2014 – 2015 (1 year)
Specialist- New York Stock Exchange
Specialist Broker/Team Lead, Goldman Sachs-New York City, NY 2001-2008
• Traded securities for listed companies, provided clients with investment options and opportunities, collaborated with corporate relations, communicated with listed companies as their Representative.
• Lead workshops to provide administrative staff with trading strategy and techniques training.
• Evaluated administrative and broker teams to ensure consistent delivery of exemplary customer services, led weekly meetings attended by securities brokers and administrative staff.
• Maintained responsibility for ongoing regulatory compliance, addressed compliance issues.
Spear, Leeds, & Kellogg, LLC
Specialist Broker/Team Lead, Spear, Leeds, & Kellogg LLC, New York City, NY 1997-2001
• Traded securities for listed companies, provided clients with investment options and opportunities, maintained a fair and order market with companies as their Representative.
• Communicated with client companies to provide updated market and investment opportunity information.
• Developed productive relationships with trading desks from varied Wall Street firms.
Assisted in trading for listed companies. Kept Floor Brokers aware of updated information.
Foster, Marks, Natoli, & Saffir, LLC
Assisted the Specialist Broker in reporting trades and keeping Floor Brokers up to date in changes in the market.
Stern & Kennedy
Assisted Specialist Brokers in recording Trades that took place intra-day. Keep Floor Brokers aware of changes in the securities that they were involved in.