1. DANIEL MCCARTY
29890 Donna Lane, Chesterfield, Michigan 48047 H: (586) 322-3809 ♦ dmccarty25@comcast.net
PROFESSIONAL SUMMARY
An experienced financial professional with a successful career managing risk, performing due diligence,
leading projects and handling time-sensitive, complex transactions.
SKILLS
Proficient with Microsoft Office Flexible team player
Strong organization Financial and operational reporting
Excellent attention to detail Strong problem-solving capabilities
Excellent communication skills Self-sufficient
Excellent work ethic
WORK HISTORY
02/2002 to 08/2016
Raymond James & Associates, Inc – Southfield, Michigan
Corporate Actions Associate III, 06/2014 to 08/2016
Raymond James & Association – Southfield, MI
Reviewed prospectuses and offering materials to discern the terms of each voluntary reorganization offer so
that it can be presented to Financial Advisors in a standard format.
Prepared and maintained spreadsheets to track client participation in various voluntary corporate actions
and their anticipated entitlements.
Balanced cash and stock accounts to ensure that corporate action entitlements have been properly
allocated.
Prepared and mailed letters to financial advisors regarding the various offers.
Processed client instructions regarding outstanding offers.
Allocated Corporate Action entitlements to clients using the SIS Backoffice System.
Operations Technical Specialist, 12/2006 to 06/2014
Submission of requests to have new associates set up with the proper system entitlements and software.
Submission of requests to have new programs installed on the computers of existing associates.
Diagnosis and resolution of software and hardware issues.
Communication with the IT department to solve any computer related issues that require their attention.
Preparation of monthly reports for Management detailing departmental performance numbers.
Updating existing job procedures and creation of new job procedures, when necessary.
Performance of Quality Control checks of Voluntary Corporate Actions.
Work with the Voluntary Processors to determine proper wording of offer verbiage and determining terms
of an offer.
Monitor the workflow of the Voluntary Processors to ensure compliance with Service Level Agreements.
Work closely with the Corporate Action Services associates to help Financial Advisor's with error cases
for Voluntary Corporate Actions.
Assist Financial Advisors with questions or issues pertaining to Voluntary Corporate Actions.
Consult with other departments in the firm that are affected by the Corporate Actions Department.
Corporate Actions Associate III, 07/2006 to 12/2006
Trained new associates on their assigned job functions.
Performed the job functions of associates that were out of the office.
Reviewed the departmental reconciliation accounts daily for Mandatory and Voluntary Reorganization
and advised associates of any outstanding issues.
Assisted associates when their workload volume increased to ensure timely completion of duties.

2. Verified positions for accounts that appear on the XSP Exception Queue.
Operations Liaison, 01/2004 to 07/2006
Reviewed prospectuses and offering materials to discern the terms of each voluntary reorganization offer so
that it can be presented to Financial Advisors in a standard format.
Prepared and maintained spreadsheets to track client participation in various voluntary corporate actions
and their anticipated entitlements.
Balanced cash and stock accounts to ensure that corporate action entitlements have been properly
allocated.
Prepared and mailed letters to financial advisors regarding the various offers.
Processed client instructions regarding outstanding offers.
Allocated Corporate Action entitlements to clients using the SIS Backoffice System.
Dividend Reinvestment Specialist, 02/2002 to 01/2004
Processed enrollment forms for the Dividend Reinvest program.
Liquidated partial shares remaining in a client's account from the sale of stock Added new securities to the
Dividend Reinvest program as necessary.
Received and responded to phone calls from other associates in the firm.
October 1995 Blockbuster Video - Clinton Township and Shelby Township, Michigan To November
2001.
Assistant Manager, 11/2000 to 11/2001
Maintenance and organization of reports, cash compliance and accountability including; balancing
drawers at shift changes, counting the deposit when closing down the store, taking the deposit to the
bank and acquiring change when opening.
Interfacing with customers to assist with their video product needs.
Aiding with inventory control, creating displays.
Entering and filing customer information.
Maintaining appearance of interior of store.
Providing support and assistance to the sales staff.
Senior Customer Service Representative, 10/1995 to 11/2000
Provided customer service support to our client base, assisted with creating displays, ensured cash
accountability and assisted in maintaining the appearance of the store.
EDUCATION
Studying for Bachelor of Business Administration Degree: Finance, September 2010
Walsh College - Troy, Michigan
Associate of General Studies Degree: May 2003
Macomb Community College - Clinton, Michigan
REFERENCES
References available upon request.