Darrell Raymond Email & Phone Number

Houston, Texas Area

Plans, performs and documents audits of operations at the OSJ and representatives’ office to assure compliance with relevant State and Federal regulations. Plans pre-visit efforts that include researching information on prior audits and reviewing exception reports to identify questionable trading practices, conflicts with customer risk profiles and other actions that could lead to customer complaints or regulatory action, conduct on site review of OSJ and Satellite Branch Office to ensure compliance with regulations, perform follow-up interviews to verify correction of deficiencies. Prepares progress and exception reports to assure communication of results versus the annual audit requirements.

Supervised the business of independent financial representatives to comply with securities rules and regulations. Include transaction review, correspondence review, various activity logs (blotters), outside business activities and other facets of a producing financial representive. Investment product transactions requiring supervision stocks, bonds, mutual funds, unit investment trusts, real estate investment trusts, limited partnerships, variable annuities and variable universal life insurance. Reviewed and approved new account forms, new direct business applications, and trading activity for suitability for OSJ and other representatives who report to home office. Resolved issues in regards to new account forms, new direct business applications, and trading activity for OSJ.