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Microsoft Office Financial Services

Secaucus, New Jersey, United States
August 31, 2017

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David J. Marnell

*** ****** *** • Secaucus, NJ 07094

201-***-**** •


EXECUTIVE SUMMARY: Wall Street Professional with a BBA in Finance, MBA in Accounting and a broad knowledge of the Financial Services Industry. Currently an Adjunct Professor teaching Accounting, Business Management and Microsoft Office Applications in the evenings. Looking to return to the Financial Services Industry full time. Twenty-four years of increasing responsibilities in Financial Services; from Brokerage Firm Accounting, Reconciliation and Compliance; to a consultative role providing Financial Solutions to clients’ needs and goals.


BBA in Finance, Baruch College, (CUNY), New York City (1984)

MBA in Accounting, St. John’s University, Staten Island, New York (1995)

Customer Protection Rule - 15c3-3 (Course), New York Institute of Finance (1999)

Uniform Net Capital Rule - 15c3-1 (Course), New York Institute of Finance (1999)


NASD Series 7 (General Securities Representative Examination)

NASD Series 63 (Uniform Securities Agent State Law Examination)

Life, Accident and Health Insurance Producer (Michigan, 2005)


Financial Focus - Financial Planning Software, various applications

Microsoft Office - Access, Excel, Word, Power Point

NWL Solutions - Insurance & Annuity Illustrations Software

Monte Carlo Simulation - Retirement Cash Flow Projections

GoSystem Tax – Income Tax Return Software

BNA Income Tax Planner – Income Tax Return Projections

Various New Account Platforms - Shado Suite, FACTS, FBSI, Autocage, BACT

Various Stock Option Platforms - Awards Choice, PCOE, FA Trade Link, ML Net


DeVry University & Keller Graduate School of Management, New York, NY

Bramson ORT College, Forest Hills and Bensonhurst, NY

OPMI Business School, New York, NY

Campus Education (Formerly CPLC Education Center), Jersey City, NJ

David J. Marnell Page 2


Fidelity Brokerage Company (National Financial Services), New York, NY

Accounting Analyst III (Regulatory Reporting/Control) • 2006 – 2008

Reclassified account balances for Reserve Calculation (SEC Rule 15c3-3).

Short Interest Reporting, Trading Activity Fees, SEC Fees, NYSE Form R1 and AMEX 1S/1RA.

Opened and coded accounts (borrows, loans, fails, suspense, P&S, dividend, multicurrency).

Reconciled Tri-Party Repurchase agreements and PAIB Repurchase agreements.

Datek Online (iClearing LLC), Jersey City, NJ

Regulatory Control Analyst • 1999 – 2001

Established internal auditing procedures.

Reviewed Possession and Control Obligations (SEC Rule 15c3-3) concerning aged securities.

Reviewed 15c3-3 Reserve Formula and 15c3-1 Net Capital Computation to identify/reduce operational charges.

Prudential Securities, Inc., New York, NY

Regulatory Compliance, Firm Financing, and Reconciliation • 1985 – 1999

Reviewed and tested adherence to Possession and Control Requirements (SEC Rule 15c3-3).

Ensured compliance with internal procedures and regulatory requirements.

Reviewed Customer Reserve Formula and monitored deficit increases, acted as liaison with regulatory agencies.

Balanced trading accounts with respect to position, Principle & Interest, and Profit & Loss.

Resolved discrepancies in suspense accounts; balanced clearance accounts.

Merrill Lynch & Company, Inc., New York, NY

Customer Accountant • 1984 – 1985

Serviced retail accounts by monitoring and controlling activity with respect to available funds.

Applied cash and margin bookkeeping to maintain the ledgers.


Merrill Lynch & Company, Inc., Hopewell, NJ

Retirement Plan Representative • 2006

Provided complete and accurate information to clients in a high-pressure, multitask environment.

Assisted clients with general account inquiries and questions regarding their benefit plan investments and asset-related products. Researched and provided solutions to clients’ issues.

Processed stock option exercises, stock purchases and sales, and fund withdrawals.

Western & Southern Financial Group, Livonia, MI

Insurance Representative • 2005

Managed client relationships; utilized a multiple source prospecting system to obtain new clients.

Explored clients’ financial needs (Mortgage Protection, Survivor, Educational Funding, Retirement Planning, and Wealth Transfer) and provided solutions (Annuities, Mutual Funds, Insurance).

Secure Investors Group, Inc., Troy, MI

Asset Consultant (New Business Administrator) • 2004 – 2005

Provided clients with estate planning strategies, assisted with preparation and funding of trusts.

Analyzed and monitored annuity contracts to ensure they were compliant and eventually in force.

The Ayco Company, L.P. (A Goldman Sachs Company), Troy, MI

Senior Financial Planner • 2001 – 2003

Prepared and analyzed estate planning documents, income tax projections, tax returns, asset allocation models, total return calculations and long-term (Monte Carlo) cash flow projections.

Prepared and analyzed net worth statements, investment allocation and performance charts, balance sheets and stock option charts. Assisted clients and helped spot planning opportunities.

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