Nate Lie - New Accounts and Account
Services
Mr. Lie manages Ancora's new accounts and client services desk. He
routinely assists retail customers through the account transfer
process, and provides valuable support to money manager and registered
reps as assets arrive. Mr. Lie is also responsible for
assuring
that customer transfers occur in total, including the cost basis paid
for their securities originally. If clients were utilizing services
such as periodic distributions, checking, or online access, Mr. Lie
would also assure that those services were setup and operating through
the customer's new relationship with Ancora Securities.
Mr. Lie
is also responsible for taking action on the high priority intraday and
overnight messaging from our clearing firm, Pershing LLC. As part of
that process, he generates the critical daily activity reports for the
principals in Ancora's network of broker dealers.
Mr. Lie also
assists clients and relationship managers with special transactions,
including purchasing units of limited partnerships, exercising stock
options, or working with stock certificates. He also provides trade
assistance when required.
Prior to joining Ancora Securities,
Mr. Lie served as an Investment Banking Analyst at Banc of America
Securities, LLC. During the two years, Mr. Lie originated,
structured, marketed, and syndicated both investment grade and
leveraged loan transactions. In addition, he
created
financial models for the Mergers and Acquisitions and
Restructuring/Advisory groups.
Mr. Lie is a Series 7 licensed representative, and earned a dual Honors
degree from Miami University in Finance and Economics.
