Johnny Mazzeo

Address: 3473 Clark Rd, Sarasota, FL 34231
Telephone: 914 434 0010

Experience

ALLIANCEBERNSTEIN L.P

Managed client portfolios through perceptive analysis by accurately trading accounts in a timely manner.
Conveyed client cash flow requests, asset allocation changes, unsolicited trades, and tax trading through financial advisors and private client associates.
Resolved quality control reports on a daily basis to rectify trades that were processed in error.
Carried out sell list transactions with upper management and research that was no longer on the firm recommended buy list.
Demonstrated the ability to operate long hours in a high stress environment with fortitude during volatile markets to protect our clients future goals by re-balancing account lists on a daily basis.
Played a key role in a department that was responsible for overseeing the management of over 10,000 accounts.

Provided assistance in distinguishing account suitability for private client investments.
Counseled Financial Advisors and Private Client Associates by exposing legal and compliance concerns through the new account opening process.
Reviewed complex accounts to ensure satisfaction of internal procedure criterion including but not limited to trusts, estates, LLC's, L.P.'s and IRA's.
Analyzed and explicated legalese for associates.
Assisted in expediting the internal new account opening process through innovative methods to surpass industry standards.
Liquidated restricted securities pursuant to rule 144/145.

Performed mutual fund procedures to ensure that clients received proper breakpoints.
Monitored SPAC Blue Sky Reports to ensure trades are executed for clients who reside in registered jurisdictions. Distributed Blue Sky violation letters to personnel not registered.
Conducted e-mail and instant messaging surveillance through Assentor and ensured that all electronic communication is compliant with industry rules and Firm policy.
Interacted with all Branch Office Managers and Assistant Branch Office Managers to insure that Review Log Reports are submitted in a timely fashion.
Generated anti money laundering reports, insured correct addresses for client's accounts and identified accounts that appear on the money laundering watch list (FinCen).
Identified and correct (if necessary) any employee or employee related trades that were in conflict with customer trades in the same security.

Promoted team productivity by sharing and implementing new sales opportunities techniques, goals with advisors and trainees.
Developed six client accounts with over $100,000 under personal management.
Increased departments prospecting base by 10% in the first quarter of 2005.
Analyzed financial portfolio's to determine asset allocation on a daily basis.

Education