Daniel Johnson Email & Phone Number

• Review exception reports to detect and address potential sales practice and related supervisory concerns, including active trading, switching, account concentrations, account losses, advisor credit monitoring, and.
• Perform comprehensive risk reviews and sales practice investigations of a complex and highly sensitive nature
• Synthesize and assess the “risk profiles” (business mix, sales practices, credit, disciplinary history, customer complaints, supervisory record, etc.) of advisors and OSJs
• Investigate specific instances of questionable sales activity or deficient supervision
• Recommend an appropriate level of oversight or corrective action to management and the firm’s respective risk management committees

Santa Barbara, California Area

• Intra departmental training of Suitability and Pershing Process
• Oversight review of all Suitability Principal / Project Analyst's
• Department & Project improvement process identification and implementation
• First escalation point for the Suitability department
• Document internal changes in suitability guidelines and written Standard Operating Procedures Implement regulatory changes as it pertains to suitability review; know your client, anti-money laundering and all.
• Communicate with Service Center through timely training on all departmental updates

• Daily review investment business (check and application) investing directly with mutual fund, annuity, and alternative investment companies
• Review brokerage accounts held through our clearing firm
• Works with advisors to resolve escalated suitability issues on applications
• Works closely with Service Center throughout the review process
• Review both brokerage and mutual fund trades
• Assist and / or coordinates Multi-tiered projects

• Provided profession assistance to clients and field of over 400 registered representatives regarding PSC products, required paperwork, and general account related inquiries
• Multiple Incentive awards
• Winner of the Partnership for Success Award
• Mentored and trained new service representatives
• Pershing Queue specialist

• Learned procedures and stadium operations for gamedays
• Worked various gameday positions (Promotions, Concessions, Ticket Sales, Merchandise)

Santa Barbara, California Area

• Worked with the computer program, ‘Envision’, which helped brokers with clients’ retirement plans
• Trained brokers to be proficient in ‘Envision’
• Various tasks included bookkeeping, filing, calling clients and companies