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Sales Insurance

Bedford, NY
April 26, 2014

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Robert Tad Bull

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

Bedford Hills, New York 10507

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



Developed and maintained trading strategies and portfolios in U.S. and foreign equities options and fixed income

securities. Managing firm trading on electronic exchanges algorithmic models and broker executions. Focusing on

firm trading efficiency analysis and regulatory compliance. Familiar with trading in high-volume, model-driven

environments. Produced firm financial reporting records, FOCUS reports and firm risk management. Reviews and

follow ups on surveillance and exception reports. Abreast of current FINRA regulatory issues and rule changes.

Demonstrating proven reliability, judgment, and responsibility, as well as strong analytical and communication skills.


Aufhauser Securities, Inc. May 1996 – Present. Equity Trading Risk and Statistical Arbitrage. Managed a risk

arbitrage portfolio through a proprietary fund.

K. Aufhauser & Company, Inc. July 1991 - November 1995. Head of Listed and OTC Equity Trading. Made

markets in 100 NASDAQ listed stocks.

Schonfeld Securities, Inc. February 1991 – July 1991. Proprietary Equity Trading.

Rodman & Renshaw, Inc. May 1990 – February 1991. Fixed Income Securities Sales Trader.

Capital Institutional Services, Inc. September 1986 – May 1990. Fixed Income Securities Sales Trader.


Series 7. Securities Broker Dealer

Series 4. Option Principal

Series 24. Supervisory Principal

Series 27. Financial Operations Principal

Series 55. Equity Trading Representative

Series 63. State Blue Sky

BR-1215285 Property and Casualty Insurance


Lynchburg College 1985. B.A. Economics

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