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Securities Trader Resume Samples
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0-5 years of experience
Securities trader at Fidelity, responsible for processing trades of various financial securities including stocks, bonds and mutual funds.
- Maintained client accounts, processed distributions and facilitated transfers between retirement and brokerage accounts.
- Educated customers during tax season on tax regulations and provided other market related information that Fidelity customers requested.
- Maintained a high degree of current market knowledge with news and market information of the financial industry.
- Attained my Securities Traders license by successfully passing the Series 7 and Series 63 financial exams.
0-5 years of experience
Processed buy/sell equity, option, and mutual fund transactions using National Financial clearing systems.
- Developed and implemented new error control and correction procedures.
- Reconciled daily error account and coordinated compliance documentation and reported questionable positions to senior management.
- Monitored and reviewed the electronic order flow from retail field force, ensuring proper execution and compliance with firm and regulatory requirements.
- Established tracking and maintenance procedures for the periodic investment, systematic withdrawal and dividend reinvestment plans.
- Member of the conversion group responsible for the firm's successful movement from the National Financial clearing platform to the Pershing clearing platform.
0-5 years of experience
- Enabled the successful coordination of separately managed accounts by collaborating with both First Citizens and Concord Wealth Management advisors.
- Ensured that firm's communication with the public was fair, accurate, and aligned with both organization and SEC/FINRA regulations by maintaining customer correspondence files.
- Fostered client relationships by accurately/quickly executing stock, municipal/corporate bond, option, and mutual fund buy/sell orders.
- Recognized for achieving several months of 99% or higher error-free trade execution record.
- Achieved status as preferred equity trader for the Chairman of First Citizens Bancshares and other senior-level managers/executives, including the family that owned the bank.
6-10 years of experience
- Identified and initiated short-term and medium-term equity trades with $5M daily buying power.
- Followed and kept current with macro-economic trends and world news events to create trading strategies to help prepare for each day, week, and month of trading.
- Researched and studied various market sectors to determine the best trading opportunities available.
- Analyzed lists of equities that provided the greatest potential trading opportunities on a daily basis.
- Evaluated the past trading history of many companies over various sectors to help optimize valuation methods and trading models.
0-5 years of experience
- Managed […] in Firm capital buying and selling domestic securities.
- #1 gross and net revenue producer in peer group during multiple quarters in 2008.
- Created and implemented risk models to maintain a 2:1 spread between winning and losing trades
- Conducted extensive research of global economies with focus on US, European and Asian markets to discover profitable trading patterns.
- Recorded and analyzed trade data to identify profitable trading patterns as well as trading mistakes.
- Created 250 algorithms which identified specific stock patterns that produced profitable trades.
0-5 years of experience
Revision of Tiered Pricing Commission Schedule, updated CUNA Brokerage commission schedule
- Coordinated communication efforts to three tiers of senior management and functional departments
- Eliminated "ladders" in tier pricing structure and identified duplicate fees from clearing house.
- Designed commission and compensation calculator prototype used to build web based application
- Distributed to 700+ field sales reps and call center associates through the CUNA Brokerage
- Created Desktop Quick Reference Guide (using VBA) for improved inbound call center efficiency.
- Featured easy navigating menus; on-demand forms, corporate directory and product and pricing details.
- Processed client trade orders for stock, bond, option and mutual fund trades.
- Provided educational assistance for clients for trading rules dependent on type of account established
6-10 years of experience
Responsible for the timely execution and processing of domestic equity and short term agency institutional client orders.
- Reviewed trade orders to ensure accuracy, resolve trade fails, and account maintenance issues.
- Created models to track, spread, and monitor the investment performance of major indices and their member's.
- Gathered and analyzed trends in qualitative and quantitative data.
- Developed VBA models to streamline and automate the production of quantitative products.
- Collaborated with firm's in-house analysts to create trading ideas, and presented those ideas to institutional clients.
- Performed end of month trading account reconciliations.
- Provided Microsoft Excel training to new hires.
0-5 years of experience
Executed listed, OTC and option orders for over 13,000 account executives and money managers nationwide.
- Engaged market makers such as Knight Trimark Securities and Advantage on listed and OTC issues for the purpose of achieving "best execution" on all transactions.
- Responsible for monitoring and executing a high volume of equity orders routed via electronic trading system (Pershing Net Exchange Pro/Bear Stearns Big Brother).
- Communicated with other traders, back office and management regarding breaking news, price fluctuations, and trade related issues.
- Provided clients with information, perspective and guidance on equity markets, individual companies and industries.
- Researched and resolve complex customer complaints and trading problems relating to compliance, trade, cash and settlement issues.
- Maintain composure under high-pressure, fast-paced and volatile markets.
0-5 years of experience
- Managed trade requests(s) from over 2,500 financial consultants as a Series 7/66 Licensed Securities Professional.
- Ensured accuracy of daily trading activity and maintained database for corporate audit purposes.
- Managed in house investment accounts.
- Conducted formal and informal training of employees on the use of multiple back-office systems and company trading policies and practices.
- Advised financial consultants of the necessary procedures and requirements to be in compliance with the NASD and SEC.
0-5 years of experience
- Developed proprietary trading models and utilized technical analysis to capitalize on temporary distortions in pricing relationships caused by market events and changing investor preferences.
- Managed a team of traders to consistently profitable results.
- Mentored and developed three new proprietary traders who became top traders within the company.
- Cultivated and maintained strong relationships with representatives from front-end software vendors to utilize the newest software and maximize trade efficiency.
- Generated gross trading profits of $500,000 during employment.
0-5 years of experience
Cultivated and maintained client relationships
- Negotiated and executed domestic and international trades
- Facilitated and assisted in settling international trades
- Resolved any trade issues that arise
- Managed M & I's internal reporting systems to track the assets under management by the Global Securities Lending Division
- Prepared daily trading and financial reports, used to balance daily trading activity
10+ years of experience
- Managed the equity trading desk for a $600 million equity investment portfolio, executing buy and sell orders generated by portfolio managers.
- Maintained continuous daily communication with Wall Street brokers to gather and disseminate information on all factors driving market activity such as supply and demand imbalances, economic news and analyst recommendations.
- Performed extensive market research and trend analyses.
- Served on the board of directors, San Francisco Traders Association.
0-5 years of experience
Traded stocks, bonds, and other securities for 400 clients
- Reconciled Custodial Statements on a monthly basis
- Maintained performance files for reporting to SEC on Excel
- Communicated with custodians to resolve trading discrepancies
- Performed special projects and duties as assigned by managers
- Purchased office supplies for the company
0-5 years of experience
Traded stocks, bonds, and other securities for 400 clients
- Reconciled Custodial Statements on a monthly basis
- Maintained performance files for reporting to SEC on Excel
- Communicated with custodians to resolve trading discrepancies
- Performed special projects and duties as assigned by managers
- Purchased office supplies for the company
0-5 years of experience
- Managed capital in a proprietary account, trading equities worth roughly $40M every month.
- Consistently grossed in the top 5% of 450 traders.
- Educated new traders and conducted seminars.
0-5 years of experience
- Tested in top of class for both the Series 7 and Series 63 examinations
- Traded equities and mutual funds in client accounts
- Increased client retention by solving customer problems quickly
- Educated employees and clients on how to use Fidelity’s trading software
- Promoted from trainee to 529 Specialist (college savings) to Mutual Fund Trader to Equity Trader within six months
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