Trader / Registered Representative

Anthony J. Pisciotta

*** **** **** ******, *** *G, New York, NY 10017

917-***-**** | ***********@*******.***

REGISTERED REPRESENTATIVE

• CORPORATE FINANCE

• FINANCIAL PLANNING & ANALYSIS (FP&A)

• RISK MANAGEMENT & PROFITABILITY ANALYSIS

• OPERATIONAL & FINANCIAL REPORTING

• REGULATORY COMPLIANCE & REPORTING

• BROKERAGE OPERATIONS

• TRADING

• BUDGETING & FORECASTING

GILFORD SECURITIES, New York, NY 2012 – 2012

TRADER – TRADING AND COMPLIANCE

• Responsible for executing fixed income, equity, and option trades for brokers

• Preparation of daily regulatory reporting for compliance with FINRA Order Audit Trail System (OATS)

• Spearheading audit of trading desk for New York office

PROPRIETARY EQUITY TRADER, New York, NY 2008 – 2011

• Execute trades using technical and fundamental analyses and research on equities, options and derivatives on margin

• Utilize comprehensive knowledge of macroeconomic trends to create a profitable income stream day trading from a personal investment account

SHEARMAN & STERLING LLP, New York, NY 2005 – 2007

SENIOR FINANCIAL ANALYST / PROJECT COORDINATOR - FINANCE DIVISION

• Conducted financial analyses on client groups and specific contracts to enhance management capabilities and maximize client revenue

• Appointed to execute high-profile project for partnership to analyze competitor bill rates, make rate increase recommendations and outline effects on revenue

• Responsible for monitoring alternative fee arrangements and maintaining a database of cost exclusions in the finance system (Elite)

• Collaborated with individual partners to optimize specific client contracts to maximize profitability

• Prepared financial data for presentations for clients such as Deutsche Bank, Siemens and JP Morgan

• Constructed the analysis and presentation of quality financial reports and statistical analyses as directed by the Manager of Finance and the Chief Financial Officer

ADECCO, Melville, NY 2002 – 2005

FINANCE MANAGER, NORTHEAST DIVISION

• Assisted in the implementation of a $450 million division budget consisting of 9 regional vice presidents, and 104 branch offices. Reported directly to the controller and senior vice president, northeast division

• Optimized profitability with recommendations for operational consolidations, expense reductions, pricing structures and risk mitigation strategies that increased return on sales and reduced DSOs

• Analyze consolidated monthly financial statements to determine budget variances

• Presented monthly executive summary of financials to CFO, regional vice presidents and controller

GOLDMAN SACHS & COMPANY, New York, NY 1997 – 2002

SENIOR FINANCIAL ANALYST – FINANCE DIVISION (2000 TO 2002)

• Reviewed financial information from operational division worldwide to help reclassify cash and securities in order to comply with the weekly SEC reserve formula (Rule 15c3-3) calculation

• Analyzed daily deficits and violations and informed operational divisions of actions required

SENIOR FINANCIAL ANALYST–CLIENT SERVICES RISK MANAGEMENT DIVISION (1999 – 2000)

• Assisted in the creation and development of a risk management division within Client Services that proactively managed market exposure using real-time stock quotations; division rolled out globally

• Implemented an intra-day stock market monitoring report utilizing real-time pricing to manage risk

• Examined regulatory compliance breaches and proposed action plans to senior management

ANALYST –CLIENT SERVICES REGULATORY DIVISION (1997 - 1999)

• Managed the control/restricted securities business (Rule 144); oversight of client service analysts

• Served as a sole liaison between the legal department, business managers, brokers, and analysts with regard to commercial lending and extensions of credit

• Reviewed margin loan proposals from business managers and performed analysis to help facilitate loans to high net-worth corporate officers versus control/restricted securities

DONALDSON LUFKIN & JENRETTE, Jersey City, NJ 1997 – 1997

SECURITIES BROKER / REGISTERED REPRESENTATIVE

• Executed client trades, informed clients of market conditions and performed all duties required of a licensed securities broker for DLJ Direct

PRUDENTIAL SECURITIES INC., New York, NY 1994 – 1997

MARGIN / CREDIT ANALYST

• Serviced accounts daily for over fifty correspondent clients clearing through the firm

• Reviewed trading activity for violations and restricted accounts when necessary

• Utilized thorough knowledge of Regulation T and NYSE Rule 431

PROFESSIONAL LICENSES

Series 7 General Securities Registered Representative

Series 63 Uniform Securities Agent

EDUCATION

Investment Banking Institute, New York, NY / August 2011

Intensive 4-week financial modeling and valuation training program

• Performed company valuations utilizing (i) comparable public company analysis, (ii) precedent transactions analysis and (iii) discounted cash flow (DCF) analysis

• Built fully-integrated financial statements projection model, LBO model, accretion/dilution merger models, including ability to run operational and capital structure sensitivities within models and data tables for sensitivity analysis

The City University of New York – The College of Staten Island - B.S., Degree in Finance

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