____________________EXECUTIVE SUMMARY____________________

Investment and Trading Professional with over seven years of experience in a var
iety of progressively responsible roles. Significant expertise in financial anal
ysis, complex modeling, operations and asset management. Acknowledged throughout
career for capacity to cultivate strategic relationships and build trust, while
simultaneously steering positive bottom-line results. Challenge driven. Series
7 and 63 NASD Certified.
____________________PROFESSIONAL BACKGROUND____________________
01/01/-1 to Present - Analyst/Team Manger
Wachovia Securities, Richmond, VA 2006
* Planned study of RISK problems and procedures, such as organizational change,
communications, information flow, and integrated production methods
* Served as liaison for over 6000 brokers, analyzing customer assets and require
ments for future products.
* Mentored and trained eight new associates and the management team during corpo
rate merger in St. Louis, ensuring 100% knowledge transfer and continuity of ser
vices. Authored updated standard operating procedures in order to adapt to new
company culture.
* Selected to work with risk department in mapping out workflow processes and pr
oductivity measures.
* Planned study of RISK problems and procedures, such as organizational change,
communications, information flow, and integrated production methods
* Managed a team of six asset management traders, assisting customers with inqui
ries and growing the business to over $7B
* Developed and implemented new trading operations and policies that automated p
rocesses and streamlined the operations by over 50%.
* Created process to streamline trading for municipal bonds and CDs, providing i
mmediate information to Fixed Income traders and mitigating risk.
* Led the day-to-day operations of up to $705M in trades, handling high level tr
ades of up to $650M individually
01/01/-1 to Present - Associate Agency Trader
Wachovia Securities, Richmond, VA 2004
* Led the expeditious and accurate order entry of listed and over-the-counter eq
uity trades totaling $100,000 daily.
* Monitored executions through to the floor and reconciled over 12 inventory acc
ounts totaling over $10M.
* Maintained daily trading and error reports for Senior Traders, providing back-
up to the e-mail trading system.
* Managed the process of zero balancing the error report for over 500 trades dai
ly, including the documentation and reporting.
* Created and implemented records management process for data security and reten
tion, insuring compliance with federal and state regulations.
01/01/-1 to Present - Bolt/Bore Sr. Specialist
Wachovia Securities, Richmond, VA 2003
* During largest merger in financial services history, developed process and pro
cedures to integrate asset allocations from both firms.
* Prepared manuals and trained six associates in use of new forms, reports, proc
edures and equipment, according to organizational policy. Served as subject mat
ter expert for branches and brokers.
* Communicated with 10 departments and senior management to resolve problems and
expedite work.
2001 to 2003 - Cash/Margin Specialist
Wachovia Securities, Richmond, VA
* Received Associate of the Year award twice, being recognized by CEO.
* Created training program for 30 new associates, facilitating classes and autho
ring policies and procedures; this was utilized by other departments for subject
 matter expertise in Cash/Margin.
* Monitored activity in over 2500 accounts to ensure compliance with firm, feder
al, and exchange regulations
* Identified and issued calls for additional money or securities in all margin a
ccounts for over 1000 brokers within regulatory timeframes.
* Monitored market movement and its impact on margin accounts, providing informa
tion to over 100 branch associates
* Handled ACAT issues, Reorg items, and Option report.
____________________EDUCATION____________________
1994
Virginia Commonwealth University, Richmond
Attended Business Classes
____________________VOLUNTEERJUNIOR ACHIEVEMENT,____________________
2001 to 2001 - Teacher Assistant
Richmond, VA
Trading Trainer for Elementary School