Customer Service Manager
Resume:
David J. Fabos
****@***.***
SUMMARY
Manager, trader, and market maker in the United States securities markets
for over 27 years. Manage and direct traders in allocating stocks to
maximize profits being compliant, while working with complex computer
programs in a fast pace environment.
Professional Experience
Floor Manager - Team Leader
2001-Present E-Trade Capital Markets
Chicago, Illinois
. Manage other specialists and monitor trader risk while communicating with
upper management
to execute company objectives.
. Work to settle trading disputes, price differences and purchases/sales
with traders on behalf of
Customer Service and Market Regulation.
. Organize daily meetings to discuss trading possibilities and current
market conditions.
. Have dealt with possible trade violations and market making issues
directly with compliance under FINRA such as Manning violations, Short
Sale violations, TRACE, ACT, Regulation NMS and cross/locked markets.
. Contribute to the preparation of FINRA reports and reviews
. Sign off compliance reports and risk limitations of traders.
Stock Specialist - Floor Manager
1999-2001
Dempsey Securities Company
Chicago, Illinois
. Senior trader with maximum allowable risk and position holding on a
monthly basis.
. Monitor risk of other traders in order to maintain consistent earnings.
. Provided input on implementing new trading systems and worked with the
technical support group
at the Chicago Stock Exchange.
Vice-President
1995-1999
Highlander Securities Incorporated
Chicago, Illinois
. Increased profits 50% by adding more equities to expand trading volume.
. Expanded sales 60% by incorporating unique trading techniques.
. Directed all floor operations including all trading and floor brokerage.
Treasurer
1992-1999
Five County Glass and Mirror Incorporated
Woodstock, Illinois
. Performed full accounting duties and directed all payroll and tax
withholdings.
. Maintained accounts payable/receivable, and submitted budgets and final
financial reports.
Stock Specialist-Floor Broker
1982-1995
Robert C. Wilson and Company
Chicago, Illinois
. Responsible for 70% of brokerage commissions and managed floor broker
operations.
. Increased trading profits 40% as a stock specialist by adding trading
volume.
EDUCATION/CERTIFICATIONS
DePaul University 1980-
1985
Major: Accounting Chicago, Illinois
Member Midwest Stock Exchange 1982
FINRA Series 7
1986 FINRA Series 63, 55, and 24
2005
Microhard Technologies 1997-1998
Microsoft Professional
1998
Member Chicago Stock Exchange 1998
Skills/Interests
. Proficient in Microsoft Office, Excel, Outlook, Adobe Acrobat, and
Windows XP system.
. Basic knowledge of SQL, Microsoft Visual Basic and C++.
. Extensive knowledge of BRASS trading systems, Specialist System
software, ROX trading system, Herzog trading system, Bloomberg
financial service system, Thompson One and Trade Station trading and
financial service systems.
Contact this candidate