15 E 52nd St.
New York, NY 11234
Finance professional proficient in all aspects of high yield fixed income trade cycle
SUMMARY OF QUALIFICATIONS
- Experience with all aspects of operations in distressed security trading.
- Market maker for 12,000+ financial advisors.
- Consistent top gross revenue producer.
Smith Barney, New York, NY 2004 - Present
Vice President, Distressed Debt Global Retail Trading. Sole retail trader for over 12,000 financial advisors worldwide.
- Made markets as sole high-yield retail trader for auto, healthcare, and retail sectors.
- Produced over $1,000,000 net profit every year during tenure.
- Coordinated trade flow across multiple firm trading for both retail and institutional sales.
- Averted costly advisor errors via due diligence regarding Blue Sky Laws and qualified institutional buyer eligibility.
- Maintained appropriate levels of capital risk taken by the trading desk.
- Monitored institutional traders' positions and bid/ask.
- Conducted comprehensive credit analysis with research analysts to uncover investment ideas and opportunities.
Merrill Lynch, Pierce, Fenner, and Smith, New York, NY 2000 - 2004
Assistant Vice President, Operations for Global Distressed Trading. Responsible for operations in high yield and distressed debt trading.
- Coordinated operations between trading and settlement desks, legal, accounting, retail, and dealer desk.
- Managed all tender offers, 144A public registrations, and 144A-RegS funges.
- Established settlement protocol for internal money transfers.
- Pushed proxy voting, unit splits, and warrant exercise information to the corporate action department.
- Back-up retail trader for high yield and distressed debt securities.
- Made markets for odd lots in over 100 securities.
- Maintained order flow and risk transactions for the sales force.
- Executed preferred stock trades on NASDAQ workstation.
UBS Investment Bank, Stamford, CT 1998 - 2000
Associate Director, Junior Trader - Global Credit Strategies.
Junior trader for a $2 billion leveraged finance portfolio of high yield and distressed corporate bonds, bank loans, credit default swaps, and equity indices.
- Assisted in setting up the first fixed income proprietary trading desk.
- Executed trades for portfolio companies.
- Received 3-month intensive Graduate Training Program covering fixed income, equity and rates, and rotated through 6 different trading desks. Received the second highest score in internal Fixed Income exam among 160 participants
- Managed high yield hedging book, reducing interest rate exposure by 90% with interest rate swaps.
- Monitored risk in leveraged finance portfolio.
- Maintained mark-to-market report to ensure capitalization remains within limits.
- Compiled desk trading data and daily trading summary.
EDUCATION AND CERTIFICATIONS
B.S. in Business Administration, State University of New York Fredonia (1998)
NASD Series 7 General Securities Representative
NASD Series 31 National Futures & Commodities
NASD Series 66 Uniform Combined State Law (covers Series 63 & Series 65)
Keywords: MarketAxess, QIB eligibility, high yield securities, distressed security, trading