1. LISA A. PRESTON Charlotte, NC email Preston0693@outlook.com phone 732-688-3262
From WallStreet to Charlotte: Seeking a New Chapter My goal is to become employedby a company ororganizationwhere I can
utilize my skills and gain furtherexperience while enhancingthe company’s productivity. Will considerfullorpart-time positions.
Professional Experience
OWNER
Lisa Preston Arts, LLC
Wilmington, NC
September 2008 - present
Specializing in hand-craftedand hand-painted originalpieces,
including home decor,fine art,and furniture. Samples available.
Interests: Gardening,painting,crafts, interior design.
SENIOR EQUITY SALES TRADER
Hudson Securities
Tinton Falls, NJ
May 2008 - September 2008
VICE PRESIDENT, EQUITY SALES TRADING
Rodman and Renshaw
New York, NY
December 2006 - October 2007
VICE PRESIDENT, SALES TRADING
Kaufman Brothers, L.P.
New York, NY
August 2001 - March 2006
SENIOR SALES
TRADER Nutmeg
Securities, LLC Westport,
CT
July 2000 - August 2001
SENIOR SALES TRADER
Knight Securities, L.P
New Jersey
April 1998 - October 1998
VICE PRESID EN T, EQUITY TRADING
Gerard Klauer Mattison & Co.
New York, NY
April 1997 - April 1998
EQUITY SALES TRADER
Wheat First Securities
Virginia
May 1988 - April 1996
EQUITY TRADER
UBS Securities
New York, NY
March 1987-March 1988
SALES ASSISTANT
Merrill Lynch, Capital Markets Groups
New York, NY
November 1981-March 1987
Education
UNIVERSITY OF NORTH CAROLINA
Chapel Hill, NC
Licenses Series 7, Series 63 and Series 55 registered
Seniorequity sales traderadding to firm revenues through institutional
accounts. Able to work independently oras part ofa team.
Expanded product knowledge into the Life Sciences sector, building
relationshipswith a variety of institutional accounts in the Midwest,
Mid-Atlantic and West Coast, while maintaining relationships with
a technologybackgroundfromprevious workexperience.
Covered East and West Coast accounts fortelecommunications research
boutique. Maintained interest in telecommunications and internet
sectors.Increased commissions by existing accounts and established
new accounts.Marketed firm and assisted in rebranding ofthe firm.
Responsible for trading coverage as well as the marketing and cultivation
of newaccounts based on the firm’s execution and trading capabilities.
Focused on pension plans and plan sponsors utilizing the firm’s minority
status asa Woman-Owned Business.
Covered West Coast and NewYork institutions. Responsible for
disseminationofequity research and corporatesyndicateinformation.
Solidified marketing program to improve industry awareness of
Gerard KlauerMattison & Co. including promotional material,
seminars,and advertising.
Responsible for coordination of research, sales, and trading coverage to
a large institutional account base,primarily West Coast and New York.
Clients included state and municipalpension plans, corporate pension
plans, institutional investment advisors, bank trusts and indexfunds.
Covered USaccounts as a sales traderon a merchandise basis. Covered
international accounts on a daily basis on US equities.Sold and allocated
globaldomestic equitysyndicatedeals.
Assisted senioraccount executives in coverage ofmajor New York accounts.
Acted asresearch liaison to a broad baseofcustomers. Served as a coverage
traderto small money management accounts. Part ofa taskforce resulting
in newoperationalprocedures. Supervised training ofsupport personnel.
B.S., Industrial Relations and Psychology