Robert Tad Bull
Bedford Hills, New York 10507
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