Customer Service Manager

Richard S. Birnbaum

*** **** ******

River Edge, NJ 07661

**********@***.***

H201-***-****/ C201-***-****

Professional Experience:

E*Trade Financial Scarsdale, NY 4/2008 to 10/2009

Relationship Manager

. Manage a book of clients, educate prospects and established clients to

ensure they have a full understanding of all online tools and services

available to them and the benefits of being an E*Trade customer

. Build relationships with active traders and high net worth customers

to ensure customer retention and gather additional assets

. Sell Advisor and Wealth Management services

. Open new accounts for prospects and current clients, review documents

needed and help ensure paperwork is filled out correctly

. Resolve all customer service and operations issues

. Ensure compliance with rules and regulations

TD Ameritrade Paramus, NJ 12/2003 to 4/2008

Investment Consultant

. Sell stocks, fixed income products, mutual funds, asset allocation and

advisor/wealth management services

. Build relationships with high net worth clients to ensure customer

retention and gather assets

. Branch Advisor Coordinator

. Review branch reports and maintain files for compliance

. Keep current with financial market conditions and the impact on

customer's portfolios

. Handle customer complaints and resolve service and operations issues

Sungard Trading Systems Jersey City, NJ 2/2003 to 8/2003

Account Manager

. Manage 12 - 15 broker/dealers using BRASS and UMA

. Resolve issues for and support all BRASS/UMA users and account

managers

. Use knowledge of systems and trading to set up stocks and trader's

workstations

. Research, test, and troubleshoot system issues; quality assurance

. Interface with traders, systems groups, programmers

Pershing Trading Co Jersey City, NJ 3/1996 to 6/2002

Assistant Vice President - Equity Market Maker, Equity Trader, Agency

Trader

. Make Markets in 20 - 100 Nasdaq and Bulletin Board stocks

. Use of BRASS, UMA, Nasdaq level III, REDI, Instinet, BRUT, Bloomberg,

and research/analytics tools

. Trade retail and institutional order flow and ensure compliance with

all order handling rules

. Take and monitor positions and risk so as to maximize profits and

minimize risk

. Manage and train Assistant Traders

. Execute agency trades for retail and institutional accounts

. Train Agency Traders on use of Nasdaq Level II, Instinet, BRASS, REDI,

and Pershing's electronic systems, review performance

Fleet Brokerage/Fleet Clearing Corp 8/1986 to 3/1996

Manager -Brokerage Services

. Manage 10 - 12 retail brokers providing order execution and customer

service to active traders, high net worth clients, and customers

requiring specialized customer service

. Responsible for training and performance reviews

. Resolve customer complaints

Manager - Correspondent Trade Services; Assistant Manager - Order Room

. Manage 4 brokers in correspondent trading and Assistant Manager of 4

order clerks in Order Room

. Execute retail and institutional orders on OTC, listed, and option

markets, direct order flow

. Manage correspondent average price and error accounts

. Interact with p & S, cage, compliance, margin and back office

operations to resolve trade breaks and ensure trades clear on a timely

basis, fail control

NYSE Floor Clerk

Merrill Lynch - retail financial services

Education: Bachelor of Science / Physical Education - SUNY Brockport

Licenses: Series 7, 9, 10, 55, 63, 66 NJ Life & Health Insurance

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