1. Ashley
S.
Helm
160
Columbia
Hts.,
2D,
Brooklyn,
NY
11201,
(c)
631.566.1157,
ah6lynnct@gmail.com
Fixed
Income
Finance
Specialist
Twenty
years
experience
as
Inter-­‐Dealer
Broker
of
taxable
fixed
income
products,
including
preferred
stock,
hybrid
bonds,
corporate
bonds.
Seeks
fast
results
and
thrives
on
getting
trades
negotiated
quickly
with
maximum
profit.
Core
Competencies:
o Solicited
and
maintained
markets
in
preferred
securities
o Strong
networking
and
negotiating
skills
o Provided
accounts
with
breaking
market
information
o Identifying
market
trends
o Multi-­‐tasking
and
job
prioritizing
o Self
motivated
and
detail
oriented
Accomplishments:
o 2010-­‐2015
Dominated
the
preferred
syndicate
market
&
helped
lead
a
foray
into
the
brokering
of
Tier
1
hybrid
bonds
&
fixed
to
float
preferred
securities
o 2010-­‐2013
changed
focus
from
$25
pars
to
tier
1
securities
and
fixed
to
float
bonds
o 2000-­‐2010
built
a
five
man
desk
to
expand
focus
on
listed
preferred
stock,
new
issued
preferred
stocks,
and
hybrid
bonds
that
generated
an
average
of
$7
mm/yr
in
commission
o Expanded
a
network
of
broker
dealers
of
large
tier
one
dealers
down
to
smaller
regional
shops
Professional
Experience
Tullet-­Prebon,
New
York,
NY
08/2010-­present
Manager
of
Preferred
Stock
Trading
Worked
to
switch
the
focus
of
the
desk
to
specifically
trading
new
issue
preferred
stock,
which
involved
market
making
and
trading
in
the
gray
market
both
pre
&
post
pricing.
Expanded
client
base
from
traditional
broker
dealers
to
include
hedge
funds
and
DVP
accounts.
Tradition-­Aisel,
N.A.,
New
York,
NY
05/2001-­08/2010
Manager
of
Preferred
Stock
Trading
Built
a
5
man
preferred
stock
desk
by
expanding
into
the
New
Issue
and
Syndicate
side
of
the
IDB
(Inter
Dealer
Broker)
business.
Built
relationships
with
all
NYC
based
trading
desks,
as
well
as
used
existing
relationships
with
regional
trading
desks
to
create
a
fully
operational
and
highly
competitive
preferred
stock
desk.
Widely
regarded
as
the
top
producing
and
most
highly
respected
desk
in
the
industry.

2.
Chapdelain
Corporate
Securities,
New
York,
NY
09/1995-­03/2000
Corporate
Bond
Trader
Gathered
and
distributed
markets
from
various
preferred
stock
trading
desks.
Executed
trades
and
kept
a
constant
flow
of
relevant
information
to
the
dealer
clients
serviced.
Managed
a
vast
amount
of
travel
and
face-­‐to-­‐face
client
meetings
upon
expansion
of
the
IDB
aspect
of
the
regional
client
base,
as
the
desk
became
the
leader
on
the
street.
Education/Certification
Hampton
Bays
High
School,
Hampton
Bays,
NY
–
Honors,
1988,
Varsity
Cross
Country
University
of
Miami,
Coral
Gables,
FL
-­‐
BBA,
1993,
member
Sigma
Phi
Epsilon
Series
7,
55,
63
Proficient
in
Bloomberg,
Proficient
in
Trace,
OATS,
&
ORF
Reporting
Other
Smoke
free
for
2
years
after
quitting
a
25-­‐year
habit;
avid
waterman;
enthusiastic
gardener