Stock Broker Resume Sample Three

999 Any Street Any City New York 99999 (999)999-9999



To obtain a job in the Agribusiness field that incorporates finance and customer service


XXX Company, New York, NY: October 2008- Present
Stock Broker

  • Administer and maintain the Company’s Stock Option, Restricted Stock and Employee Stock Purchase Plans (ESPP)
  • Administer the Company’s records regarding all stock and equity instruments, as well as all other equity related compensation plans
  • Correspond with the Company’s transfer agent regarding shares to be issued and or retired
  • Periodically reconcile the total shares outstanding
  • Administer the Company’s Stock Option Plan, including issuing new options and grants, processing the exercise and termination of options and processing vested restricted stock awards
  • Maintain the Company’s stock option and restricted stock tracking system, as well as the Company’s record of shares outstanding
  • Prepare month-end journal entries, perform reconciliation of equity accounts, and participate in quarterly financial reporting
  • Prepare and file with the SEC (via EDGAR filings software) Forms 3, 4, and 5
  • Partner with external consultants and internal departments to develop, implement, and communicate stock plans and information to management, employees, and board of directors
  • Co-manage 401(k) benefits program
  • Assist in quarterly equity roll-forward table
  • Prepare Basic Earnings Per Share calculation
  • Preparation of Equity Edge reports required for FAS 123(R) calculations for quarterly and annual financial statement disclosures and forecasting.
  • Assist in 10Q and 10K reporting

YYY Inc, New York, NY: 2007 – 2008
Stock Broker

  • Providing excellent customer service to bilingual (English and Mandarin and Cantonese) clients in a professional manner for all aspects of account maintenance
  • Executing trades for customers requested walk-in and over the phone, working with margin accounts, and giving buying power & balances
  • Establishing and maintaining new accounts, accepting customer checks and stock certificates deposits, and following up on leads from potential customers

ZZZ Ltd Buffalo, NY: Summers 2005 and 2006
Stock Broker

  • Serve as a liaison between participants and E*TRADE to ensure that stock plan transactions are processed and settled according to schedule (ESPP purchases and sales, option grants and exercises, reloads, SWAPS).
  • Assist with the surveying and tracking of disqualified dispositions.
  • Utilize the CSR trading platform to Place stock and option trades including cash exercises, sell to cover and same day sale transactions for participant’s employees.
  • Assist with valuation reporting.
  • Assist with the updating of equity edge as new information is obtained from selected clients such as new hires or termination.
  • Exceed client expectations by interacting with multiple departments across the organization to ensure that client inquiries are addressed and resolved expediently as well as pro-actively making recommendations for areas of improvement and methods to streamline processes.
  • Interact with the account management team in an attempt to form and develop relationships with corporate clients.
  • Client retentionand consultative sales


  • Active 4-H Member: 1995-2003
  • Active FFA Member: 2000-2004
  • Action Center Volunteer – promoted 4-H at the Wisconsin State Fair (for three years)
  • House of Moo Volunteer – promoted agriculture to the urban population


  • Series 3 Commodity Broker – NFA licensed as an Associated Person
  • Dependable and comfortable in leadership positions as well as working independently
  • Able to express self competently; verbally and in written form
  • Proficient with Microsoft Office: Word, Outlook, Excel, and PowerPoint
  • Utilize diverse programs: ACT (client database), HP5000 (client tracking), Atlas and OAK (web based trading platforms)


University of New York- New York NY

  • Bachelor of Science, May of 2009
  • Agribusiness with an emphasis in Communications and Marketing
  • Study Abroad Program: Seville, Spain – Spring 2007

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