Bryan Martinez
Newark
Summary
Series 7 and Series 63 licensed professional with a B.S. in Finance from Lehigh University and 3+ years of brokerage operations experience at Pershing (BNY Mellon). Expertise in non-ACAT account transfers, client onboarding, asset consolidation (TOA), and regulatory compliance.
Overview
3
3
years of professional experience
2
2
Certifications
Work History
Non-ACAT Specialist
Pershing - The Bank of Newyork Mellon
Jersey City
06.2023 - Current
- Managed non-ACAT transfers and asset consolidation for 500+ high-net worth clients and independent financial advisors, ensuring seamless asset movement and compliance with FINRA/SEC regulations to enhance client retention.
- Collaborated with compliance and front office teams to execute manual processes and conduct KYC/AML reviews, mitigating risks and ensuring alignment with firm policies to safeguard client assets.
- Served as primary contact for financial advisors and clients on account maintenance and compliance matters, facilitating timely resolution of documentation issues.
- Maintained deep knowledge of securities regulations and products to provide accurate guidance, supporting advisors in meeting client goals.
Education
Bachelor of Science - Finance
Lehigh University
Bethlehem, PA12-2021
Skills
- Client Relationship Management & Client Advocacy
- Regulatory Compliance (FINRA, SEC, KYC/AML)
- Account Onboarding & Transfer of Assets
- Investment Products (Equities, Mutual Funds, Retirement Accounts)
- Microsoft Excel, Microsoft Office Suite Pershing/Netx360
Certification
FINRA Series 7
Timeline
Non-ACAT Specialist
Pershing - The Bank of Newyork Mellon
06.2023 - Current
Bachelor of Science - Finance
Lehigh University