James Carey
Great Neck,NY
Summary
Licensed financial professional with 8 years of experience in relationship management and account operations in both domestic and foreign markets. Expert in navigating complex and regulatory environments, maintaining high touch client service, and insuring long-term portfolio retention. Proven track record of operating with a clean regulatory record while managing high net worth client accounts.
Overview
9
9
years of professional experience
Work History
Registered Representative / Financial Advisor
Network 1 Financial Securities
Syosset, NY
09.2019 - Current
- Manage high net-worth client relationships, providing consistent guidance and portfolio reviews over an 8-year licensed tenure.
- Spearhead end-to-end account onboarding, insuring 100% compliance with FINRA and firm-specific regulatory standards.
- Execute complex trade orders across global equities and fixed-income securities.
- Monitor portfolio performance and provide technical counsel on securities, bonds and initial public offerings.
- Coordinate with internal compliance teams to ensure all client communications and account movements adhere to risk management protocols.
- Maintained dedicated book of business through volatile market cycles, prioritizing client retention and long-term trust.
Registered Representative / Financial Advisor
First Standard Financial Company LLC
Melville, NY
05.2018 - 09.2019
- Developed skills in client communication and portfolio management
- Expanded book of business to include both domestic and international clients
Intern
First Standard Financial Company LLC
Melville, NY
08.2017 - 05.2018
- Developed skills in client communication and portfolio management
- Expanded book of business to include both domestic and international clients
Education
Bachelor of Arts - Political Science
University of Buffalo
Buffalo, NY05-2017
Skills
- FINRA Series 7 – General Securities Representative
- FINRA Series 63 – Uniform Securities Agent State Law
- FINRA Series 66 – candidate in progress
- Technical – Thompson Trading Platform, Adobe, Microsoft Office Suite
Timeline
Registered Representative / Financial Advisor
Network 1 Financial Securities
09.2019 - Current
Registered Representative / Financial Advisor
First Standard Financial Company LLC
05.2018 - 09.2019
Intern
First Standard Financial Company LLC
08.2017 - 05.2018
Bachelor of Arts - Political Science
University of Buffalo
ADDITIONAL EXPERIENCE
- Slomin’s – Hicksville, NY
- Sales Representative | March 2017 – August 2017
- Acted as a primary liaison between residential customers and customized service offerings.
- Jones Beach, Wantagh, NY
- Lead Foreman / Zone Staff | Summers of 2009-2014
- Supervised and directed a task force of 30-40 personnel in large scale venue management and field maintenance.