Carl Romano, Jr.

** **** **** **, ********* ME **011

908-***-****

ad0av2@r.postjobfree.com

SUMMARY

Successful Equity Finance professional in Securities Lending, Prime Brokerage. Background includes establishing and maintaining strong business relationships with various trading desks and clients resulting in strong sales history. Exceptional customer service and attention to details skills. Works well as part of team and independently. EXPERIENCE

Assistant Vice President: B Riley FBR Group (2015 - 2023) Trade Hard to Borrow Securities by borrowing from inventories of certain broker dealers and lending to larger broker dealers, thus obtaining profitable spreads.

Maintain strong relationships with various banks.

Vice President: Cowen Group (2012 – 2015)

Traded Hard to Borrow Securities by borrowing from inventories of certain broker dealers and lending to larger broker dealers, thus obtaining profitable spreads.

Maintained strong relationships with Pershing, OPPenheimer, TD Securities, APPex Securities; all examples of Hard to Borrow Issues. Improved relationship, and grew business, with Barclays Global, who possesses General Collateral and Hard to Borrow Issues. Signed a new broker, Sterne Agee, who possesses both a supply of Hard to Borrow Issues and a very favorable General Collateral Rebate. Constantly upgraded the book by borrowing better rebates to improve spread. Shared information with fellow traders on where certain stocks were being traded.

Vice President: Kellner Dileo (2010 – 2012)

Developed strong relationships with various broker dealers who posses significant inventory of supply for loans. Spoke with various brokers to obtain Hard to Borrow Issues from banks where Kellner Dileo is not online with Direct. Assisted with building of a matchbook which consists of mostly Hard to Borrow Issues. Played key role in signing a key bank. Worked on rerates with Call Letters to keep positions out. Vice President Sales: Jefferies (2007 – 2010)

Obtained shares of Hard to Borrow Issues from various institutions. Lent these issues to various brokers at a positive spread. Developed strong relationships with Mellon, State Street, Key Trust, US Bancorp, Boston Global, PNC and Marshall & Isley. Brought two institutions on board and structured two term deals with mid-sized banks. Constantly upgraded rates on General Collateral and Hard to Borrow Issues.

Responsible for in house short accounts, borrowed the firm’s house needs and ETFs. Controlled 204 borrowing needs. Serviced outside Hedge Funds. Serviced London accounts.

Vice President Sales: Banc of America Securities (2001 – 2007) Responsible for obtaining supply of securities for Prime Broker trades, loans, and buy-ins. Developed successful relationships with many institutions and grew balances in accounts.

Sales Representative: Nationsbanc Montgomery Securities (1998 – 2001) Responsible for covering main institutions and growing businesses. Ran a matchbook with certain reciprocal brokers. Approved shorts for hedge funds. Grew balances in accounts.

Vice President Sales: Lehman Brothers, New York (1991 - 1998) Full responsibility for specific banking accounts to borrow required stocks for lenders. Experience in term deals, stock rebate upgrades, canceling of call notices, building letter of credit business, and borrowing against treasury business. Grew balances in accounts. Securities Lending Representative: Shearson Lehman Brothers, New York (1981 - 1991) Lent and borrowed securities with reciprocal brokers. Approved shorts for in-house accounts. LICENSES

Series 7, 99