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yyyyyy x. yyyyyy  

0000 xxxxxx xxxx , xxxx , xxxxx 00000




career objective                              


persuasive, results-oriented finance professional seeking to leverage extensive trading background and exchange experience to support organization s profitability and productivity objectives.



ø  proven track record of year-after-year profitability in upward of $400k to $600k with comprehensive understanding of equity and index options trading as well as etfs.

ø  consistent approach to resolving trade and settlement issues by collaborating with market centers and exchanges.

ø  talented analyst capable of identifying and assessing market anomalies while capitalizing on profitable scenarios.

ø  successful at generating new and targeting existing business to increase revenues through wide range of market services.

ø  extensive exchange licensing and membership within trade organizations and ability to cultivate key relationships to sustain long-term business.

ø  reputation for strong work ethic, exceptional commitment to customers, industry knowledge, approachability, and ability to get the job done by focusing on priority tasks, responding to sense of urgency, and tenacious dedication to results.

ø  technically savvy with expertise in microsoft office suite (word, excel, powerpoint, outlook, access), quickbooks, and proprietary financial software packages.


core competencies:

pricing models

quantitative analysis

new business development

risk management

index & volatility arbitrage

trade cycle management

on-floor & off-desk trades

risk arbitrage

client relations

office management

infrastructure development

regulatory compliance

clearing house liaison

workflow management

documentation & presentations


professional experience                


principal financial group-raleigh, nc                                                                             2008 to present

financial advisor

  develop relationship plans by evaluating clients financial situation, objectives, requirements, and preferences, recommending and selecting service options and obtaining approvals.

  accommodate diverse array of client offerings, including retirement, education planning, life and disability insurance, accumulation goals, and investments.

  prospect new clients and explain service benefits while preparing and closing contracts and presenting new products to existing clients.

  protect client and company interests by complying with federal, state, and foreign regulations, ensuring confidentiality of all information.


spatial data logic / shoreline american-somerset, nj                                                    2001 to present

vice president of finance

  oversee finance, accounting, purchasing, administration, and human resources functions, including setting goals and budgets and initiating and approving changes to policies and procedures.

  advise ceo and collaborate with executive team on operational matters such as pricing, compensation plans, budgets, mergers, acquisitions, debt, leasing, and equity financing.

  strengthen accounting reporting systems and fiduciary controls to provide timely, accurate information in support of management decisions.

  develop pricing and licensing models for proprietary software and aided in negotiation of specialty developer license agreements with oem.


timpani group, llc-apex, nc                                                                                           2006 to 2008


  performed all strategic and operational functions for time-divisional boat usage franchise, including marketing and advertising, sales, purchasing, accounting, budgeting, insuring, contracts, and staffing.

  developed and followed business plan through entire cycle from inception to sale of company.

  maintained communications with all client groups and initiated lucrative relationships within targeted demographics in the community.


stuyvesant trading-new york, ny                                                                                      2004 to 2005

equity options specialist, member-american stock exchange (amex)

  assisted with establishment of new options specialist post on amex, which specialized in more than 20 securities, including w.r. grace, sunoco, heinz, and dreamworks animation.


ridge partners, llc-peapack, nj                                                                                      2001 to 2004

director, member-american stock exchange (amex)

  launched and operated options-oriented hedge fund and traded equities, etfs, equity and index derivatives based on technical analysis, volatility, and proprietary dispersion models.

  composed private placement memorandum to secure outside investor funding, leveraging industry experts, legal counsel, and cpas.


orbit ii partners, lp-new york, ny                                                                                     1994 to 2001

junior general partner, member-american stock exchange (amex), pacific stock exchange, chicago board options exchange

  opened pacific stock exchange branch in 1995 and served as on-floor options exchange trader previous to that.

  hired and managed five new and experienced traders while handling all risk management for office on individual and portfolio level.

  established firm s index options presence in dow jones industrial average in 1996.

  acted first to trade etfs by developing valuation models to determine fair value of security versus underlying basket of stocks and futures.


education & credentials                


fairfield university-fairfield, ct

bachelor of science in business management

  completed degree requirements within three years instead of typical four.



finra series 7 & 66

life, accident, & health insurance

member, pacific stock exchange (rot & lmm)

member, chicago board options exchange (rot)



full member & options specialist, american stock exchange

member, devil s ridge country and networking clubs

coach, holly springs parks and recreation basketball

coach, apex sports authority pop-warner football

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