Daniel Huck Email & Phone Number

I joined the Complex Products Supervision department in its early period of creation at LPL as a specialized group focus on review of the highly scrutinized and complex products know as Alternative Investments (AIs) given my past knowledge and experience with AIs. My focus was on the review and approval/rejection of financial advisor submitted Alternative Investment (AI) business such as Real Estate Investment Trusts (REITs), Business Development Companies (BDCs), Managed Futures, Private Placements, Structured Products (SPs), Exchanged Traded Products (ETPs), and more recently Real Estate Limited Partnerships (RELPs). Since June 2016, my review and approval/rejection focus has transitioned under LPL's Complex Products department to the advisor submitted business of various types of LPL approved Variable Annuities (VAs) and Fixed Indexed Annuities (FIA), which were more recently brought under our department's supervision role. I have been gaining experience and knowledge about the many past and current ever-evolving variations of riders and features available within VAs and FIAs.The focus during my reviews within Complex Products as always been in determining the suitability of the purchase or exchange (1035 or qualified transfer) and if there is a clear benefit to the client in the transaction. When there are times to educate the advisor on the product or be a resource in the submission process, it is my focus to be seen as a helpful resource to my assigned advisors as opposed to a business inhibitor.

Managed a staff of six analysts focused on reviewing advisor submitted marketing materials such as websites, books, stationary, print ads, social media profiles, signage, radio shows, etc. I was a working manager so I also was active in daily marketing reviews to support high volumes, handled escalations, coordinated with other compliance departments at LPL on marketing issues, assisted with FINRA and SEC regulatory and internal-audit inquiries, conducted monthly quality assurance reviews of analyst's work, conducted bi-weekly one-on-one meetings for employee development/encouragement, mid and year-end reviews of employees, led and assisted in department initiatives and projects with the goal of improving our efficiency and effectiveness in being a resource for our financial advisors when it comes to marketing their businesses and staying compliant with LPL's compliance manual and the many regulatory rules and notices such as FINRA Rule 2010.

Review and approve all advertising/marketing of our registered reps as well as assist in the creation of marketing materials by our parent company Asset Marketing Systems for use with registered reps. Responsible for the training of new registered reps and ongoing guidance of the Broker/Dealer’s existing reps on SEC, FINRA, and Broker/Dealer compliance requirements related to business review, advertising/marketing review, trading and branch office records. I also occasionally conduct Branch Audits for the Broker/Dealer.

Responsible for the training of new advisors and ongoing guidance of the Broker/Dealer’s existing financial advisors on SEC, FINRA, and Broker/Dealer compliance requirements related to business review, advertising/marketing review, trading and branch records. Reviewed and approved business and advertising/marketing. Executed brokerage trade requests by advisors and conducted supervisory review of email and various broker/dealer logs. Attended conferences, watched online training sessions, and read regulatory articles to keep current with the ever-increasing rules and regulations in the financial service industry.

Responsible for the training of new advisors and ongoing guidance of the Broker/Dealer’s existing financial advisors on SEC, FINRA, and Broker/Dealer compliance requirements related to business review, advertising/marketing review, trading and branch records. Reviewed and approved business and advertising/marketing. Executed brokerage trade requests by advisors and conducted supervisory review of email and various broker/dealer logs. Attended conferences, watched online training sessions, and read regulatory articles to keep current with the ever-increasing rules and regulations in the financial service industry.

Responsible for maintaining and upholding the firm’s compliance with all SEC, NASD, and Broker/Dealer regulations. Attended conferences and met with consultants to stay current with the ever-increasing/changing rules and regulations in the financial services industry. Reviewed and Approved all business, trading and marketing activities that flowed through the company.

Responsible for managing all business processing activities between advisors and the firm’s Broker/Dealer. Assisted in the implementation and tracking of many compliance requirements. Personally serviced many of the president’s most elite clientele. Maintained and upgraded the firm’s internal client portfolio reporting database system.

Finance

Activities and Societies: Delta Sigma PI, School Newspaper Editor (The Phoenix), Basketball and Flag Football intramural.Minor.

General

Activities and Societies: Varsity Tennis, Waterpolo, Editor-in-Chief of School Paper (Horizon), Secretary of German Club and Leo's Club.