Hope Alzati

Having been a professional trader for over 20 years, I am well versed in the ever-changing landscape of the financial markets. I am able to adapt to numerous scenarios regardless of market conditions. I am a high touch trader and market maker experienced in Nasdaq, NYSE, and OTC market execution. Years of experience has given me a well rounded approach to trading and business development. I am very confident in my skills and I look forward to bringing that into a team environment.

• Liaise with clients on market movements and execute buy and sell orders for securities, with consideration to size of the order, trading supply and the prevailing market conditions.
• Executing orders in a manner consistent with our best execution and risk management practices, as well as our policies and procedures and according to all regulatory rules and procedures.
• Identify potential trading strategies and offer ideas to improve existing trading methods.
• Respond to and resolve trade issues.
• Enhanced customer relationships for increased order flow.
• Highly experienced in market making and reflecting bids and offers in accordance with regulatory standards.
• Assist in improving and developing compliance measures to ensure that required FINRA reporting policies were followed.
• Assist in resolving trade and settlement issues by working with the market centers and exchanges.
• Assist financial advisors, money managers, and retail clients with order placement and trade inquiries.
• Work closely with Compliance, Operations, Technology to ensure accurate reporting for clients, ensure smooth processing, plus testing and implementation of system changes.
• Prepared and submitted client billing for commissions, SEC Fees, TAF Fees, and exchange fees.

Series 7 - General Securities Representative Examination 7/1/1999

Series 63 - Uniform Securities Agent State Law 9/16/1999

Series 55 - Limited Representative-Equity Trader Exam 2/10/2000

Series 24 - General Securities Principal Examination 1/29/2001

SIE - Securities Industry Essentials Examination 10/1/2018

Series 57TO - Securities Trader Exam 01/02/2023