 9/92 Fixed Asset Accounting (depreciation and cost analysis, uploads interfacing into M.S.A. general ledger system). Automated fixed income asset accounting and daily profit and loss preparation, resulting in more accurate and timely information. Responsible for Corporate profit and loss and financial statement analysis involving the consolidation of all financial data. Prepared consolidated monthly reports, on Lotus 1-2-3 for Windows, which were presented to senior management in monthly divisional managers package. Special projects interfacing with Info Systems and Financial Analysis departments. Automated monthly Incentive Compensation Allocation System resulting in more accurate and timely information.EDUCATION AND TRAININGThe Wharton School Securities Industry Institute 2013The Institute for Management Studies (IMS) Various Management and Leadership ClassesAmerican Management Association (AMA) Various Management and Leadership ClassesNew York Institute of Finance - Stock Brokerage Accounting / Uniform Net Capital Rule / Rule 15c3-3Series 7 & 63 Licensed Registered RepresentativeSt. John's University, BS Finance, Associates in Accounting, 1988 |
