Sales Management

Daniel Padilla

**** ****** ******* ***** • Tampa, FL 33647 • 813-***-**** • **********@*****.***

Financial Services Director

Seasoned, accomplished Bilingual Financial and Business Management Professional with fifteen plus

years of successful experience in the planning, organization, execution, and executive level direction of

operations and personnel, emphasizing financial market related institutional trading, marketing and

regulatory compliance initiatives. Exceptional business acumen. Adept at assessing organizational

goals and implementing strategies to ensure both day to day and long term objectives are met . Skilled

communicator, adept at deftly explaining complex technical terms to wide range of clientele. Core

competencies include:

• • •

Market Research Financial/Investment Analysis Securities/Equities Trading

• • •

Regulatory Compliance Product Management Project Management

• • •

Business Development Relationship Management Budget Management

• • •

Social Media Marketing Staff Development Team Management

• • •

Supplier Diversity Information Management Capital Raising

A motivated, creative communicator and leader with strong analytical skills and the capacity to utilize

and manage diverse resources in charting courses of action and consummating business transactions.

Hold FINRA Series 7, 24, 55, and 63 licenses.

CAREER HIGHLIGHTS:

Career highlighted by a consistent record of accomplishments, including the following:

• Established a consistent record of performance based advancement throughout career, growing from

positions as p&s clerk and junior trader to director and senior vice president responsibilities.

• Planned and guided corporate repurchase team initiatives successful in dramatically expanding trade

volume with corporate treasury departments. Captured relationships with treasury departments of

Fortune 500 corporations, developing strategies and providing executions of price optimized stock buy

backs in public markets and managing regulatory issues including compliance with U.S. Securities &

Exchange Commission (SEC) Rules 10b 18 and 10b 5 under contracts between treasury department and

institutional trading organization.

• Orchestrated successful trades of large blocks of securities while achieving client objectives of market

impact minimization and/or anonymity, utilizing effective order fragmentation strategies and navigating

algorithmic trading, dark pools of liquidity, and electronic communication network (ECN) markets.

• Played a significant role in team efforts to research and identify new investment opportunities and raise

private capital to nurture development and expansion of such enterprises.

• Cultivated business relationships with Fortune 500 and other large client accounts, developing and

managing a large book of business producing multi million dollar annual revenues.

• Structured a partnership with KQE to offer Professional Development grant funding to our Corporate

clients.

PROFESSIONAL PROFICIENCIES:

Background includes skills and experience in the following areas:

• Researching and interpreting market and investment data, including analysis of stock, fixed

income, and private equipment markets and opportunities...

Assessing prospective risks and rewards relative to prospective strategies, opportunities, and

•

business relationships…

Ensuring compliance of operations with established performance, quality, and regulatory

•

standards, coordinating internal and external auditing and review procedures...

Planning, allocating resources, and directing the timely, within budget completion of a broad

•

range of projects…

Developing and managing focused, effective project and operational teams…

•

Capturing revenue opportunities and managing and retaining account relationships...

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Overseeing execution of trades on various exchanges or via market makers or ECNs...

•

Managing budgets and controlling costs, creating and reviewing periodic profit and loss

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statements and identifying opportunities to contain or reduce costs…

Conducting and participating in meetings and presentations to promote business development,

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secure feedback, and/or build consensuses for products, services, and courses of action…

Delegating responsibilities and supervising personnel…

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Social media marketing...

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Applying computer and technological literacy and knowledge of various applications and

•

platforms in managing operations and information…

PROFESSIONAL EXPERIENCE:

Divine Capital Markets, New York, New York 2011 to Present

Director of Institutional Sales and Trading

Seton Securities Group, Tinton Falls, New Jersey 2004 to 2011

Director of Institutional Sales and Trading

Magna Securities Corp, New York, New York 2000 to 2004

Senior Vice President

National Securities, New York, New York 1996 2000

Institutional Sales Trader

Legg Mason Wood Walker, New York, New York 1994 1996

Receive and Deliver/ NYSE Floor Clerk

Kingsborough Community College, Brooklyn, New York

• Criminal Justice Studies

Professional Licenses:

• Finra Series 7,24,55 & 63 Licenses

Bilingual:

• Fluent in Spanish

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