Christopher Ferlauto
West Caldwell,NJ
Summary
Experienced equity trading professional with a background in stock executions, operations, and client advisory. I bring a solid understanding of market mechanics, technical analysis and financial principles. Skilled in equity trade execution, portfolio management, and client relationship building, I am passionate about helping clients achieve their investment goals. Proficient in market analysis, trading platforms, and ensuring compliance with industry regulations, I thrive in fast-paced environments. Looking for an opportunity to leverage my experience in equity trading and overall market experience to contribute to the success of a dynamic financial institution.
Overview
23
23
years of professional experience
1
1
Certification
Work History
Equity Trading and Operations
Tradition Securities & Derivatives LLC
06.2007 - Current
- Head Execution Trader responsible for executing equity trades on behalf of institutional clients, portfolio managers and hedge funds ensuring timely and efficient trade execution, while minimizing market impact and maximizing trading performance using a multiple of execution strategies.
- Senior Equity Broker with a proven track record in equity trading and client management. Reviewed significant client portfolios, provide high-level investment insights, and handle complex trades with a focus on maximizing profitability and mitigating risks.
- Ensured compliance with all relevant industry regulations and standards in order to mitigate risk exposure for the company.
- Reduced operational costs through effective resource management and budget control.
- Cultivated a positive workplace culture with open communication channels, fostering high levels of teamwork and collaboration.
- Established strong vendor relationships, negotiating favorable contracts for products and services.
- Led the implementation of new technologies to enhance service offerings and streamline operations across the organization.
- Optimized workflow efficiency by developing and implementing standard operating procedures.
NYSE Floor Broker
LL Partners
06.2001 - 05.2007
- Began career as floor clerk acting as a liaison between clients and floor brokers, providing updates on order status and market conditions.
- Work closely with other clerks, brokers, and specialists on the trading floor to facilitate smooth trade execution.
- Communicate with institutional clients, brokers, and traders to confirm trade details and provide updates on market conditions.
- Promoted to floor broker executing buy and sell orders on behalf of clients, ensuring accuracy and timeliness on the trading floor.
- Maintain a deep understanding of market trends, liquidity, and stock movements to provide informed decisions on trade execution. Participate in price discovery, matching buyers and sellers to obtain the best possible execution prices for clients.
- Work closely with specialists, other floor brokers, and traders to manage large block trades, complex orders, or illiquid stocks.
- Manage the risks associated with large trades and volatile market conditions while ensuring that orders are filled efficiently.
- Follow all NYSE rules and regulations, ensuring that every transaction meets legal and ethical standards.
Education
Bachelor of Arts - Major Economics - Minor Communications
West Virginia University
Morgantown, WV05.2023
Skills
-Extensive experience and knowledge of equity markets, financial instruments, and trading platforms
-Proven experience in equity trading, particularly in high-volume and fast-paced environments
-Excellent analytical and decision-making skills under pressure in a fast-paced trading environments with the ability to make quick, accurate decisions
-Strong communication and interpersonal skills to build client and interoffice relationships
Certification
- Series 25 - NYSE Trading Assistant Examination - Aug 5, 2003
- Series 7 - General Securities Representative Examination - Oct 29, 2003
- Series 63 - Uniform Securities Agent State Law Examination - Dec 17, 2003
- Series 55 - Limited Representative-Equity Trader Exam - Jul 13, 2006
- Series 24 - General Securities Principal Examination - Jul 27, 2012
- Series 3 - National Commodity Futures Examination - Jun 10, 2015
- SIE - Securities Industry Essentials Examination - Oct 1, 2018
- Series 57TO - Securities Trader Exam - Jan 2, 2023
Timeline
Equity Trading and Operations
Tradition Securities & Derivatives LLC
06.2007 - Current
NYSE Floor Broker
LL Partners
06.2001 - 05.2007
Bachelor of Arts - Major Economics - Minor Communications
West Virginia University
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