Fortunato Petracca

*** ******* *** • Jersey City, NJ 07307 • 908-***-**** • o7swyh@r.postjobfree.com

Investments ~ Financial Analyses ~ Compliance ~ High-Net-Worth Clients

Registered Series 7 financial…effective communicator and relationship manager with high-net-worth clients……highly skilled in funds monitoring, operations, and risk management……team player with strong analytical, decision-making, and problem solving skills.

Career Experience

TD Bank Wealth Management (Manhatten, NY) Febuary 2010 to May 28 (Contract)

TD Wealth Management offers integrated, comprehensive and customized financial solutions to help cultivate and preserve wealth.

Client service representative/Transition Team

Inform client of TD Wealth decision to exit the brokerage & guidance services. Convey the urgency that client must select a new brokerage service provider. Work within a strict deadline, assist with the administrative ACAT process and implement the most efficient and seamless transition for the client.

Review the account holdings to inform the client of transferable assets, CDSC fess if applicable, and place trade if they decide to liquidate account holdings.

• Transition team is currently accredited for transferring out 2.4 billion in assets; five hundred twenty four million was successfully transferred to affiliate TD Ameritrade.

E*Trade Securities LLC (Jersey City, NJ) January 2006 to July 2009 (Office closed)

An Elite & Affordable global provider of on-line retail and institutional financial solutions.

Quality Assurance Specialist November

Monitor & grade telephone calls as well as electronic communication between financial representatives & clients in accordance to NASD compliance & company quality policy. Ensure that all required information is appropriately captured during each call. Take immediate action in alerting Supervisor, Senior Management and/or the Director of the call center if there is a potential mis-information or a non-compliant call, thus reducing the exposure to risk to the clients & firm. Resolve potential issues before they result in client refunds and/or cancellation of service.

Senior Registered Financial Service Representative(Broker/Trader)

Extremely productive in a high volume, high stress, environment. Elite support for active trading accounts, place advanced options orders, thoroughly explain industry trading & house margin regulation, provided "above and beyond" superior service to active traders. Immediately research & resolve trade price disputes and explain Market Maker rules and regulation.

• Assisted as a Team Lead ( escalated phone calls, questions from representatives, additional verification prior to wire withdrawal.)

• Assisted Margin department by making courtesy outbound calls during viotile market fluctuation notifing the clients of immediate action request.

• Recognized as a leader and team player during major company expansion by training new financial service representatives and awarded a Peer Recognition by manager for outstanding performance.

• Actively listen & seek for opportunities to expand client relationships by offering appropriate proprietary products and services to meet & exceed client needs.

• Full service client experience: Assist or place stock trades, mutual funds, and exercise/options & warrents/rights.

• Assist clients with filling the on-line Broker/Bank New Account form, IRA distributions, account updates, Tax & Legal and Transfer & Distribution. Accept paper applications for manually processing forms. Immediately notify client if additional information is required, then contact & follow-up with the appropriate operations department to process the request an a escalated priority.

• Review client's account and explain all activity within the account: client specific monetary & trading transactions, industry regulations changes & updates, information regarding dividend payments & reversals, corporate reorganization and special account & custodian fees.

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Fortunato Petracca

509 Central Ave • Jersey City, NJ 07307 • 908-***-**** • o7swyh@r.postjobfree.com

Investments ~ Financial Analyses ~ Compliance ~ High-Net-Worth Clients

Expirence Continued

UBS/Paine-Webber (Jersey City, NJ) July 2002-June 2005

A premier retail and commercial banking, wealth management, and global asset management firm with invested assets of 2.2 trillion and market capitalization of 95.4 billion Swiss francs.

Assistant Operations Manager, Morristown Branch

Assisted Operations Manager with daily Branch operations and supervision of operational staff.

Margin Specialist, Lending Support

• Promoted to the operational liaison between the Margin and Lending Products departments.

• Directly support high-net-worth clients with operational or technical questions.

• Research and manage all margin issues for retail lending products. Evaluate, identify, and resolve conformance issues related to Regulation U and holdings in clients’ collateral accounts. Primarily manage conformance for retirement plans, annuities, insurance, and mutual funds.

• Calculate maintenance or release requirements on collateral assets.

• Enforce firm and stock exchange maintenance regulations

National Discount Brokers/Ameritrade (Jersey City, NJ) 2000 to 2001 (Aquired)

Specialists in financial and on-line brokerage and trading for individual and institutional investors; pioneer of current industry practices, computing, and operating methods.

Senior Margin Associate

Responsible for managing on-line accounts and Regulation T compliance, in a real-time and back-office systems environment. Review retirement, annuities, insurance, and mutual funds for conformance.

• Outbound phone contact to client regarding escalated Regulation T past due.

• Top performer under stringent deadlines to approve and process voluminous Journal requests.

• Provide direct regulatory and technical assistance to clients and Clearing operation.

• Research and resolve transactions in clients’ accounts that violate Regulate T.

Merrill Lynch (Somerset, NJ) 1998 to 2000 (Office relocated)

One of the world’s leading financial management and advisory companies, with $1.5 trillion in private client assets and offices in 35 countries.

Margin Specialist, International Risk & Credit Control Department

Hired to monitor international accounts for conformance with firm-wide maintenance, Regulation T, and SEC trading violations.

• Earned Employee of the Month award for taking on a complex project and completing it on time, and with a high degree of thoroughness and accuracy.

• Cut processing time in half for international accounts by creating and linking an Excel spreadsheet to the existing international system. Enabled more accurate tracking of interest charges and directly reduced error research and processing. (Merrill Lynch)

• Identified and closed inactive accounts which had erroneously posted activity.

Education & Training

B.S., Management (emphasis on Corporate Finance) — Kean University (Union, NJ), 1995.

Minor in Fine Arts.

Financed 100% of education and support through part-time work.

● Registered Series 7 License ● Registered Series 63 License ● ADP, ILX, Rumba & Bloomberg

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