William Stiffler

** ***** ****

Hazlet, N.J. 07730\

732-***-****

Education

Monmouth University

MBA, May 2003

BS, Business Administration, May 1991

Major- Finance Minor- Economics

Licenses

Series 7, 27, and 63.

Computer Skills

Access, Business Objects, Cognos, Essbase, Excel, ICI/ADP(IMPACT), Lotus,

Showcase, Microsoft Office, Powerpoint,WordPerfect, CODA

Experience

Seton Securities Group, Inc.- Union Beach, NJ December 2008-

Present

Controller-Accounting Manager

. Responsible for accounts payable, accounts receivable, general ledger and

bank reconciliations.

. Creating monthly income statement, balance sheet and ad hoc management

reporting requirements.

. Preparing and filing monthly FOCUS report.

. Assessing cash requirements on a daily basis.

. Preparing and responding to all FINRA, SEC and year-end audit inquiries.

. Reconciling monthly fixed income and equity trader profit and loss

statements.

. Processing salary, commission and profit and loss payments on a monthly

basis.

. Creating year-end audited income statement, balance sheet and cash flow

statements.

. Preparing and reconciling consolidated daily profit and loss statement on

a firm-wide basis.

. Ensuring compliance with minimum net capital rule 15c-1 requirements on a

daily basis.

. Posting monthly expense accruals.

Mizuho Securities USA- Hoboken, NJ March 2005-

November 2008

SENIOR ACCOUNTANT - ASSISTANT VICE PRESIDENT

. Prepared and submitted monthly management reports fixed income

(repos/securities lending/prop trading), futures, equities and corporate

division.

. Created and filed quarterly 17H SEC financial statement reporting

requirements-consolidated income statement, balance sheet and cash flow

statement.

. Submitted monthly actual versus budget analysis to the CFO for executive

management committee meeting.

. Assisted in the preparation and filing of monthly FOCUS report.

. Calculated net capital and customer reserve requirement in accordance

with rule 15c-1 and 15c-3 on a weekly basis.

. Prepared FRB reporting for primary dealers.

. Created year-end audited consolidated financial statements.

. Responded to external auditors and regulators issues relating to

regulatory and financial statement reporting.

. Supervised accounts payable department.

Mitsubishi Securities USA- New York, New York March 1999-

February 2005

BANKING OFFICER - ASSISTANT VICE PRESIDENT

. Supervised and reviewed month end close process including the preparation

of balance sheet, income statement and management reports.

. Reviewed and approved daily general ledger reconciliations including net

capital calculation in accordance with net capital rule 15c3-1.

. Reconciled weekly customer reserve in accordance with rule 15c3-3.

. Managed and controlled accounts payable and accounts receivable.

. Filed and prepared all monthly regulatory reporting requirements (FINRA

and Federal Government reporting- including TIC-S, BEA 605).

. Submitted semi-annual and annual reports to head office located in Tokyo,

Japan.

. Calculated and reconciled Federal and New York State taxes.

. Created accounting manual detailing accounting policies and procedures.

. Calculated traders P&L on a daily basis for fixed income and equity

financial products including futures, repos and capital markets.

. Supervised and trained accounting staff on daily general ledger

reconciliations and month end closing procedure.

Cantor Fitzgerald- New York, New York September 1998-

February 1999

ACCOUNTANT - General Ledger/Financial Reporting

. Created monthly balance sheet and income statements.

. Consolidated financial statements on a firm wide basis.

. Implemented and audited balance sheet account control and analysis.

Salomon Smith Barney- New York, New York August 1991-

September 1998

SENIOR ACCOUNTANT - Commission Reporting and Analysis

. Responsible for monthly balance sheet analysis relating to commission

compensation on a firm wide basis.

. Allocated various compensation-related expenses to the proper P&L.

. Balanced the commissions payable liability account.

. Reconciled and paid monthly commissions to Institutional Equity and

International Sales division.

. Verified all commission and bonus related accruals on monthly and yearly

basis.

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