ELLIOT BERGER

27 South Emerson Avenue a Amityville, New York 11701 a eb884bce@westpost

.net a 917-903-0593
Financial services professional with extensive experience in supervision, operat
ions, trading, and sales; highly knowledgeable in stocks, bonds, mutual funds, a
nd annuities.
SUMMARY OF QUALIFICATIONS
aSeries 7, 63, 24 securities licenses. Life and Health License.
aExpertise in securities trading, sales, and operations, regulatory compliance,
website development, and underwriting.
aExceptional skills in analyzing data and detecting/correcting errors, building
lasting client relationships, and coordinating cross-functional activities.
aContributed significantly to companyas growth and expansion, more than doubling
its annual revenues.
aDeveloped and implemented organized process (including tracking system) to coor
dinate orientation and training efforts between several departments in the trans
ition of new sales representatives to the company.
aServed as liaison between department heads and web developers in the creation o
f a company web site designed to display product information, compliance require
ments, research resources, office procedures, company policies, and market infor
mation.
aInstrumental in renegotiating relationship with clearing firm, resulting in low
er fees and improved service.
PROFESSIONAL EXPERIENCE
WALNUT STREET SECURITIES / New York, New York August 2003 a" September 2008
A division of Met Life; full-service securities firm; 100 home-office employees;
1,000 representatives nationwide.
REGIONAL SALES SUPERVISOR
aResponsible for oversight of 30 branch offices in eastern U.S region consisting
of five states; supervise 200 sales representatives and 25 administrative suppo
rt employees.
aMonitor trading activity across all products (except insurance) a" e.g., mutual
funds, stocks, bonds, unit investment trusts, annuities.
aTrain sales representatives and their assistants in office procedures, corporat
e policies, and regulatory issues.
aConduct branch audits to ensure proper recordkeeping and compliance.
aReduced companyas exposure to regulatory non-compliance through disciplined tra
ining of personnel and consistent, thorough auditing.
NATHAN & LEWIS SECURITIES / New York, New York April 1997 a" August 2003
Securities firm specializing in mutual funds, annuities, stocks, bonds, and unit
investment trusts; 1,000 registered representatives; 100 home office employees.
REGIONAL DIRECTOR June 2001 a" August 2003
aResponsible for oversight of 50 sales assistants, 60 branch managers, and 300 r
epresentatives.
aMonitored trading activity; conducted branch audits to ensure compliance with c
ompany policies and Federal regulations.
aReduced companyas exposure to regulatory issues through extensive training of p
ersonnel to strengthen compliance with regulatory requirements.
DIRECTOR OF TRANSITION SERVICES April 1999 a" June 2001
aCoordinated operations, compliance, licensing, and technology for new represent
atives.
aSupervised team of three associates who provided central processing for new rep
resentative transition from previous broker dealer to Nathan & Lewis Securities.
aConducted new representative orientation and training; coordinated transfer of
licenses and client accounts from former employer.
DIRECTOR-COMPANY WEB SITE May 1997 a" April 1999
aCo-managed company web site.
aServed as liaison between department heads and web developers; performed demons
trations of website to sales representatives and assistants.
JARON EQUITIES CORPORATION / Hicksville, New York July 1993 a" April 1997
Firm with 120 representative and 15 home-office employees; sold mutual funds, st
ocks, bonds, unit investment trusts, annuities, and life insurance.
VICE PRESIDENT-OPERATIONS
aResponsible for managing operations, including supervision of seven employees w
ho processed stocks, bonds, mutual funds, and annuity transactions.
aOversaw sales representatives to ensure compliance with NASD regulations and co
mpany policies.
ADDITIONAL EXPERIENCE
aOwner/Operator a" IMEX GROUP INTERNATIONAL a" Amityville, NY a" 1990-1993.
aDirector of Municipal Bond Trading a" BUTLER WICK & COMPANY a" Youngstown, OH a
" 1986-1989.
aAssistant Vice President/Municipal Bond Underwriting a" BEVILL BRESSLER & SCHUL
MAN a" Livingston, NJ a" 1982-1985.
aAccount Executive a"PRUDENTIAL BACHE and DONALD SHELDON & COMPANY a"New York, N
Y 1976-1982.
EDUCATION
BACHELOR OF BUSINESS ADMINISTRATION
ADELPHI UNIVERSITY / SCHOOL OF BUSINESS Garden City, New York
Graduated Cum Laude