WILLIAM A. NEVITT

** ******** ***** *****: 973-***-****

East Hanover, NJ 07936 Email: acqauo@r.postjobfree.com

Securities Professional & Investment Advisor

A top-performing Securities Trader and Financial Advisor credited with combining sales, marketing and business development expertise to deliver substantial business growth, exceptional client service, and regulatory compliance in highly competitive business markets. Strong expertise in stock exchange floor practices, back office procedures, compliance, and AML regulations to ensure a competitive environment that maintains a level playing field and adheres to industry standards. Highly accomplished in consultative selling and ability to build and maintain relationships.

Areas of Expertise

Consultative Sales

High-Level Sales Proficiency

Marketing & Business Growth

Competitive Environments

Securities

AML Regulations

Interpersonal Relations

Integrity-Based Selling

FINRA Compliance

Training & Management

Problem Solving

Analytical Decision Making

Licenses

Series 7,24,25,63 and 66. Life, Health, Variable, Property and Casualty Insurance. CRD# 2356092

Professional Experience

ABN AMRO CLEARING CHICAGO LLC, New York, NY 2009 – Present

Office Manager

Reconcile trades and update Account Information to insure compliance with FINRA rules and regulations

Onboard new customers and update client files with AML searches and Form 1 to Schedule A

Implement Risk Reviews for new clients using Bloomberg

Demonstrate expertise in DTCC PBS – Omgeo Services and Settlement Services

Track staff expenses using Concur Travel and Expense

Collaborated method with IT department for SAC Capital to route orders to NYSE using MIXIT’s FIX message system, capturing both prime broker and account

Work with ETF (Exchange Traded Funds) and EFP (Exchange Traded Products) Teams in concert with State Street, BNY- Mellon, SEI and Vanguard Equity to enter and verify orders

AMERIPRISE FINANCIAL, Parsippany, NJ 2009

Financial Advisor

Supported clients in achieving their financial goals through a holistic view of client financial picture

Maintained and expanded business through consultative sales of financial services and investments

Ensured an exceptional client experience by guiding clients through short term and long term planning

EDWARD JONES, East Hanover, NJ 2008 – 2009

Financial Advisor

Recommended individualized investment packages to clients based on face-to-face relationship building

Grew business and cultivated positive client relationships

Advised clients with a range of financial objectives and risk levels

B & B SECURITIES, New York, NY 1997 – 2008

Floor Trader, Principal NYSE

Executed and cleared trades while providing liaison between floor brokers and traders

Oversaw training, establishing training manual and ensuring accomplishment of yearly initiatives in AML, Trading Practices, Ethics and Supervisory Issues

Supported logging and reconciling trade discrepancies and errors, as well as audits

Organized annual Anti Money Laundering (AML) audit, including procedures for AML controls, familiarity with the Patriot Act and Office of Foreign Affairs (OFAC) website to conduct searches for customer KYC (NYSE rule 405) responsibilities

Ensured compliance with NYSE rules and regulations as well as external requirements

Authored new and update existing policies and procedures including written supervisory procedures and compliance issues

Monitored FinCen website and proof of FinCen reviews

Maintained employee personal trading, including trade pre-clearance and post trade reviews, and review monthly trades to comply with NYSE rules

NEVITT SECURITIES, New York, NY 1987 – 1997

Member - New York Stock Exchange

Increased profits, developing and maintaining a successful clientele base and book of business, building upon existing accounts from purchase of Bruce R. Doyle & Company.

BRUCE R. DOYLE & COMPANY, New York, NY 1981 – 1987

Member - New York Stock Exchange

Increased business and profits by aggressively marketing financial services.

Education & Training

Bachelor of Arts, Philosophy, Business, Chemistry, Molloy College, Rockville Centre, NY (Magna Cum Laude)

St. John’s Law School, New York, NY (1980-81)

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