DANIEL MORGAN

*** ******** *****, **** **

Hillsborough, New Jersey 08844

908-***-**** (home) 908-***-**** (cell)

EXPERIENCE:

R.F. Lafferty, Inc. May '00

- Present

ORDER CLERK/TRADE SUPPORT

o Responsible for executing stock, stock option, and currency

option orders from brokers in accordance with all compliance and

regulatory requirements.

o Utilize Ridge AOM order management system, CITI Global order

entry execution system, Interactive Brokers workstation, NEOVEST

and RBC Dain for executing orders.

o Investigate and resolve all trade breaks and settlement issues

to ensure all parties are reconciled.

o Monitor customer accounts for sellouts, assignments and P & L

concerns.

o Book and allocate all trade tickets to customer accounts.

o Oversee daily trading reconciliation and position management.

o Liaison between Ridge Clearing and RBC Dain trading and

operation departments.

o Manage an auto trade service of more than 40 accounts and

provide all customer service and trading requests to ensure

customer satisfaction.

HSBC Brokerage (USA) Inc. Mar '98

- May '00

TRADE EXECUTION OFFICER

o Ensure the accurate and timely processing of mutual fund, equity

and option trade tickets over the phone, from the field and bank

customers.

o Utilize the Pershing Trading System to enter orders

o Respond to inquiries on customer accounts, and the Bridge and

Bloomberg Systems to obtain quotations and corporate

information.

o Extensive phone interaction with branch financial advisors and

customers regarding trading inquiries, operations, and corporate

actions positions.

DLJdirect Inc.

Jun '97 - Mar '98

RELATIONSHIP MANAGER/DISCOUNT BROKER

o Serviced trading activities and customer service requests within

the DLJdirect Select Client Group.

o Oversee high net worth accounts and provide all facets of

brokerage services

o Trading responsibilities included processing stock, bond,

option, and mutual fund orders.

o Responded to phone and e-mail inquiries regarding executions,

margins, reorganizations, new accounts, and Internet/Website

assistance.

o Participated in cold calling DLJdirect clientele to establish

Select Clients.

Brown & Co. Securities Corporation

Jan '93 -Jun '97

ORDER CLERK/DISCOUNT BROKER

o Responsible for taking and executing stock, bond, and option

orders for large discount broker client base in a fast paced

environment.

o Quality Assurance auditing of open orders for proper handling

o Assisted clients with customer service inquires, new account

openings, check and wire requests, stock certificates, margin,

and researching and resolving trade issues over the phone and in

person.

o Direct interface with NYSE, AMEX, OTC, third markets, CBOE and

Brown & Co. back office operations (P&S, options, reorg & margin

departments).

EDUCATION:

Bachelor of Business Administration, Major: Finance

June '93

Pace University, New York, New York

LICENSES:

Series 7, 24 and 63

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