Customer Service Manager

Christopher Voccola

Dedicated financial professional with more than 16 years of experience in

Profile

investment management and sales.

Experience National Securities Corporation – New York, NY

Senior Account Executive, with all previous manager responsibilities, 11/14 to

present

Columbus Advisory Group – New York, NY

Senior Vice President, 9/14 to 11/14

National Securities Corporation – Huntington, NY

Branch Manager, Retail, 1/04 to 9/14

Conduct and respond with SEC, FINRA and internal auditors for branch reviews

and examinations.

Review and approval of branch’s daily trades.

Review OSJ E mails.

Approval of new accounts after selective review of prospective clients’ applications

based on determination of suitability and investment objectives.

Enforcement of company’s written supervisory procedures.

Directly supervise all registered branch representatives.

Liaison between analysts and registered representatives.

Approval of: trade corrections; journal of cash and securities; check requests; and

incoming and outgoing wires.

Establishment of estate accounts.

Filing of U4 and U5 information with registrations.

Maintaining of registered representatives’ outside brokerage accounts.

Completion of broker exception reports.

Heighten supervision review.

Approval of overseas accounts.

Coordination with the head of East coast compliance and head of AML to ensure

all levels of compliance are fulfilled.

Coordinate directly with cashiering and operations on receipt of intell a check

received, logged and posted to accounts.

Assessing personal retail clients’ risk and investment objectives and providing

specific investment products to meet their investment goals.

Continental Broker Dealer – Carle Place, NY

Risk Management, Customer Service, Retail, 5/98 to 1/04

Assessing client questions pertaining to account statements and client

confirmations and general account information.

Verbally confirming the clients’ previous day’s activities.

Resolve discrepancies between account executive and client.

Coordinating with legal counsel in the closing of deceased accounts and opening of

estate accounts.

Joseph Stephens – New York, NY

Account Opener, 2/98 to 5/98

Gathering personal financial information from potential investors. Deciding if they

were sophisticated investors and providing them with a new account.

Baruch College, New York, N.Y.

Finance Major. Attended 1995 1998.

Nassau Community College, Garden City, N.Y.

Finance Major. Attended 9/14 to present and 1992 1995.

FINRA Series 4, 7, 24 and 63.

Licensure

101 First Avenue Kings Park, NY 11754 516-***-**** *********@*****.***

Contact this candidate