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Online Resumes with "Series 7 "
Experienced Trade Support / Middle Office Operations Specialist - New York
Trade Support Specialist with experience supporting the following Trading and Sales Desks - Market Maker, Risk Arbitrage, Derivatives, Convertible Bonds, ETF, Investment Banking, and International Equities. Responsible for every trade through settlement and inventory position. Experienced with position and P&L reconciliation, ticket booking, account setup, and trade prematching. Systems experience includes Fidessa, Bloomber...
Tags for this Online Resume: Trade Support, Middle Office, Reconciliation, Bloomberg, Fidessa, Equities
30 years in the insurance and inveatment business.
Looking for a friendly nice environment.
Tags for this Online Resume: Baltimore/DC markets, Intergetty , Series 7,63, 65, Sales, Sales manager, worked in Banks
Compliance Supervisor
Pacific Pearl Group - West Palm Beach FL Chief Compliance Officer - 2012,2013 Self Employed - Trader November 2011 - August 2012 Traded equities and execute various options strategies utilizing research and stock market trends to self sustain my income Kane Reid Securities dba TradeKing, Fort Lauderdale, Florida February 2007- January 2011 Supervisor of Compliance and Customer Identification Responsible for the superv...
Senior Commercial Credit Analyst - 15 years experience
As a Financial professional with over fifteen (15) years of diverse background in the commercial loan field, including sales, origination of loans, underwriting, loan reviews, appraisal reviews, and managing a loan portfolio. Knowledge of statutory and management reporting.
Ideal Companies: Financial Institutions
Tags for this Online Resume: Cash Flow, Excel, Asset Management, Discounted Cash Flow, Appraisal Reviews, Loan Reviews, direct and indirect capitalization techniques
vicepresident of sales
Tm yR
Tags for this Online Resume: series 7 and 63
middle office -25 years broker dealer experience series 7,55,63
i am a financial industry middle office professional with 25 years experience. trade problems some compliance some trading some bond work some settlements a little of everything
Tags for this Online Resume: new jersey, full time, middle office, series 7, customer service
Compliance Examiner
. I have worked for my current company, LPL Financial, for over 7 years. I previously worked in two home office locations - San Diego and Charlotte. Currently I work remotely for the company in Chicago and am hoping to find a new organization that offers a dynamic work environment and sterling reputation. As my attached resume shows, I have a proven track record of advancement in service, operations, and compliance. I am Se...
Tags for this Online Resume: Compliance, Service, FINRA, SEC, Licensed, Management
Sales Manager 30+ years
Jeffrey Talley 1214 Brigham Way Geneva, IL 60134 United States 1-815-557-4208 JeffreyTalley2@aol.com PROFESSIONAL EXPERIENCE Wells Fargo, Chicago IL. United States Stock Broker. January 1994 - June 2012 • Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, or financial objectives. • Develop financial plans based on analysis of clients' financial status, and discuss fina...
Director of Alternative Investment Products - 13 years Experience - Los Angeles
Alternative investments product specialist and proven private equity portfolio manager with investment and asset management experience; Served six plus years in leadership capacities on Board of Institutional Limited Partners Association (ILPA) representing US $1+ trillion of private equity capital. Deep knowledge in: * Private Equity Portfolio Management * Real Estate Debt Programs * Hedge Fund-of-Funds * Distresse...
Tags for this Online Resume: Alternative Investments, Private Equity, Assets, Distressed Debt, Convertible Bonds, Real Estate Debt Programs, Mezzanine Debt, Distressed Real Estate, Hedge Fund-of-Funds, Public Finance, Leveraged Loans
INVESTMENT MANAGEMENT PROFESSIONAL
Senior Sales & Marketing Executive with expertise in distributing investment products and services through private bank, independent, wirehouse and regional brokers/dealers. Proven record of cultivating strong relationships with senior executive leadership and major distribution partners. Expert at identifying critical disconnect slowing sales growth and implementing the strategies, processes, and changes required to remedy...
Tags for this Online Resume: mutual funds, investments, wholesaler, offshore mutual funds, product integration and marketing, relationship management
Commodities Trader, New York-- 12 Years Experience
Trade
Tags for this Online Resume: commodities, trader, equities, options, market maker, series 7
Organizational Genius
High energy leader with strong public speaking and financial skills. Creative, hard worker, integrity-driven
Ideal Companies: IBM, New York Times, Northrop Grumman
Tags for this Online Resume: management, finance, banking
