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Online Resumes with "Broker Dealer "

Chief Financial Officer - 15 Years of Experience - Near 11767

A financial professional with 15 years experience in financial services ranging from broker dealers to hedge funds. Excellent pc skills including programming many proprietary portfolio management systems. Expert on Due diligence of portfolio companies and hedge fund managers.

Broker Dealer Principal

Join a reputable firm as branch office, back office or compliance manager.

Tags for this Online Resume: Broker Dealer operations, Broker Dealer Compliance Procedures, -FINRA Rules and Regulations, FINRA/SEC/AML audit procedures, compliance officer , back office systems , NASD/FINRA and SEC audits

Personal Financial Advisor - 20 Years of Experience - Near 45243

At this stage of my life after a successful career as an Investment Professional within the Broker Dealer channel I wish to transition to another an opportunity within Wealth Management. Remaining in an industry I have long had great interest in and passion for. Quite simply I am seeking an opportunity where I can contribute, be challenged and compensated in that order.

Tags for this Online Resume: Series 7, 9, 10, MBA, Wealth Management, Wholesaler, Insurance

Financial Manager, Branch or Department - 20 Years of Experience - Near 80237

Assist in the growth and management of a small local broker/dealer

Tags for this Online Resume: investments, sales, manager, stocks, mutual funds, annuities, president

Director/Leader Broker Dealer Services

My objective is to acquire a key position within the financial services industry that will allow me to use the skills that I have acquired, while helping the organization I join reach its set objectives.

Ideal Companies: Fund Companies, broker dealers (Merrill Lynch, Citigroup Fidelity), retirement organizations, banks and transfer agencies

Tags for this Online Resume: project manager, Mutual Funds, Business Analyst, SERVICE manager operations, brokerage Operations, Clearnace and Settlement, DTCC

Corporate Counsel

Thirteen years of experience in the investment management business, specializing in alternative investment products.

Tags for this Online Resume: hedge fund, Advisers Act, '40 Act, mutual fund, managed accounts, broker/dealer

Sales Representative - 20 Years of Experience - Near 92010

Market to existing and new relationships in the Broker/Dealer Network Increasing sales by 100%

Tags for this Online Resume: Regional Sales Director, External Wholeser, Regional Vice President, External Financial Svcs Sales, Insurance External Wholesaler, External Product Sales, Veteran Wholesaler, Outside Sales Professional

Financial Specialist - 18 Years of Experience - Near 33028

To Whom It May Concern: I am a bilingual, economics educated, goal-driven ex Head of Sales and Trading, Bank Portfolio Manager, and Investment Advisory with greater than 18 years of institutional and ultra-high-net-worth experience on both the buy and sell side. With my many years of on the job experience I have achieved a remarkable in-depth and diverse understanding in NYC trading floors (NYSE, COMEX, and CBOE); com...

Revenue Management - 20 Years of Experience - Near 06820

Ken is a results driven executive with international experience in the Financial Services industry in Financial Technology and Enterprise Software. With a proven track record leading business development teams dealing with Buy-side asset managers and Sell-side broker dealers, Ken has consistently delivered solid revenue growth and margin improvement. His proven management skills include P&L responsibility for multiple globa...

Tags for this Online Resume: revenue, profit, ebitda, margin, sales, leadership, process, new york