John J. Gault
** *. ****** ****** - **********, N.J.
Cell: 201-***-**** ( acczvs@r.postjobfree.com
SALES/FINANCE PROFESSIONAL
Accomplished finance/insurance professional with extensive and diverse
experience. Top performer with expertise in analyzing current market
conditions, monitoring volatile market activities, and applying fundamental
and technical analysis. Demonstrated success in customer service management
with proven capacity to develop and maintain long-term, high-profit
customer relationships. Analytical, process-oriented strategic thinker,
leader, and team player. Holds accident and health insurance licenses.
Investment Consulting ( Client Relations ( Financial Analysis ( Financial
Consulting ( Market Analysis
New Business Development ( Risk Management ( Contract Negotiations ( Market
Penetration ( P&L
Negotiations ( Cost/Benefit Analysis ( Buy/Sell Recommendations (
Quantitative Modeling (
Project Management
Professional Experience
American Family Life Assurance Company (AFLAC), New York/New Jersey 2011-
Present
Supplemental Benefits Company (NYSE:AFL)
District Sales Manager
Prospecting on small and mid-sized companies. Working with business owners
to fortify existing medical insurance plans by implementing supplemental
benefits programs. Consulting current and potential customers on possible
effects of ongoing Healthcare Reform. Responsible for recruited and
training new sales agents. Developed a team of six agents.
- Opened 37 new accounts over 3 year period, resulting in over
$800,000 in annual premium.
Investment technology group, New York, NY ( 2010
Specialized Brokerage and Financial Technology Firm (NYSE:ITG)
Trader/Sales Trader
Solicited and executed equity trades for hedge funds and mutual funds.
Distributed personal morning news note summarizing pertinent events and
street research for customer base. Advised customers with algorithmic
trading strategies to achieve best execution.
. Partnered with specialized sales team that focused on top-10 accounts.
Rafferty Capital Markets, New York, NY ( 2008-2009
Diversified broker-dealer specializing in institutional securities
brokerage; annual revenue of $30 million.
Trader/Sales Trader
Executed equity, bond, and options trades for hedge funds and mutual funds.
Developed proprietary morning news and research notes for customer base.
Initiated strategies to penetrate focus accounts. Developed new business by
aggressively marketing services to prospective customers. Participated in
system development and process enhancements to improve efficiency.
. Opened 10 new accounts, previously not penetrated by Rafferty; serviced
each account over 6-month period.
Broadpoint Capital, New York, NY ( 2008
Broker-dealer subsidiary of Broadpoint Securities (NASDAQ: BPSG).
Trader / Sales Trader
Traded 90 stocks in Energy, Healthcare, and Technology research groups.
Communicated daily with 6 research analysts; relayed themes and
recommendations to buy-side clients. Managed existing customers to retain
business; identified and leveraged potential growth opportunities within
customer base. Contributed to development and distribution of proprietary
research.
. Made market in 350 additional stocks and managed information flow to
customers.
Prudential Financial, New York, NY ( 1993-2007
Fortune Global 500 and Fortune 500 company (NYSE: PRU) whose subsidiaries
provide insurance, investment management, and other financial products and
services to both retail and institutional customers throughout the United
States and in over 30 other countries.
Vice President / Senior Trader, 1999-2007
Managed institutional trading account with both large and small cap stocks,
focused primarily on technology. Built and maintained buy-side client
relationships. Supervised OTC traders and implemented technology upgrades
to enhance efficiency. Increased firm's trading profile by identifying
growth areas.
. JOHN J. GAULT ( Page 2 ( acczvs@r.postjobfree.com
.
. Ranked among top 3 revenue producers out of 18 traders from 2001-2007.
. Generated annual revenue between $4-8 million each year from 2001-2007.
. Registered firm's 1st $1 million monthly revenue in November 2000.
. Increased annual revenue from $2 million to $3 million year-over year
from 1999 to 2000.
. Salvaged relationship with premier client by identifying and resolving
issues; presented plan to prevent future reoccurrence of problems.
. Contributed to substantial market share gains and increased firm's
trading profile by identifying new growth areas.
Prudential Financial, New York, NY ( 1993-2007
Assistant Trader, 1997-1998
Assisted senior trader in handling and executing institutional order flow.
Relayed market updates and stock price movements to institutional
salespersons managing accounts. Reconciled trade problems with other broker-
dealers. Traded all orders delegated by senior trader.
Retail Liaison, 1996-1997
Handled and resolved block orders from retail sales force. Partnered with
each trader to provide best execution for customers. Delivered market
commentary and updates from trader to retail salesperson.
Agency Trader and Clerk, 1995-1996
Managed and executed orders in non-proprietary stocks from retail sales
force of over 6,000 brokers. Developed relationships with numerous broker-
dealers on street to enable efficient execution of orders.
Trade Support/Operations, 1993-1995
Supported trading desk on real-time basis. Reconciled trade problems and
mismatches. Ensured timely and proper settlement of trades.
Education
Bachelor of Science in Marketing
STATE UNIVERSITY OF NEW YORK AT NEW PALTZ, New Paltz, New York
Licensures
Life and Health DOBI
Professional
Relationships
Morgan Stanley Asset, ING Investment, George Weiss Capital, Catapult
Capital, Sigma Capital, Jana Partners Capital, Redmile Capital Management,
HBK Capital, RBC Capital, JW Seligman Asset Management, Intrinsic Capital
Management
Scopus Asset Management, Kacela Capital,
Pear Tree Capital, Stone Toro Asset Management, Cardinal Capital,
Diamondback Capital, Jabre Capital Partners, Gladebrook Capital