George M. Fattell

**** ******* ******, #***

San Diego, CA 92101

619-***-****

acecoh@r.postjobfree.com

Summary of Qualifications:

Over 15 years experience working in the financial services industry in operations and

broker/trader support roles.

Excellent verbal and written communication skills

Strong client service skills

Resourceful in solving problems and maximizing resources

Competent at managing responsibilities in a high-volume atmosphere

Works well under pressure as part of a team

Relates easily with all levels of co-workers and customers

Highly reliable self starter; can be counted on to complete assignments

Serious student of the financial markets and trading.

Experience with the following systems/software: Pershing Netxpro, Beta, ALERT, ACT,

Maslow (Think or Swim), Siebel, DST Vision, Realtick, Thomson,.MS Excel, Word and

Outlook.

Series 7, 55 & 63 (inactive) Clean U-4.

MAR/2013 – MAR/2014

LPL Financial – Mutual Fund Specialist San Diego, CA

Contingent employee in the Mutual Fund Department.

Processed Mutual Fund trade corrections. Drafted Letters of Indemnity.

Placed mutual fund trades.

Interacted with LPL Advisors, Clients and Mutual Fund companies for the purpose of

reconciling trade problems and verifying account information.

Entered various types of trade data into internal computer systems, including BETA,

ACT, Siebel and Excel.

JAN/2004 – OCT /2011

Pacific American Securities – Assistant Vice President San Diego, CA

Firm provided equity execution services to a wide range of clientele, including Institutions,

Hedge Funds, Professional Money Managers and High Net Worth clients.

Firm also provided a full range of brokerage services to retail clients.

Responsibilities:

Served in a Back/Middle Office capacity as point of contact for resolution of trade/operations

related issues.

Trading- placed equity option orders and mutual fund orders via Pershing NetXPro platform.

Reconciled trade breaks. P&S .

New Accounts- Opened institutional and retail accounts. Processed ACAT’s.

Processed requests for Fed Funds wires, ACH and checks.

Commissions – Ensured that Equity. Option and Fixed Income trades were properly billed.

Settlements – Interfaced with the C.O.D. department of clearing broker in order to monitor the

settlement status the trades executed for DVP accounts and reconciled trade problems/breaks

(T+1 and later) for Equities (Listed and OTC), Options, and Fixed Income trades.

Margin-Interfaced with Margin department in order to monitor the status of all accounts and keep

margin related problems to a minimum.

requests

Compliance – assisted chief compliance officer with the enforcement of anti-money laundering

(AML) procedures and the collection of materials/ trading data for compliance related projects

144 stock– Processed paperwork and monitored entire 144 process from beginning to end.

Maintained files for all trade related documents (confirms, trade tickets, statements, etc.)

JUN/2003-FEB/ 2004

Apple Computer at the Apple Store, Fashion Valley San Diego, CA

Sold Apple Computers and related hardware. Sold Apple software and software

from third party companies.

AUG/2003-DEC/2003

Biz to Biz Marketing Tele-marketing position. San Diego, CA

Marketed software solutions from the company Websense in a

Call Center environment. Identified leads and recorded results using

Goldmine CRM system.

MAR/1994-JUL/2002

Westminster Securities - Operations Manager New York, NY

Served in a Back/Middle Office capacity as point of contact for resolution of trade/operations

related issues. Supervised an operations/support staff of 4 to 6 people.

Served as point of contact for trading related hardware and software vendors.

Trading- placed equity orders via direct line to firm floor brokers on the N.Y.S.E. and via

Pershing’s brokerage platform.

Also placed equity option orders and mutual fund orders via Pershing.

Reconciled trade breaks. P&S.

New Accounts- Opened both institutional and retail accounts. Processed ACAT’s.

Processed requests for Fed Funds wires,

Commissions – Ensured that Equity. Option and Fixed Income trades were properly billed.

Settlements – Interfaced with the C.O.D. department of clearing broker in order to monitor the

settlement status the trades executed for DVP accounts and reconciled trade problems/breaks

(T+1 and later) for Equities (Listed and OTC), Options, and Fixed Income trades.

Margin-Interfaced with Margin department in order to monitor the status of all accounts and keep

margin related problems to a minimum.

requests

Compliance – assisted chief compliance officer with the collection of materials and trading data

used for the purpose of responding to inquiries from Exchanges and SRO’s.

Military Experience

U.S. Army-2nd Lieutenant Ft. Benning, GA

1988-1992 United States Army Reserve, 2nd Lieutenant

Served in U.S Army reserves and as an R.O.T.C. cadet.

Specialist, Infantry soldier in the 7th Infantry Division. Ft. Ord, CA

Education

1989-1991 Boston College BA Political Science Chestnut Hill, MA

1983-1985 Univ. of Scranton History major Scranton, PA

References -Available upon request.

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