George Mottola

VP- Equity Market Making Support - BNY Mellon Capital Markets - The

Bank of New York Mellon, LLC

Staten Island, NY 10308

adnbv4@r.postjobfree.com - 917-***-****

To obtain a position with an established firm, where I can provide quality results while contributing to the company's future success. This opportunity would allow me to utilize my extensive business acumen, and continue to develop my leadership & managerial skills. Authorized to work in the US for any employer

WORK EXPERIENCE

VP- Equity Market Making Support - BNY Mellon Capital Markets The Bank of New York Mellon, LLC -

2009-10 - Present

101 Barclay Street- New York, NY 10007

VP- Equity Market Making Support - BNY Mellon Capital Markets; Oct. '09- Present

• Provide support for the NMS/ Listed market making desk, and the Bulletin Board/Pink Sheet trading desk units.

• Responsible for the daily management of system maintenance, to ensure proper order flow between various order management applications.

• Balance daily P&L and provide details to traders, management, & the Control Dept.

• Resolve all trade breaks, maintain daily stock list (add/ drops), file "erroneous trade" inquiries, process buy in's pursuant to "Rule 204", and adjust routing of order flow as necessary.

• Other duties include open order reconciliation, post execution trade adjustment for "Best Execution" desk, daily maintenance of ACT workstation, and resolve all corporate actions.

• Coordinate with Brass, NASDAQ, and the agency desk to set up new broker/ dealer relationships to receive order flow through ACES, and maintain accurate records for the market making desk.

• Review Brass system enhancements by performing regression testing prior to implementing changes into production environment.

• Liaison with various outside vendors including NASDAQ, FINRA, BRASS, NYSE, and other broker/ dealers to resolve all trading & clearance issues. Associate Vice President- Supervisor N.J. Trade Support Stifel Nicolaus & Co - Florham Park, NJ -

2007-02 - 2009-08

February 2007 to August 2009

• Supervise a group of four Trade Support Associates, and manage the daily operations for the N.J. Trade Support Desk.

• Liaison with Stifel Nicolaus' operations staff to reconcile all OTC & Listed trade breaks vs. certain firm inventory accounts.

• Reconcile all Fixed Income discrepancies, and coordinate with various Broker/ Dealers to compare & settle open fails (i.e. Gov't, Corp, Muni's, & CD's).

• Input all CD tickets for both Primary & Secondary firm trading inventory accounts.

• Assist all FC's, CSA's, BOM's, & Ops Managers with customer service inquiries, including general compliance and firm policies.

Associate Vice President - Trade Support Supervisor Ryan Beck and Co - Florham Park, NJ -

2001-03 - 2007-02

• Supervise the daily operations of the Trade Support Area. Train and provide back up for five associates.

• Supervise the daily operational processing of the Ryan Beck Hedge Fund. Liaison with Bank of America Securities, and maintain records of all related paperwork for the fund.

• Review all 10B5-1 plans (insider sales) for our Executive Services Dept., and assist OTC trading with related order entry.

• Coordinate a Disaster Recovery plan for Ryan Beck during firm or street wide service interruptions.

• Interface with Brass and Pershing to troubleshoot system problems, and maintain daily order flow.

• Interface directly with OTC, Listed, and Closed End trading desks, to provide support for Financial Consultants and branch operations.

• Coordinate with Compliance to review firm's "rules engine" criteria, and ensure that all trading practices are in compliance with NYSE, NASDQ, and firm policies.

• Oversee certain order entry, asset allocations, and trade corrections for Ryan Beck's Registered Investment Advisory division.

• Assist branches with covering trade errors, and provide order entry support to all Financial Consultants and Branch Managers.

• Responsible for updating all firm trade errors through the NETS system, and posting FC error reserve totals on a daily basis. Coordinate with our Compensation dept. to process FC charges throughout the year.

Manager - Order Room

Gruntal & Co. LLC- One Liberty Plaza - New York, NY - 1996-09 - 2001-03

• Handle all order entry and trade allocations for various Money Managed accounts.

• Liaison with Brass and Pershing to troubleshoot trade executions and account corrections.

• Communicate daily with various trading desks to cover errors, verify executions, and research price adjustments.

• Provide operations support for branch personnel and all Financial Consultants.

• Responsible for reviewing and correcting trade problems, account adjustments, and covering firm errors for 25 retail branches.

• Maintain and update error memos for each branch, and review daily account positions.

• Prior to clearing through Pershing, I used ADP's AOM system for trade processing and order entry. With my knowledge of the product, I was able to cut costs on trade processing and communication line fees.

Operations Clerk

Proprietary Trading -

1987-08 - 1996-09

• Checked all Firm Trading tickets for accuracy and any SEC violations.

• Research and resolve all trade discrepancies for each trading account, and provide break sheets for P & S Department.

• Check all stock and option daily trade positions and follow up on all trade corrections.

• Research all Firm Option breaks prior to expiration and forward adjustments to the Options Department.

• Responsible for assisting and clearing all Firm Trading account exercises for monthly option expiration.

• Experience includes two years of inputting orders on the Super Dot machine (Program Trading). OTC Trader's Assistant

• Position included answering phones, entering orders, taking trade reports, and maintaining trade positions.

EDUCATION

BFA in Illustration

School of Visual Arts

SKILLS

TRADING, FIDESSA, Microsoft applications, Valid FSI, NASDAQ workstation, Pershing applications, Thompson One, Bloomberg, FINRA TRAQ’s (ORF) CERTIFICATIONS/LICENSES

Series 63

1994-04 - Present

Series 7 License

1994-01 - Present

Series 8

1999-06 - Present

Series 55

2000-06 - Present

Series 4

2000-03 - Present

Nys life health & accident

2009-08 - Present

ADDITIONAL INFORMATION

Skills

ADP's AOM / DNS, Pershing ATOM's, Net Ex Pro 360, & Stifel Beta systems Reuters Plus, Thomson Financial & Bloomberg

NASDQ Workstation, FINRA TRAQ's (ORF), Sungard Trading System (Brass), Fidessa OMS Microsoft Word, Excel, Outlook, Lync, & Access. PTS Stock Lookup, & Lotus Notes

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