Christopher Morie
Stockbroker
Freehold,NJ
Summary
Stockbroker with over 35 years of experience on the New York Stock Exchange, focusing on relationship management and performance-oriented trading. Proven ability to execute trades and analyze market trends for institutional clients in high-pressure environments. Skilled in managing compliance activities, including risk management and post-trade reviews, ensuring strict adherence to industry regulations and firm policies.
Overview
35
35
years of professional experience
Work History
Director, NYSE Floor Operations
Tigress Financial Partners, LLC.
07.2021 - Current
- Execute large institutional order flow using market expertise and algorithmic strategies tailored to clients' specifications.
- Oversee daily trading activity to ensure compliance with NYSE, FINRA regulations, and firm policies.
- Developed and launched risk management and credit monitoring system, effectively reducing liability and regulatory exposure.
- Engineered Excel spreadsheets enabling senior management and clients to identify and leverage trading patterns, enhancing decision-making speed.
- Manage onboarding processes for new accounts while facilitating monthly invoicing and bill reconciliation.
Managing Director, NYSE Floor
BCS Americas
02.2018 - 06.2021
- Institutional sales trader on the floor of the NYSE, focused on client relationships and their trading needs.
- Conducted daily compliance checks, and monitored all equity transactions and credit limits.
- Introduced strategic trading initiatives aligned with shifting market landscapes and customer expectations.
President, NYSE Floor
Jefferies Execution Services, INC.
04.1998 - 01.2017
- Oversaw strategic growth initiatives while collaborating closely with senior executives
- Directed operations in high-volume zone on New York Stock Exchange, emphasizing accuracy and effective execution under pressure.
- Served as primary liaison for investment banking team, enabling significant engagement in multiple successful IPO launches.
Education
Bachelor of Science - Marketing And Management/Finance
Siena University
Loudonville, NY01-1990
Bergen Catholic High School
Oradell, NJ01-1986
Skills
- Algorithmic trading
- Risk management
- Regulatory compliance
- Client onboarding
- Trading analytics
- Institutional sales
- Billing and reconciliation
- Equity transactions
- Client relationship management
- Market trend analysis
- Strategic planning
- Leadership in trading operations
Licenses
- Series 7, 63, and 24
Timeline
Director, NYSE Floor Operations
Tigress Financial Partners, LLC.
07.2021 - Current
Managing Director, NYSE Floor
BCS Americas
02.2018 - 06.2021
President, NYSE Floor
Jefferies Execution Services, INC.
04.1998 - 01.2017
Bachelor of Science - Marketing And Management/Finance
Siena University
Bergen Catholic High School