KEVIN SPINOSA

1317 GLENVILLE DR, GARLAND, TEXAS 75042 * 469.826.6412, * ksbc02b6@westpost.net

- CUSTOMER CREDIT & MARGIN -

PROFESSIONAL PROFILE

Financial Services Manager with over 15 years of extensive experience in brokera

ge operations. Recognized ability in managing customer accounts within the rule
s and regulations of both the firm and the financial industry. Demonstrated effi
cacy in developing and implementing financial and operational controls in a fast
paced, demanding environment. Excellent work ethic, ability in multi-tasking p
rioritizes workloads, meeting deadlines and adapting to changing needs. Works w
ell with others and thrives in a team-oriented environment. Obtained Series 4, 7
, 24 & 63 security licenses.
CORE COMPETENCIES

* Expertise in organizational building and effective strategy implementation

* Collaborated skills in developing and expanding cooperative ventures and joint
arrangements
* Focus on outcome driven management
* Strength in evaluating the efficacy of current practices, procedures, and plan
s
* Decision maker aligned with the vision, mission, goals, and values of an organ
ization
* Proficient in converting followers into leaders
EDUCATION
KINGSBOROUGH COMMUNITY COLLEGE
* Major: Business Administration/Computer Information Systems 1990-1991
PROFESSIONAL HISTORY
Penson Financial Services * DALLAS, TX
MARGIN MANAGER 2008-2010
* Manage 18 analysts from entry level to senior specialist.
* Hired and trained new employees on margin FINRA regulations and the company's
internal computer systems
* Project management/technical advisor for many new projects such as a cash tran
sfers system and a new real time Margin system
* Daily coaching of associates to ensure the development of optimum performance
* Manage over 300 diverse correspondents with some of the most active equity and
option traders on the street
* Writing performance appraisals and providing support/training based on individ
ual team member development needs and goals
* Manage firm risk, regulatory compliance and customer relationship building
Jefferies & Company * JERSEY CITY, NJ & DALLAS, TX
CUSTOMER CREDIT AND MARGIN, ASSISTANT VICE PRESIDENT 2002-2008
* Supervise and maintain the margin interest system and mentor four junior clerk
s
* Manage the daily records of operational measurements and evaluate day trading
reports, correspondent proprietary trading accounts and examining all unsecured
debits
* Plan and organize weekly 15c3-3 reports, monthly 15c3-1 reports, and restricte
d control calculation
* Generate and establish house call and large balance reports for Senior Managem
ent
* Provide high level assessments of open Fed calls/day trade calls
* Analyze and evaluate payment approvals, No Name reports, and CAMS option repor
ts, accounts missing documents, freerides, liquidations, and good faith violatio
ns
* Administer Fed and house call logs for accuracy and organize incoming and outg
oing DTC and DWAC's
Oscar Gruss & Son, Inc.* NEW YORK CITY
MARGIN SUPERVISOR 1999-2002
* Implemented Regulation T using ADP system, assessed customer accounts, new acc
ounts, ACATs and market conditions to review risk
* Evaluated and studied increased maintenance requirements of volatile Internet
stocks
* Appropriately maintained and sustained institutional accounts with banks in Is
rael
* Supervised the daily reconfiguration of index and equity option accounts
* Performed various interest adjustments and journals
* Coordinated and facilitated incoming and outgoing DTC and DWAC's

REFERENCES FURNISHED ON REQUEST