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Daniel Drew
39 Winchell Rd., Finland, TA 11402

(412) 729-3725
daniel.drew410@ymail.com

Employment History 

UBS Securities LLC

February 2011-Till Date

Client Aligned Asset Servicing – Prime Broker Non-Officer

·          Provided dedicated coverage to approximately 10 prime brokerage accounts and assisted those clients on all inquiries pertaining to areas of asset servicing including but not limited to corporate actions and event elections, dividend accruals, foreign tax withholding, proxy,  and physical transfer.

·          Responsible for proxy related inquiries for all client aligned accounts within the firm, instructed Broadridge for ISS, Broadridge global, and E-delivery. Provided control numbers to clients on domestic proxies and executed SWIFT instructions to global banks for international meetings.

·          Daily responsibilities included any necessary proration due to DTC overvotes, and checking record date positions against DTC depot to fill in any missing DTC positions not reported to Broadridge for upcoming meetings.

·          Handled all physical transfers, registrations, legend removals, DWAC, DTC deposits, redemptions, and deliveries for client Hudson Bay. 

·          Responsible for conducting a vault count as required by auditing procedures at the end of each week.

·          Highly familiar with JP Morgan Access

Morgan Stanley Smith Barney – Atrium Staffing

September 2009- August 2010

Proxy & Class Actions-Level II Analyst

·          Responsible for 7 daily auditing reports including DTC missing position report, DTC Comparison position report, Non-mailed materials, Morgan Stanley short materials report, unmatched securities, DTC Overvote report, and DTC Contested Overvote report.

·          Respond to inquiries (25-30 daily) involving proxy (global/domestic) and class action related issues.

·          Execute SWIFT instruction to global banks

·          Set up accounts for ISS delivery of proxy materials as per branch request

·          Do comparative analysis and manually adjust accounts and positions due to any late job notifications/ off-record dates on Broadridge platform.

·          Responsible for all bank failures, create Excel worksheets containing all cusips and name/addresses of holders for all bank fails.

·          Compare stock record with DTC missing report positions provided by Broadridge daily and manually input those positions.

·          Handle all class actions, gather all holder and purchaser data within class period in order to create Excel data which is to be forwarded onto appropriate claims administrators.

Merrill Lynch & Co.

July 2008-January 2009

Corporate Actions and Reorganization-Senior Specialist

·          Internal client service to all Merrill Lynch branch offices by phone and email on various types  of corporate actions such as rights offerings, tenders, redemptions, mergers, full and partial calls, voluntary and mandatory exchanges, and stock splits.

·          Answer approximately 20-30 emails and 75-100 phone calls daily on corporate actions.

·          Experience with all DTC applications, i.e. RIPS, DIVA, GWIZ , PDWC, ATAM

·          Work with processing units to ensure accurate release of payments, redeem securities upon maturity, and identify any processing errors.

Citigroup Global Markets Inc.

September 2007-June 2008

Equity Prime Broker Transfer & Proxy-Specialist

·          In addition to all transfer responsibilities below, handle physical stock transfers for Citigroup’s equity prime broker accounts, domestic and foreign (Canada).

·          Work directly hand in hand with Equity Prime Broker Client Services desk to facilitate trades in a timely manner.

·          Experience with warrants (sales and exercising rights), bonds and notes, process and prepare items for physical delivery.

·          Work directly with Canadian and London Citibank depositories.

·          Work closely with Equity desk to ensure appropriate documents are requested from prime broker clients to ensure timely transfers and prevent buy-ins.

·          Responsible for bond/note transfers, and assist in claims on due interest payments.

·          In charge of all proxy related matters for all equity prime broker clients.  Provide control numbers, positions on record date, meeting dates, proxy statements, and proposals.

·          Prorate positions among arranged/collateral holders and assign control numbers and share positions

·          Vote on behalf of clients if instructed to on annual meetings and consents

·          Register prime broker clients with voting agents so to have all ballots delivered directly to third party.

September 2007-February 2008

Equity Prime Brokerage Asset Servicing

·          Assist Equity desk on client inquiries related to foreign and domestic dividends, tax operations and withholdings, terms of reorganizations, terms of mergers with elections, tender offers, submitting protects on tenders, spin-offs, proxy materials and voting, failures to deliver/receive, and any other issues involving Prime Broker accounts.

·          Experience with all DTC applications, i.e. RIPS, DIVAhttps://docs.google.com/uc?id=1ApsBIS1k7oGHqfQs_1fbaPGYcsEXhpFb&export=download, GWIZ , PDWC, ATAM

·          Skilled in obtaining client holdings on stock record, record dates, tax reporting.

·          In charge of all proxy related issues for Prime Br

er accounts, distributing DTC shares into votable positions for arranged accounts, providing control numbers, voting on behalf of prime broker accounts for upcoming proxies, consent offers, bankruptcy votes.

July 2006-September 2007

Senior Service Representative-Legal Transfer

·          Collaborate with executive financial services and branch to communicate all restricted legal stock transfer requirements to clear trades of physical shares and avoid buy-ins.

·          Several processing responsibilities including issuing DWAC requests, receiving certificates into pending, moving certificates to safekeeping, sending to transfer agent, sending to branch/client, processing gifted transfers, clean up of newly issued certificates, callbacks, status checks, and direct interaction with transfer agents.

·          Respond to an average of 10-15 daily wires regarding such issues as transfer status, requests for journaling shares, requests for delivery of stock to branch/client, etc.

·          Answer and respond up to 50 calls a day pertaining to brokers/EFS inquiries.

·          Strong knowledge in common legal paperwork: 144, 144K, Rule 904, brokers/sellers rep letters, declaration for removal of legend, letter of indemnity, legal opinion, stock power, corporate/non-corporate resolution, LLC agreements, trust agreements, death certificates, court appointments, affidavit of domicile.

·          Reorganizations and corporate actions-mergers, stock-splits, cash mergers

July 2003-April 2006-Enterprise Rent-A-Car
Management Assistant-Business Corporate Accounts Manager

·      Held several corporate accounts, responsible for rental needs as well as all corporate marketing throughout the year.

·      Maintained strong relationships with corporate clients, kept a business log with all preexisting accounts and those individually founded.

·      Greatly involved in customer service, taking reservations, processing claim information and guiding clientele through the rental process.

Education
Montclair State University-Montclair, New Jersey
September 1998-May 1999
Monmouth University-West Long Branch, New Jersey
September 1999- May 2002
B.A., Business Administration; Management

Skills

Advanced knowledge of Microsoft Office Suite

DTC, ADP/Broadridge

JP Morgan Chase Custody

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