Paul D.

Romano
2910 New London Ave
Medford, NY 11763
631 921-4084
pr69d5c2@westpost.net
QUALIFICATION SUMMARY
Detail oriented General Securities and Option Principal with proven capabilities
in carrying out OSJ responsibilities including overseeing and approving custome
r order execution, fund transfers, margin account activity, and option trades.
PROFESSIONAL EXPERIENCE
Scottrade Financial Services Huntington Station, New York
5/1999 - Present
GENERAL SECURITIES PRINCIPAL
3/2006 - Present
Manage branch office team, ensuring the delivery of a high level customer servic
e experience. Lead team in company proprietary training as well as maintaining
firm element and industry continuing education requirements. Articulate sensiti
ve client situation to compliance, as well as senior management to prevent or mi
nimize impact to the firm and provide a resolution for the client. Interview, hi
re, train and assist new associates with U4 documentation.
- Maintain incoming and outgoing correspondence files to be in compliance with F
INRA regulations.
- Oversee disclosures related to outside business activity, gift & gratuities, c
omplaints.
- Analyze daily reports; margin, options, trade blotters, short positions and re
organizations.
- Review daily deposits and electronic transfer's for anti money laundering comp
liance.
- Oversee documents obtained to satisfy AML, CIP, and other firm and regulatory
requirements.
REGISTERED REPRESENTATIVE
6/2000 - 3/2006
Working alongside my manger I opened new accounts and obtain proper documentatio
n. I provided clients with equity, options, mutual fund, and bond quotes using
Reuters Plus and other proprietary software. Collaborated with clients to assess
financial holdings, and guide them through consolidation and rollovers.
- Maintained reorganization database, explained terms, and processed client inst
ructions.
- Provided clients with explanations on, regulation - t, fed calls, and patter d
ay trading regulations.
- Executed and educated clients on the various order types available to them.
- Demonstrated website navigation and functionality and provided clients with te
chnical support.
FINANCE INTERN
5/1999 - 6/2000
Some of my responsibilities included assisting customers with the new account op
ening process, explaining funding options, answered a high volume of customer in
quiries by both phone and in office interactions.
- Scanned and managed documents through our electronic workflow process.
- Processed incoming and outgoing checks and stock certificates.
- Followed up on customer request such as address changes, name changes, checks
and wires.
- Handled administrative functions using Microsoft Word, Excel, Power Point and
Outlook.
PROFESSIONAL LICENSES
- Series 24, 4, 7, and 63
EDUCATION
Bachelors of Science in Business Administration, Finance (2002)
New York Institute of Technology, School of Management
Graduated Cum Laude and inducted into Delta Mu Delta Honor Society