Stephen J. Lennon has over 30 years of experience in equity derivatives trading and management. He has held director level positions at BNP Paribas, Merrill Lynch, Deutsche Bank, NatWest Securities, and Morgan Stanley where he specialized in small cap and index trading, managed trading teams, and collaborated with research and sales. Lennon has a BBA in Finance from Hofstra University and holds multiple securities industry certifications.

1. Stephen J. Lennon
113 Bedford Avenue
Rockaway Point N.Y. 11697
(Home) 718-634-2273
(Mobile) 347-623-7786
(Email) stephenlennon0201@gmail.com
CAREER HISTORY
BNP PARIBAS NY, NY May 2012 – Nov 2015
Director – Global Equity Derivatives
 Head of US trading in small cap and Nasdaq indices.
 Started the ETF trading desk with responsibilities for trading US sectors including equity, fixed income, commodities and FX products.
 Collaborate with research team to identify trading opportunities in the marketplace. Then take that research and transform it into specific
actionable trading ideas for sales staff to pitch to our client base.
 Worked with technology staff in order to create better order management and trading systems.
 Responsible for working with legal and compliance departments to make sure trading books were in full compliance with regulations and
risk limits.
 Supervised junior trading team of 2 full time employees
 Managed the performance review process for trading team
 Liaison between Asia/Pacific trading desk, hosted conference calls and meetings in order to make sure market ideas and trends were relayed
between offices.
 Created a daily market recap for the US that included news and trading information on all layers of the capital structure. Highlighted large
transactions, trends, or volatility moves for the firm and our customers.
MERRILL LYNCH NY, NY June 2007 – May 2012
Director – Global Equity Derivatives
 Head of US trading in small cap and Nasdaq indices. Including listed, OTC and exotic options and swaps.
 Collaborate with research to price, market, and execute trading strategies for our customers.
 Participated in the creation, marketing, pricing and trading of listed and exotic options for the firms retail division, specifically the firm’s
high margin structured notes program.
 Supervised junior trading team of 3 full time employees
 Worked with back office to streamline communication between desks and negotiate commission rates with brokers.
 Managed the performance review process for trading team
 Successfully recruited staff
DEUTSCHE BANK AG, NY, NY Jan 1998 – Jun 2007
Director – Global Equity Derivatives
 Manage trading of Index Option Book.
 Created ETF trading desk, a new product at the time, helped educate sales and client base on their opportunities.
 Presented on the “Lunch with an Executive” program by meeting with select junior members of staff.
 Participated in recruitment process for the bank’s Graduate Training Program.
 Worked with sales force to help customers execute trading ideas and strategies.
 Developed global hedge book that enabled traders to easily implement inter-market trading strategies.
NATWEST SECURITIES, INC. GREENWICH, CT Jan 1997 – Jan 1998
Director – Global Equity Derivatives
 Executed stock basket trading activity for the firms proprietary book.
 Performed various risk management activities including (but not limited to) position verification and reporting, flash P/L production and
validation, initial end-of-day trading desk sign off.
 Served as key contact for accounting and operational support groups in the resolution of position and price breaks.
 Negotiated commission rates with IDB market as well as floor staff.
MORGAN STANLEY & CO. INCORPORATED NY,NY May 1987 – Jan 1997

2. Vice President – Global Equity Derivatives
 Managed the customer reconciliation area for clients to help them analyze their returns on agency and index arbitrage strategies.
 Created series of customer tailored reports to better serve their internal control and regulatory requirements
 Served on the program desk executing basket trades for both customers and the firm
 Head of the customer index arbitrage desk, guaranteeing specific rates of return on all trades.
 Head of the customer futures desk, insuring all executions of customer orders were completed in a timely and transparent manner
 Performed various risk management activities including (but not limited to) position verification and reporting, flash P/L production and
validation, initial end-of-day trading desk sign off
Education & Certifications
• Series 3 certified Member - CBOE direct
• Series 7 certified Hofstra University - BBA Finance (January 1988)
• Series 55 certified
• Series 63 certified