Brian Warden
Phoenix,AZ
Summary
- Highly-motivated Analytical finance professional with over 10 years of experience with a track record of achieving performance outcomes with the ability to comprehend, translate, and act upon market fundamentals.
- Possesses FINRA Series 7, and 63 licenses
Overview
22
22
years of professional experience
Work History
Senior Institutional Brokerage Sales Assistant
Wells Fargo Securities
Phoenix, AZ
12.2013 - Current
- Preform Daily P&Amp;L balance and trade settlements
- Assemble portfolios and bid for multi-Billion-dollar Municipalities
- Input client trade orders (solicited and unsolicited); processed AML/Remediation as well as all Compliance related issues; solicited Client orders and followed through until trade settlement
- Onboarded clients to our online trading and reporting tools, portfolio analytics, portfolio accounting, asset/liability analysis and safekeeping to help clients manage their fixed income portfolios
- Consultative solutions supporting external clients and internal partners that provided customized investment recommendations that solved Fixed Income investment needs.
Data Analyst
Zetto Media
San Diego, CA
01.2013 - 11.2013
- Developed analytical metrics to keep daily statistics
- Worked with advertisers and recommended changing efficient click for profit methods.
Equity Trader
Sprott Global Resources
Carlsbad, CA
02.2012 - 12.2012
- Daily trades foreign and domestic; compiled and analyzed daily research and prepared data summaries to use in designing trading strategies
- Broad ownership of Advent applications, including the relationship with Advent
- Identified ways for the organization to make more effective use of the Advent applications
- Calculated portfolio valuations, average cost of portfolio holdings, and total percentage of assets invested.
Trading Liaison/Training and Support Consultant
RBC Wealth Management
Minneapolis, MN
12.2001 - 10.2011
- Pre-screening and interviews of prospective brokers
- Conducted weekly statewide training seminars by video conferencing, online or onsite with in house staff as well as third party companies and individual brokers on software utilization and upgrades from RBC’s system
- Liaison between departments for conflict resolution with the focus on collaboration between groups with the objective to become a more progressive collective team
- Also on how to make use of various business models and platforms to help coordinate a viable working strategy
- Assisted with the development of new training manuals RBC’s by referencing utilization feedback of previous manuals
- Originating, developing, and executing complex fixed income trades involving mortgages, municipal & corporate bonds, preferred securities derivatives, foreign currency and futures
- Performed tailor-made individual research projects for clients according to their specific needs and made recommendations regarding individual fixed income instruments and design portfolios.
Education
B.A Business Economics & Finance -
Augsburg University
Skills
- Bloomberg
- Beta 60
- Salesforce
- Securities Trading
- SOM
- Equity Research
- Outlook
- Client Coaching
- Wealth Station
- Employee Coaching & Training
- Advent
- Market Axcess
- ACT
- Meeting Sales Goals
- Goal Setting
- Time Management
- Reliable and Responsible
- Multitasking
- Attention to Detail
- Time management abilities
- Marketing Strategies
- Reliability
- Exceeding Customer Expectations
- Positive Customer Engagement
- Creative Thinking
- Analytical Skills
- Adaptability and Flexibility
References
Available upon request
Timeline
Senior Institutional Brokerage Sales Assistant
Wells Fargo Securities
12.2013 - Current
Data Analyst
Zetto Media
01.2013 - 11.2013
Equity Trader
Sprott Global Resources
02.2012 - 12.2012
Trading Liaison/Training and Support Consultant
RBC Wealth Management
12.2001 - 10.2011
B.A Business Economics & Finance -
Augsburg University
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