Customer Service Representative

Keith O'Toole 562-***-****

/*****.******@*****.***

Sixteen years Management experience within the financial industry.

Twelve years in Executive Management of BD and

FCM. Instrumental in helping build multiple companies from the ground up

and managing all operations.

Senior Management Executive

Chief Operating Officer

Repeatedly produced sustained revenue and growth in dynamic and changing

markets. Proven achievement in building,

managing, and growing Broker Dealers and Futures Commission

Merchants (FCM) . Extensive experience

working with development teams, design teams, operations

teams, and project management to

coordinate the development of products and companies.

Extensive business background

in international, multi-cultural customer and

employee base.

Core Develop and maintain a broad list of industry contacts

Competencies: Excellent ability to cultivate strategic

relationships across various vendors and industries

Negotiator of contracts throughout the company regardless

of area of necessity

Continually expanding my knowledge of the industry within

the United States and Overseas:

Europe & Canada specifically

Consistently working towards broader network of industry

experts and leaders

Excellent written and verbal skills to communicate message

to Executive Committee

Unparalleled commitment to customer service, growth, and

retention of customer base

Entrepreneurial mindset and work ethic developing New

Businesses & Alliances

Supported the CEO for Strategic Planning.

Professional Experience

CHIEF OPERATING OFFICER-

Oversee & Develop operations for Broker Dealers /FCMs. MB TRADING

INC., 1998-Present

MB TRADING FUTURES

3DFOREX, L.L.C.

. Built BD's and FCM's from ground up. Currently manage daily operations

of Broker Dealer, and our FCM: MBT Futures.

. Manage day to day activities including: Risk, Hiring, AML, Operations:

New Accounts, P&S, Cashiering, Trading, Customer Complaints, and all

Audits.

. Developed and implemented all Operations Manuals, exception reports, HR

policies and procedures, 401k Retirement plan, Aflac plan and Insurance

plans. Integrated across two companies. Oversaw conversion of Forex

business from one Clearing firm to another.

. Responsibilities: Key contact for all NFA, CFTC, FINRA, SEC audits. Work

closely and efficiently with the Compliance Department. Perform testing

of procedures for: New Accounts, P&S, and Cashiering. Responsible for

managing advertising and supervision of written office communication.

Provided Business Continuity Plan to firm.

. Responsible for replying and communicating with all customers when issues

arose requiring executive decisions.

. Assist Executive VP of MBT Institutional with reconcilement issues,

marketing, as well as clearing firm disputes.

. Responsible for overseeing all activity within the MBT Institutional

department including marketing and trading.

. Responsible for contracts for all: Exchanges, Networks, Insurance,

Telephony, Office, Introducing Brokers, Software vendors, etc.

. Instrumental in establishing network connectivity to: Radianz, Inet,

Arca, Brut, ATD, Penson.

. Supervise all options and mutual funds trades of the firm as the licensed

Options & Mutual Fund Principal for the firm.

. Maintained Business relationships with Investment Advisors.

. Creating and maintaining Hedge Fund & Investment Advisor relationships.

. Supervise all marketing efforts of Institutional business and Introducing

Brokers for the FCM while overseeing staff of 60+.

. Manage a multi-million dollar budget, never over budget. Creative in

finding cost reductions across companies.

. Member of: Compliance Committee, Management Committee & AML Committee

. Previous BD affiliation was with Terra Nova Trading LLC-Clean CRD record.

. Consultant to Interim President of Canadian BD and European FCM.

. Instrumental in working with consulting groups hired to add Canada and

European territories to our offerings by becoming the Chief Operating

Officer for our new Canadian BD (Completed Options Principal / New

Entrants Course - Canada) Tapped to get the international business off

the ground.

. Active member of Securities Traders of Los Angeles.

INTERNATIONAL RECONCILEMENT SPECIALIST- MERRILL LYNCH ASSET

MANAGEMENT 1996-1998

Assistant to Portfolio Management staff /HOTCHKIS &

WILEY FUNDS/currently:

CAUSEWAY CAPITAL

Reconcilement of accounts for Billion Dollar Mutual Fund & multiple

Pension accounts

. Oversaw reconcilement of 13 International accounts with an average asset

base of $800+ million. Converted processes from monthly reconcilement to

daily reconcilement to allow for real time analysis of accounts.

Converted accounts to Euro currency during changeover period.

. Worked directly with Portfolio Managers: Harry Hartford and Sarah

Ketterer as reconcilement specialist.

. Oversaw Bloomberg training and creation of monthly management reports.

PORTFOLIO ADMINISTRATOR - GEORGE D. BJURMAN & ASSOCIATES

1995-1996

Assistant to Investment Portfolio Managers.

. Developed written supervisory procedures and improved efficiency of

department on an ongoing basis.

. Created and developed various reports for Portfolio Managers along with

marketing material for presentations to new clients.

. Customer Service representative to Institutional and high net worth

individuals on a daily basis.

. Assistant within WRAP department that encompassed three separate

brokerage relationships as well as U.S. Reconcilement specialist.

ACCOUNT EXECUTIVE - CELTIC CAPITAL CORP,

1994-1995

Assistant to the President of Celtic Capital - Portfolio Management and

Credit Risk.

. I worked closely with all departments, coordinating improvements in

efficiency throughout the firm: data entry, operations, programming, &

auditing.

. Supervised loan portfolio consisting of 48 separate firms. Oversaw Audit

team who audited financial records of the portfolio. Analyzed risk &

accounts receivable agings & corporate viability to continue operations.

Made recommendations to Board of Directors on maintaining various loans.

Worked directly with the President of the firm: Mark Hafner.

. Member of LAVA: Los Angeles Venture Association.

technical skills

Financial Licenses: 24, 7, 63, 3, 4, Clean CRD & NFA files: (crd# 4054940,

nfa# 0343046)

Canadian Financial Licenses: Options Supervisor, New Entrants Course

(NEC), PDO (in process)

Professional Affiliations: Securities Traders Association of Los

Angeles(STALA) and Los Angeles World Affairs Council.

Member of FIVE STAR Wealth Manager Blue Ribbon Panel - LA Magazine.

Operating Systems: Windows 7, Vista, WinXP, Win2k, WinNT

Applications: Esignal, DTNiq, QCharts, Bloomberg, Excel, Goldmine, Word,

Outlook, Thunderbird, Google, and Powerpoint.

Education

BA, Political Science & English - University of California, Santa Barbara,

CA

University of California, Los Angeles, CA

Continuing Education: Accounting,

Calculus, and Screenwriting

Linkedin Professional Profile:

http://www.linkedin.com/in/keithotoole

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