Description
Processed client equity, Lepercq de Neuflize & Co.,and Tocqueville Asset Management, New York, NY * Opened, serviced, traded for and reconciled client accounts Oversaw SEC, NYSE, FINRA and Blue Sky compliance filings mutual fund bond and annuity transactions Administered daily operations strengthened client relationships and reconciled accounts Obtained Series 7 63 and 55 licenses . Worked on trade desk
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