Winston Brooks has over 20 years of experience in financial services working as a consultant. He has extensive experience in operations, training, and client services roles supporting brokerages and clearing firms. His background includes work in mutual funds, fixed income, corporate actions, and settlement and reconciliation.

1. WINSTON F. BROOKS
310 Greenwich Street, Apt.30E New York, NY 10013
(212) 349-3976 ; ( 917) 216-4193
wbrooks10013@yahoo.com
EMPLOYMENT:
5/2008 to 5/2009 Global Financial Services Charlotte, NC.
Consultant : Wachovia/First Clearing Corp. Transition Team Consultant Corporate and Channel Support
The Transition Consultant trains and supports newly opened brokerage offices during the transition period. This position
primarily supports the Wachovia Financial Network and Correspondent Clearing Group channels with occasional support given
to the Private Client Group. The Transition Consultant is responsible for training all brokerage office staff on operational
policies and procedures, computer systems(Beta,Smartststion) and Wachovia Securities/First Clearing Corporation processes.
Other duties include coordinating and directing efforts of the on-site transition support of new offices, providing industry
assistance and operations guidance to all levels of brokerage industry associates, preparing training agendas prior to on or
off-site training and preparing post-transition training evaluation reports. Duties also include maintaining training materials and
manuals, remaining current on all system upgrades and policy/procedure updates, and completing all reports in a timely
manner. These duties are not all inclusive, as other responsibilities may be assigned as needed.
10/2007 to 5/2008 Global Financial Services Charlotte, NC.
Consultant : Wachovia/First Clearing Corp. Fix Income Dividends Representative
Duties are setting up dividend worksheets to pay clients accurately and on a timely basic on back office Beta system. This
involves determining how much dividends or interest the client is entitled to receive. Responsible for the distributing of
dividend, interest and principal payments to clients who hold securities in street name or Seg.locations.Also responsible for
collecting dividends and interest payments from the appropriate entities. This includes collecting money from depositories,
paying agents, broker/deals, and banks. Heavy dealing with DTC for coupon rates inquiry such as coupon rate differences,
incorrect payables and no announcements. Also Data Integrity for first coupon, day count bond maturity, frequency codes and
interest payment code inquiries. Heavy research with Bloomberg.
1/2005 to 10/2007 Global Financial Services Charlotte, NC.
Consultant: Wachovia/First Clearing Corp. Corporate Actions Specialist/ Dividends Call center/ Prospectus Specialist
Responsible for handling inquiries received from the Client Administration groups and money managers regarding mandatory
and voluntary corporate actions also responsible for answering questions, providing status information, explaining complex
reorganization events, terms and conditions, providing How To instructions, and accepting instructions for voluntary offerings
through the back office Beta system. The primary responsibility of the Prospectus Specialist is to oversee the prospectus
delivery process handled by ADP Proxy Services and to handle request pertaining to prospectus delivery. The Prospectus
Specialist monitors a daily report of open prospectus items, completes research on exceptions, and provides ADP with
information required to complete the delivery of open items. The specialist monitors the daily report for prospectus items that
are aging and works with ADP to resolve. .
4/2005 to 12/2005 Security Brokerage Services, New York, NY
Consultant: Citigroup Fix Income Trading Reconciliation New York, NY.
Review all f/x adjustment entries made in GL, research discrepancies and escalate issues to Citigroup manager.Identify
trading and payment activity discrepancies between client records Citigroup database. Resolve discrepancies by working with
Citigroup, Trading, Controllers and/or Transaction Management and maintain Citigroup transactional databases. Reconcile
Stock Record,Reorg accounts (corp. actions) and Custodian Bank accounts.
8/2004 to 3/2005 Global Financial Services Charlotte, NC.
Consultant: Wachovia/First Clearing Corp. Operations and FA Trainer Richmond, VA.
Trained Operations staff and Financial Advisor on Thompson One (smartstation) system and Beta (back-office
system). Operations trainer duties were to facilitate the discussion with converting firms regarding operations
procedures and will provide detailed knowledge in regards to operations issues and systems. Financial Advisor
trainer assisted converting firm’s personnel with general procedures necessary to service client while providing
support during first trade week and post implementation process.
2/2004 to 8/2004 Adecco Financial New York, N.Y.
Consultant: Citigroup Smith Barney Mutual Funds Breakpoint Analyst Supervisor. New York, N.Y.
Comprehensive review of Mutual fund Breakpoint discount. Actively work with the Legal & Compliance Team in the review and
preparation of responses to inquiries submitted by regulatory agencies, such as the SEC and NASD. Responsible for training
new analyst on Citigroup internal computer systems (FCI) to obtain all client information also research data such as Historical
pricing, Net asset Value and Price of purchase. Co-wrote instruction manuals and worked with brokers confirming letters of
intent, relationships of aggregated and household accounts. Worked with mutual fund companies by phone and e-mail
gathering information on prospectus for breakpoint schedule and Rights of aggregation. Also used outside vendors such
as New river, Edger and Lipper and taught all new analyst on how to navigate thought all systems

2. .
12/2003 to 2/2004 Execu-Search Consultant Group. New York, N.Y.
Consultant: UBS Paine Webber - Mutual Funds Weehawken, N.J.
Responsible for reading Mutual Fund prospectus; calculating the cash break point for account holders and related parties;
determining the collective value and the break point when purchased. Provided excellent service to internal clients (both home
office and branch network). Responsible for research and resolution of all research cases/problems. Co-team leader providing
training on computer systems and all mutual fund breakpoint group exercise.
6/2003 to 9/2003 Adecco Financial New York, N.Y.
Consultant: Prudential Securities - Trading support and wire room New York, N.Y
Work on the monitoring of internal trade routing system from Prudential to Wachovia. Researched all aged items
before conversation date, interaction with all levels of operations.
7/2001 to 4/2002 Tangent International Consulting Services, New York, N.Y.
Consultant: JP Morgan Chase - DTC Settlement
Heavy dealings with DTC functions; Deliveries DVP and Free, receives, pledges, certificate withdrawals (WT and COD)
underwriting distributions, dividends and interest, clearing and settlement interface, redemption’s and (pts).
3/2000 to 3/2001 Tangent International Consulting Services, New York, N.Y.
Consultant: First Clearing Corp. Buy-in / Fail Control
Worked with management on two conversions Evern & Company, Fist Albany for First Clearing Corp
Handled buy-ins, buy-side and sell side Equities and Bond (Corp.-Muni) also derivative (strips and zero coupon) worked with
reorg on corporate actions. Took market action against contra brokers with aged fails and research all problems items. Worked
with traders and account executives providing immediate assistance by phone, e-mail and wire. Complete knowledge of
NASD, NSCC and MSRB rules and regulation
2/2000 to 3/2000 Tangent International Consulting Services, New York, N.Y.
Consultant: Merrill Lynch. Data Clean-up Specialist
Worked on Merrill Lynch data system to provide a single source of client and counter party information.
6/1999 to 9/1999 Execu-Search Consultant Group. New York, N.Y.
Consultant: ING Baring Stock Record
Overview of book entry items, resolved stock record and DTC breaks assuring that proper records are kept on customer
securities positions. Worked with reorg dept on all breaks caused by any corporate actions or conversations.
2/1999 to 5/1999 Execu-Search Consultant Group. New York, N.Y.
Consultant: Refco Securities P&S Representative
Prepared confirmations, comparing orders versus executions and comparing the firms records against contra-parties
Investigated causes of and corrected problem items before settlement dates.
4/1998 to 11/1998 Execu-Search Consultant Group. New York, N.Y.
Consultant: Goldman Sachs P&S Representative
Purchase and sales of all broker trades, contracts ex-clearing comparisons. Balanced purchases and uncompared
accounts. Investigated causes of and corrected problem items before settlement dates
Knowledge of DTC, ADP/OMR, Phase 3 System, Windows 97, WordPerfect, Excel, Act System, IBOS, QuickBooks,
Beta System, Morningstar ,Vantive Client 8.6,Thompson One ( Smartstation) and Prime Plus
SKILL:
Assertive, self-motivated, goal-oriented, organized and efficient. Articulate and creative; offering innovative and practical
solutions. An experienced team player, bringing enthusiasm and energy into group efforts. Effective communication skills, both
written and verbal.
Education: Central New England College, Worcester, MA
Mutual Funds and Fixed Income Certificate (Dean Witter)