COVER LETTER: To whom it may concern Please find the attached resume which encompasses the qualifications for this role. I am familiar with and have put together many fixed income portfolios for my clients. As a financial advisor I was responsible for monitoring the trading activities of my bankers. I was also responsible to make sure that all KYC (know your client) procedures were followed. Two forms of identification and perhaps a utility bill. I also made sure that any potential clients were not on any lists of sanctioned states or OFAC. I am familiar with the registration process for FINRA (being registered) and also the process for the National Futures Association. I was delegated the duty to make sure that that all of my bankers were licensed and that all regulatory exams were passed and continuing education classes were taken on a timely basis. In a supervisory role I assisted my bankers in responding to any regulatory inquiries. As a trader on the floor of the NYSE research was conducted on each listed security (and their competitors) and split second decisions were made. I have taken public speaking classes and put them to use gaining many clients at seminars and business functions. I also spoke at various summits and during morning calls giving market color and stock picks .I look forward to discussing this opportunity further. Regards
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