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 other concerning patterns displayed in end-client account activity in a variety of products• 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 applicable SEC and FINRA rules and guidelines• Communicate with Service Center through timely training on all departmental updates• Creation of management reports• Assist with and/coordinate the multi- tiered Ad-Hoc Weekly, Monthly, Quarterly & Yearly projects• Ensure daily departmental service levels are met• Identify trends in suitability review and implement service center and/or Suitability training as needed• Act as the liaison between Operations Stakeholders and IT on system specifications, project plan coordination, testing, user acceptance and implementation.

• 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