Brent Donovan Email & Phone Number

La Cañada Flintridge, Ca, Us

Centennial, Co

• Responsible for the management of 35 independent offices, providing support concerning day-to-day operations, including approval of all new accounts and transactions• Oversee the onboarding process and training for all registered and unregistered employees, ensuring understanding of all organizational processes, policies, procedures, and expectations, supporting individual and organizational top performance• Perform ongoing monitoring of the advisors and administrative staff, ensuring compliance with all SEC, FINRA, DOL, federal and state regulations, AML, Reg BI, and Dol, as well as all internal policies and procedures• Perform detailed reviews and approve various check blotter and electronic transactions, supporting AML and banking regulations• Maintain day-to-day operations such as emails and correspondence, exception reports, advisory accounts, outside business activities, advertising and marketing, variable annuities and alternatives, and complex products, leveraging expertise to drive organizational success• Facilitate gap analysis regularly and utilize findings to develop and implement as well as restructure existing policies and procedures, streamlining processes supporting organizational effectiveness and efficiency• Collaborate with executive leadership and all branches to establish solutions and strategies focused on integrity and best practices, ensuring compliance does not negatively impact client satisfaction,• Partner with various representatives concerning pre-approval, including regulatory risk, Vas, and alternative investments• Integral team member working with the CEO and Chief of Compliance, making decisions concerning rolling out new regulatory changes, developing paperwork and determining the steps to comply, then rolling it out to the representatives• Leverage expertise to consistently deliver top performance, successfully working remotely for over 10 years

Glenwood Springs, Co

• Functioned as the Branch Administrative Manager and oversaw 2 administrative personnel, maintaining all PTO, training, CE, and support for brokers as well as had full responsibility for compliance and annual audits• Established a foundation to support task flow and productivity, streamlining the organizational operations, CRM, and data management procedures• Maintained the production responsibility for the lower 1/3 of the book by asset value totaling ~700 households, strategically supporting the team with $325M undermanagement• Leveraged expertise to perform individual client analysis to establish and customize fully defined asset allocation models, reflecting specific risk levels and current market conditions

Hunt Valley, Md

• Oversaw all aspects of the regulatory compliance supervision, managing 40 advisors as well as the operations personnel• Met the first day on the job with an SEC audit at the branch, performing as point and achieving success, gaining the additional responsibility of resolving a backlog of legal complaints streaming from the market decline of 2000-2002 as cheaply as possible, supporting the MD Area Complex• Collaborated with both Morgan Stanley and outside legal representation concerning mediation and arbitrations, successfully navigating the process with no formal training and reducing the backlog by 2/3 within 9 months, totaling ~$5M in settled claims• Responsible for designing, implementing, and directing various regulatory initiatives, including the Patriot Act, and the UTMA/UGMA, a re-papering program for the MD Area Complex with 8 branches• Performed the day-to-day operations and continually updated manual processes, ultimately transitioning into electronic systems as innovative technology became available

Baltimore, Md

• Functioned as the Senior Associate with full responsibility for all administrative duties for a 2-broker team, supporting over $500M in assets under management with an annual production of $2.4M• Successfully achieved license within 6 months and immediately moved into the sales assistant role, overseeing a $100M venture capital relationship consisting of 127 partners from inception• Established individual accounts for each partner, including Rule 144 and 144k paperwork, successfully distributing 4.5M shares 3 weeks following the 1st meeting• Recognized for consistent performance and tapped to take on a disgruntled institutional relationship that was close to separating from the organization due to poor performance and service, successfully taking over, repairing, and strengthening the ties, saving the $350M relationship• Launched an initiative focusing on consistently improving organizational effectiveness and efficiency, continuously redesigning processes for order fulfillment, billing, client request, and new accounts, supporting top organizational performance

Mba

Bachelor Of Arts, Business Management

Communications, Business

Activities and Societies: Phi Delta Theta