Adalberto Garcia

Experience

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  Bravo Supermarket

  Jul 2008 - Jul 2013

  Sales Associates/Assistant Manager

  • Recruited, trained, and evaluated a staff of 25 in all retail of groceries’ operations functions• Supervise department presentation and inventory management to maximize sales, profitability and stay within established budgeted parameters• Direct all advertising initiatives by continually analyzing demographics to maximize market share

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  Convergex

  Aug 2013 - May 2017

  Provide business and front line system support for our 24/6 global equity trading operations.Primarily support our Americas/APAC/EMEA trading desks located in London from our New York City office. Extensive experience troubleshooting issues across variety of front-end systems, including Bloomberg, Fidessa, Eze, and Trading Screen.Monitor daily trading activity, rejects, unacknowledged orders, internal/external connections, and our proprietary Algorithms. Monitor connection issues with our FX providers for our ADR desk and troubleshoot on quote reject.Responsible for Americas/APAC/EMEA markets daily broker reconciliation on aggregated share volume. Update security identifiers, enable/disable broker connections, and security setup for Algo/DMA flow. Assist with broker/client hardcoding, enabling client markets, updating client/trade value limits.Assist with trade booking, client mapping, and broker setup.Perform Algo/DMA flow testing for new connections and order types.Investigate and troubleshoot inquiries for Algo performance/parameters, market/auction times, rejects, and FIX messages. Position requires knowledge of SQL, proprietary trade management systems, FIX, and general Americas/APAC/EMEA market trading rules and regulations. Show less ConvergEx Group Orlando,FLOATS Compliance Business Analyst Aug 2013 – Present • Focused on the detailed process flows and data involved in regulatory reporting, especially on the Order Audit Trail System (OATS)• Worked with a wide range of internal IT and business partners, primarily staff in the Legal and Compliance department, Sales and Trading Desks to define detailed customer requirements and satisfy their trading and regulatory reporting requirements.• Assisted in the specifications of the onboarding process of new clients• Actively monitored regulatory developments and took appropriate action and initiate projects to ensure the business firm complied with new or amended regulations by the SEC and FINRA Show less

  • Global Trade Support, Assistant Vice President

    Jun 2015 - May 2017

  • Compliance Business Analyst

    Aug 2013 - Jun 2015
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  New York Life Insurance Company

  Jun 2017 - Jun 2019

  Agent

  Agent licensed to sell insurance through New York Life Insurance Company.

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  NYLIFE Securities LLC

  Jun 2017 - Jun 2019

  Financial Services Professional

  Registered Representative offering securities products and services through NYLIFE Securities LLC, Member FINRA/SIPC, A Licensed Insurance Agency.

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  Fortis Lux Financial

  Jun 2019 - Dec 2020

  Investment Advisor Representative
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  RoundPoint Mortgage Servicing Corporation

  Jan 2022 - Jun 2022

  Loan Officer
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  Supreme Lending

  Jun 2022 - Jun 2023

  Loan Officer
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  Peoples Mortgage Company

  Sept 2023 - Dec 2023

  Mortgage Loan Officer