Customer Service Manager

MAUREEN H.

GEARTY

**-** ****

PLACE

MIDDLE

VILLAGE, NY 11379

917-***-****

SERIES 7, SERIES 63, SERIES 55,

SERIES 79

FIRST MERGER CAPITAL, INC:

OCTOBER 2009 - MAY 2011

TRADER/OPERATIONS MANAGER

(PARTNER/ OWNER)

HANDLED ORDERS FOR RETAIL

CLIENTS - TRADES PROCESSING,

BLOTTERS, CALLING MARKET

MAKERS EXECUTING TRADES

MAINTAINED CLIENT FILES UNDER

FINRA RULES - NEW ACCOUNT

FORMS, OPTION AGREEMENTS,

MARGIN AGREEMENTS,

UNSOLICITED TRADE LETTERS

MAINTAINED ALL CASHIERING

BLOTTERS, TRADE BLOTTERS

CLIENT SERVICES - CUSTOMER

CONTACT, KEPT FILES FOR

PRIVATE PLACEMENTS

PAYROLL FOR BROKERS AND

EMPLOYEES

MAINTAINED BROKER RUNS

PAID OFFICE BILLS

GUNNALLEN FINANCIAL:

FEBRUARY 2005- OCTOBER 2009

OPERATIONS/OFFICE MANAGER

ASSISTED 72 BROKERS

CUSTOMER SERVICE, SPEAKING TO

AND FILLING THE NEEDS OF RETAIL

CUSTOMERS

OPENED NEW ACCOUNTS-

MAINTAINED FILES - CHECK

BLOTTERS, STOCK RECEIVED

BLOTTERS.

PRIVATE PLACEMENT PAPER

WORK

ENTERED STOCK, OPTION, BOND

ORDERS

MARGIN

ORDERES SUPPLIES

BISHOP ROSEN & CO, INC 2000-

2004

AGENCY TRADER/SYNDICATE

MANGER

PRUDENTIAL SECURITIES - 1989 -

2000

ASSOCIATED VICE PRESIDENT -

CORRESPONDENT TRADING DESK

BEARS STEARNS & CO 1978 -1989

RETAIL OPTION TRADING DESK -

CORRESPONDENT TRADING DESK

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