Sales Management

WILLIAM P. SULLIVAN

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

Rockville Centre, NY 11570

Tel.: 917-***-****

E-mail: ***********@*****.***

Professional Objective

Obtain a growth position in the area of Compliance leveraging my

trading, regulatory and management experience.

Summary of Qualifications

. Twenty years of experience in trading of Equities, Options, and

ETF's

. Skilled in all aspects of trading including floor trading,

electronic and Exchange based platforms, order routing, various

market quoting,

and pricing mechanisms.

. Extensive experience in compliance and regulatory issues

serving as Director of a large NYSE trading firm.

. Responsible for the surveillance of trading and communications

of sales traders within the firm.

. Performed due diligence prior to opening firm's institutional

accounts.

. Processed and monitored all trades for settlement and risk

exposure.

. Supplied market information to customers and matched buyers and

sellers in illiquid products.

. Traded institutional order flow for customers on a daily basis;

worked orders with market makers internally as well as executed

orders using various liquidity trading platforms.

. Evaluated and supported new applications and market data

vendors utilized by the trading, research and compliance departments.

. Reviewed and approved research reports, communications

and public appearances.

Professional Experience

Topeka Capital Markets New York, NY

Institutional Research Sales and Trading 4/12-12/12

. Engaged in expanding client base and growing revenue.

. Provided real-time channel information and long-term

investment strategies to financial advisors and private wealth

managers.

Avian Securities New York, NY

Senior Vice-President of Institutional Sales 5/11-4/12

. Highest revenue producer including facilitation creation and

development of new business.

Direct Access Partners New York, NY

Senior Vice-President 2/11-5/11

. Developed and enhanced product offerings.

. Member of management committee charged with overseeing the

daily operations of the firm's corporate access platform.

. Integral part of developing the firm's corporate

vision and mission including organizational and employee enhancement.

Kellogg Partners

New York, NY

Director of Institutional Sales

1/03-1/11

. Co-founded and developed a sales and trading-focused firm

interacting with over 400 institutions and hedge funds.

. Developed firm's strategy for client acquisition while developing

both personal and corporate client base of money managers, hedge

funds and other institutional clients across the United States.

Fleet Bank New York, NY

Institutional Sales - US Equities 6/01-12/02

. Provided trade execution of US Equities and sales coverage to

institutional clients with a focus on NASDAQ market.

Speer, Leads & Kellogg - Troster Singer Division New York, NY

Institutional Sales - US Equities 6/97-5/01

. Traded institutional order flow for customers on a daily basis.

Worked orders with market makers internally as

well as executing orders using Instinet, REDI and other

liquidity trading platforms.

Credentials

FINRA Series 7, 55 & 63

Proficient in Microsoft Excel and Word

Reference available upon request

Contact this candidate