Position Desired: Trading

Salary Range: 60,000

Experience: Experienced Securities Professional

Job Experience: Canaccord Adams, Boston, MA
2/08-10/08
Corporate Services Associate

• Reported directly to the head of trading.
• Liaised with senior management and traders to execute corporate buyback strategies, restricted stock sales, 10b5-1 plans, and US based London trading.
• Exceeded goals while excelling in high volume, results-driven trading atmosphere.
• Spearheaded division restructuring that increased profitability by 20%.
• Developed strategic alliances that led to increase of corporate buyback business by 50%.

Morgan Stanley & Co., Boston, MA
2000-2008
Senior Registered Client Service Associate

• Advised retail and institutional clients on financial products and services.
• Managed high volume trading while providing strategic and tactical advice to clients.
• Developed long-rage strategies that increased fee-based business by 30%.
• Helped develop research based Middle Market model.
• Reviewed portfolio performance and updated strategies as necessary.

BankBoston, Boston, MA
1998-2000
Trade Support

• Worked as part of the team that brought BankBoston from bit player to number three on the street in emerging market debt.
• Was solely responsible for trade support of global trading desk and custodial clients.
• Facilitated trading of fixed income, equity, options, futures, swaps and foreign exchange products.
• Communicated with global trading desks, and settlements department to ensure accurate and timely settlement of DVP trades through Euroclear, EMCC, DTC and local markets.

Contact BSTA Admin regarding this candidate.

Posted 5/11/10

Position Desired: Trading, Asset Management, Securities Analysis

Salary Range: 25,000-75,000

Experience: Experienced Securities Professional

Job Experience: Chimera Securities - Equity Trader

Facilitated fresh trading ideas daily through communication and teamwork skills. Extensively studied psychological behaviors involving position management, risk, and controlling human emotions to identify ways to maximize performance. Expanded skills specialized in micro-cap, nano-cap, mega-cap, low float and high short interest equities

SMB Capital Management - Execution Trader

Completed extensive training program based on fundamentals of intraday trading, psychology and market patterns. Learned how to communicate on a trading floor. Acquired order entry skills for fast execution. Executed trade ideas for the firm�s central trading account.

Special Skills/Talents: To briefly summarize, my qualifications include a Bachelors in Finance at the University at Albany. I have worked on two trading floors with three years experience as a Professional U.S Equities Trader. I possess skills in tape reading, market psychology, risk management, pattern recognition, and communicating on a trading floor. I have successfully completed SMB Capital�s extensive training program for developing traders. My duties and responsibilities also included contributing to the training program�s content and structure, maintaining and organizing the firm�s clerical work, and research and development of program trading strategies. I also have experience as an Execution Trader, operating the firm's primary trading account based on the cumulative information from the entire trading desk. I currently am continuing my education, studying to obtain a Chartered Market Technician certification to join the Market Technicians Association.

I am 23 years old, currently live in Boston. I represent a very competitive, passionate individual with a strong work ethic. To emphasize, I express interest in a firm that has the resources to enable myself to continuously work towards establishing excellence within the financial markets. I may also provide my personal LinkedIn Page, http://www.linkedin.com/pub/shawn-mikol/19/538/b32

Contact Name: Shawn Mikol

Contact email: shawn.mikol@gmail.com

Contact Address: 163 Calumet Street, Boston, MA 02120

Contact Phone: 518.542.5976

Posted 7/6/10

Position Desired: trader

Salary Range: 80-k +

Experience: Experienced Securities Professional

Job Experience: Head Trader
J.L. Kaplan Associates, LLC 6/00-6/30/09
(Evergreen Investment Management) Boston, MA

Manage (small/mid-cap value, equity) order flow and execute trades for mutual funds and client accounts ($5.2bil peak asset level) with discretion on most trades regarding market venue/broker, strategy and price

Particular experience trading blocks of small-cap and illiquid equities

Communicate market data to PMs and results from ad-hoc, time sensitive research projects

Responsible to PMs and Evergreen management for operations and procedures involving allocations, compliance, best execution, commission re-capture and trading technology

Assess, recommend and utilize best available electronic trading platforms available to firm

New account set up and directed trading relationship oversight for as many as 1000 separately managed accounts

Manage research and soft dollar relationships in order to maximize firm's commission expenditures while delivering favorable trade cost analysis metrics.

Risk management: particular expertise trouble shooting and anticipating problems related to specific functions with the trade blotter, audit trails, compliance and other potential trouble spots inherent in buy side workflows

Write compliance procedures for relevant trading operations, defend and demonstrate them during SEC audits

Educate other investment professionals about trading compliance issues relating to their workflows and articulate their specific responsibilities

Keep accurate records for commission and soft dollar expenditures and client directed trading arrangements

Supervised two major OMS transitions including extensive multi-system debugging

Verify and sign off on employee pre-trade compliance for personal brokerage accounts

Member of Evergreen's Equity Trading and Commission Practices Committee

Evergreen Investments 2005 Hero award recipient

Responsible for bringing in approximately $10mil of new account assets to Kaplan

Fixed Income Sales Assistant
Lehman Brothers 09/99 - 6/00
Boston, MA

Traded government, agency, corporate and mortgage-backed bonds, REPO, commercial paper and other money market securities for the firm's (middle-markets) institutional clients

Placed calls to clients to sell firm's inventory and regularly participated in syndicate process on a busy desk with a very active new deal calendar

Assisted clients with monthly pricing, securities research and capabilities of Lehman's client access internet site and solved settlement problems with trades

Participated in first internet Lehman/Fidelity bond deal for Ford

OTC Agency and International Equity Trader
Fidelity Capital Markets 12/97 - 8/99
Boston, MA

Traded Fidelity retail and correspondent (institutional and retail) order flow: NASDAQ, Bulletin Board, Canadian, ADR and ordinary shares

Worked larger foreign orders live in local markets for Crosby Partners, Fidelity VIPs and larger accounts

Monitored and re-directed automated order flow of smaller orders to market makers

Conducted cost/benefit analysis and mock trading project with FX desk to encourage FCM to bring currency exchange related to foreign trades in-house in an ultimately unsuccessful attempt to prevent the international team from re-locating to New York with the rest of the OTC desk

Retail Sales Assistant
Fidelity Brokerage Services, Inc. 10/96 - 12/97
Boston, MA

Responsible for all reorganization items pertaining to Fidelity's active trader/high net worth (Spartan) accounts: tenders, spin-offs, dividends etc.

Handled service calls regarding margin accounting, option requirements, executions, settlement and errors

Assistant Trader
Fidelity Capital Markets
Electronic Trading Group 9/95 - 10/96 Boston, MA

Monitored order flow from client accounts into Fidelity's proprietary order routing/matching system

Placed larger orders and orders rejected from automated system with order room and market makers

Researched and resolved execution disputes between clients and traders

Special Skills/Talents: Operational risk management, helping a smaller business grow.

Contact Name: Brendan Pollock

Contact email: dbpollock@comcast.net

Contact Address: 37 Shorewood Road, Marblehead, MA 01945

Contact Phone: 978-500-5012

Posted 7/6/10