John J. Gault

** *. ****** ****** - **********, N.J.

Cell: 201-***-**** ( acczvs@r.postjobfree.com

SALES/FINANCE PROFESSIONAL

Accomplished finance/insurance professional with extensive and diverse

experience. Top performer with expertise in analyzing current market

conditions, monitoring volatile market activities, and applying fundamental

and technical analysis. Demonstrated success in customer service management

with proven capacity to develop and maintain long-term, high-profit

customer relationships. Analytical, process-oriented strategic thinker,

leader, and team player. Holds accident and health insurance licenses.

Investment Consulting ( Client Relations ( Financial Analysis ( Financial

Consulting ( Market Analysis

New Business Development ( Risk Management ( Contract Negotiations ( Market

Penetration ( P&L

Negotiations ( Cost/Benefit Analysis ( Buy/Sell Recommendations (

Quantitative Modeling (

Project Management

Professional Experience

American Family Life Assurance Company (AFLAC), New York/New Jersey 2011-

Present

Supplemental Benefits Company (NYSE:AFL)

District Sales Manager

Prospecting on small and mid-sized companies. Working with business owners

to fortify existing medical insurance plans by implementing supplemental

benefits programs. Consulting current and potential customers on possible

effects of ongoing Healthcare Reform. Responsible for recruited and

training new sales agents. Developed a team of six agents.

- Opened 37 new accounts over 3 year period, resulting in over

$800,000 in annual premium.

Investment technology group, New York, NY ( 2010

Specialized Brokerage and Financial Technology Firm (NYSE:ITG)

Trader/Sales Trader

Solicited and executed equity trades for hedge funds and mutual funds.

Distributed personal morning news note summarizing pertinent events and

street research for customer base. Advised customers with algorithmic

trading strategies to achieve best execution.

. Partnered with specialized sales team that focused on top-10 accounts.

Rafferty Capital Markets, New York, NY ( 2008-2009

Diversified broker-dealer specializing in institutional securities

brokerage; annual revenue of $30 million.

Trader/Sales Trader

Executed equity, bond, and options trades for hedge funds and mutual funds.

Developed proprietary morning news and research notes for customer base.

Initiated strategies to penetrate focus accounts. Developed new business by

aggressively marketing services to prospective customers. Participated in

system development and process enhancements to improve efficiency.

. Opened 10 new accounts, previously not penetrated by Rafferty; serviced

each account over 6-month period.

Broadpoint Capital, New York, NY ( 2008

Broker-dealer subsidiary of Broadpoint Securities (NASDAQ: BPSG).

Trader / Sales Trader

Traded 90 stocks in Energy, Healthcare, and Technology research groups.

Communicated daily with 6 research analysts; relayed themes and

recommendations to buy-side clients. Managed existing customers to retain

business; identified and leveraged potential growth opportunities within

customer base. Contributed to development and distribution of proprietary

research.

. Made market in 350 additional stocks and managed information flow to

customers.

Prudential Financial, New York, NY ( 1993-2007

Fortune Global 500 and Fortune 500 company (NYSE: PRU) whose subsidiaries

provide insurance, investment management, and other financial products and

services to both retail and institutional customers throughout the United

States and in over 30 other countries.

Vice President / Senior Trader, 1999-2007

Managed institutional trading account with both large and small cap stocks,

focused primarily on technology. Built and maintained buy-side client

relationships. Supervised OTC traders and implemented technology upgrades

to enhance efficiency. Increased firm's trading profile by identifying

growth areas.

. JOHN J. GAULT ( Page 2 ( acczvs@r.postjobfree.com

.

. Ranked among top 3 revenue producers out of 18 traders from 2001-2007.

. Generated annual revenue between $4-8 million each year from 2001-2007.

. Registered firm's 1st $1 million monthly revenue in November 2000.

. Increased annual revenue from $2 million to $3 million year-over year

from 1999 to 2000.

. Salvaged relationship with premier client by identifying and resolving

issues; presented plan to prevent future reoccurrence of problems.

. Contributed to substantial market share gains and increased firm's

trading profile by identifying new growth areas.

Prudential Financial, New York, NY ( 1993-2007

Assistant Trader, 1997-1998

Assisted senior trader in handling and executing institutional order flow.

Relayed market updates and stock price movements to institutional

salespersons managing accounts. Reconciled trade problems with other broker-

dealers. Traded all orders delegated by senior trader.

Retail Liaison, 1996-1997

Handled and resolved block orders from retail sales force. Partnered with

each trader to provide best execution for customers. Delivered market

commentary and updates from trader to retail salesperson.

Agency Trader and Clerk, 1995-1996

Managed and executed orders in non-proprietary stocks from retail sales

force of over 6,000 brokers. Developed relationships with numerous broker-

dealers on street to enable efficient execution of orders.

Trade Support/Operations, 1993-1995

Supported trading desk on real-time basis. Reconciled trade problems and

mismatches. Ensured timely and proper settlement of trades.

Education

Bachelor of Science in Marketing

STATE UNIVERSITY OF NEW YORK AT NEW PALTZ, New Paltz, New York

Licensures

Life and Health DOBI

Professional

Relationships

Morgan Stanley Asset, ING Investment, George Weiss Capital, Catapult

Capital, Sigma Capital, Jana Partners Capital, Redmile Capital Management,

HBK Capital, RBC Capital, JW Seligman Asset Management, Intrinsic Capital

Management

Scopus Asset Management, Kacela Capital,

Pear Tree Capital, Stone Toro Asset Management, Cardinal Capital,

Diamondback Capital, Jabre Capital Partners, Gladebrook Capital

Contact this candidate