Trivium Point Advisory

Relationship Manager

RBC Capital Markets

•      Carried out exemplary client support for a client base consisting of over $800MM in assets under management
•      On-boarded and opened prime brokerage and DVP accounts- involving direct client interaction
•      Reviewed and approved outgoing client fund requests.
•	Responsible, as a licensed Series 24, to review and approve client applications
•	Coordinated and oversaw projects involving the restructuring and streamlining of multiple internal databases 
•	Reconciled and supported the firms prime brokerage reporting suite including capital gain/loss reports and tax lot reports
•	Acted as liaison with transfer agents, general counsel, and shareholders to obtain legal opinion letters for holders of restricted securities whose shares are eligible for  registration under Rule 144, Regulation S, prospectus stock, etc.
•	Participated in multiple internal and external regulatory firm audits
•	Established internal procedures for escheating abandoned client assets

Associate Director

Carlin Financial Group

Customer Service Supervisor- 2001-2007 
•	Managed the day to day operations of  the firms client service and margin teams
•	Responsible for opening and servicing prime brokerage and DVP accounts
•	Established filing and record keeping procedures to ensure the accurate maintenance of  confidential client information

Registrations Specialist- 1999-2001
•	Processed all U4 registrations with the Philadelphia Stock Exchange (PHLX) for the firms proprietary traders
•	Fingerprinted applicants
•	Filed  Form U-10 requests with the PHLX
•	Scheduled licensing exams for applicants 
•	Opened and serviced all proprietary trading accounts  
•	Maintained records containing confidential account holder information

Manager

Self motivated individual with an appetite for success.  Professional strengths combine strategic and tactical operations expertise with strong qualifications in client relations, new accounts, business development, and employee management.  Successfully develops cross enterprise alliances and exemplifies an unwavering adherence in partnering industry rules and regulations with core operations. 

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