Registered Financial Services Advisor, Broker, Trader

Greg Sheerins

*** **** ********* ******, ***. **

Ridgewood, New Jersey 07450

H: 201-***-****

*********@*****.***

PROFILE:

Licensed financial services trading, sales and product professional. Background includes management, investment consulting, retirement planning, retail financial sales, institutional financial sales, RIA sales, insurance sales, inter-dealer brokering, trading, product development and marketing. Experienced manager and proven revenue producer, able to build and maintain solid business relations internally and externally. Team leader, effective communicator, teacher, motivator and problem solver.

PROFESSIONAL EXPERIENCE:

QUASAR TRADING, LLC. – INDEPENDENT PROPRIETARY TRADER

November 2012 - present

Responsibilities:

Trade equities for personal account

PRUDENTIAL FINANCIAL

April 2011 – October 2012

Title/Position Held: Financial Advisor

Responsibilities:

Open client accounts on the retail level.

Manage client money

Sell financial and insurance products such as stocks, bonds, mutual funds, annuities,

variable life insurance policies, etc.

INDEPENDENT PROPRIETARY TRADER – PORTFOLIO MANAGER

January, 2009– April 2011

Responsibilities:

Identify list of securities (fixed income, equities, options) that provide greatest potential for trading opportunities.

Use technical analysis to forecast price movements and place effective stop orders.

Follow macro economic trends to create trading bias to prepare for each day/week/month

Maintain constant research and study to determine which sectors are leading the current market.

TD AMERITRADE – 135 Greene Street, Jersey City, N.J. 07311

January, 2007 – January, 2009

Title/Position Held: Manager - Fixed Income Business Initiatives / Sales

Responsibilities:

Assisted in redesigning fixed income portion of TD Ameritrade’s public and private websites. Building that site from the ground up, adding education content, trading platform, tools etc. TD Ameritrade’s online growth in fixed income increased to 17% of total revenue (2008) versus 2% (2006). $500,000 to $6,000,000 online sales.

Worked closely with the Fixed Income trading desk and the retail and institutional sales groups. Assisted in responding to and answering client inquiries.

Created online trading and tracking tools so clients can quickly enter orders and spot and track potential opportunities. Helped develop highly successful Online Bond Wizard tool where clients answer a few simple questions and can purchase individual bonds, CDs or bond ladders. Fixed Income product line included Municipals, Corporates, Mortgage-backs, Convertibles, Zero-coupons, U.S Agencies and Treasuries, CDs and UITs.

Instrumental in bringing new products, tools and educational sites to TD Ameritrade clients such as Muni Center, New Issue Center, Quick and Advanced Bond/CD Searches, Yield Center, Ready-Made Bond Ladders, CD Center, Monthly-Pay Portfolio, High Yield CD campaign, Preferred UIT campaign and others

Created fixed income marketing materials and brochures that are distributed through TD Ameritrade retail branches.

Worked closely with TD Ameritrade’s Virtual Client Experience Group creating an online learning experience for clients to understand fixed income markets and products more easily.

Participated in fixed income presentations for Apex client seminars.

AVANT TRADE – 400 Kelby Street, Fort Lee, N.J. 07024

November, 2005 – November, 2006

Title/Position Held: Proprietary Trader

DOMESTIC SECURITIES, INC. – 160 Summit Avenue, Montvale, NJ, 07645

May, 2004 – October, 2005

Title/Position Held: Proprietary Trader

Responsibilities for Avant and Domestic:

Proprietary trading of fixed income, listed and OTC securities and options. Along with the Bloomberg network, worked with and traded on a number of electronic trading platforms including TradeWeb, Sterling Pro, e-Speed and Broker Tec.

GARBAN-INTERCAPITAL (ICAP) –Harborside Financial Center, Plaza 5, Jersey City, N.J.07311

February, 2002 – March, 2004

Title/Positions Held: Vice President, Fixed Income Emerging Markets, ETC Sales

Responsibilities:

Institutional Broker - Emerging Market Debt. Marketed ICAP’s electronic trading system, named ETC (Electronic Trading Community). Prospected for companies that were candidates for private label deals utilizing the ETC-trading platform.

SUMMIT FINANCIAL RESOURCES, INC. - 4 Campus Drive, Parsippany, NJ, 07054

January, 2001- February, 2002

Title/Position Held: Vice President, Registered Investment Advisor

Responsibilities:

Prospected for qualified clients (individuals with a net worth of $10 million or greater). Developed and assisted in implementing investment, retirement, estate, and business succession plans. Performed cash flow and asset allocation analysis. Sold investment and insurance products. Managed client investment accounts. Collaborated with client’s attorneys and accountants to ensure proper drafting of documents (i.e. wills, trusts and tax returns).

CANTOR FITZGERALD SECURITIES, LP - 1 World Trade Center, New York, NY 10048

September, 1991- June, 2000

Title/Position Held: Limited Partner, Senior Vice President, Department Manager,

Fixed Income Securities Broker

Responsibilities:

As a partner, senior vice president and broker, specialized in the interdealer brokering of Fixed Income securities (Munis, Treasuries, Agencies, Corporates). Managed department of 30 brokers. Traded desk account. Helped develop and market Cantor's on-screen electronic trading and brokering platform (named e-Speed), recruited and trained department personnel. Represented firm on the Primary Dealers Committee of SIFMA.

EDUCATION AND TRAINING:

B.S. Ramapo College of New Jersey - Business Administration

Ford Motor Company College Graduate Management Training Program

CREDENTIALS & Skills:

Series 7: General Securities Representative Examination

Series 66: Uniform Combined State Law Examination

Variable Annuity and Variable Life insurance license.

Experience with and functional knowledge of Word, Excel, PowerPoint and Outlook

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