• Developed and executed comprehensive compliance programs, including policies and procedures, testing, and monitoring for retail, institutional, and wealth management services.• Oversaw compliance team to approve all marketing materials and communications under FINRA 2210 and SEC Marketing Rule (Rule 206(4)-1, ensuring consistency and regulatory compliance across institutional, retail, and advisory lines of business.• Spearheaded the adoption and implementation of new systems in partnership with IT, resulting in increased efficiency and streamlined workflows.• Provided strategic leadership and guidance to compliance professionals across multiple lines of business, including private funds, insurance products, and wealth management.• Partnered with the Director of Compliance to prepare for regulatory examinations while ensuring proactive compliance with evolving industry regulations and cultivating strong relationships with regulators.• Directed and executed the annual compliance firm element program.

• Managed a team of compliance professionals, coordinating advisory and broker-dealer compliance across wealth management, broker-dealer, variable Insurance, and institutional business lines.• Led the development of new compliance controls and monitoring frameworks, addressing evolving SEC and FINRA regulatory requirements.• Collaborated with senior leadership to integrate enterprise risk management processes into compliance oversight, contributing to firm-wide risk mitigation strategies.• Directed compliance testing and monitoring efforts in accordance with Rule 206(4)-7 under the Investment Advisers Act, ensuring adherence to fiduciary standards for investment advisors.• Oversaw the management of complex compliance consolidated reporting requirements.• Compliance lead on the development of proprietary software for consolidated reporting.

• Directed compliance functions for a registered investment advisor and broker-dealer, ensuring comprehensive compliance with SEC Marketing Rule (Rule 206(4)-1) and FINRA, 2210 marketing regulations.• Designed and implemented a review system for e-communications, website static content, and public communication advisors to ensure legal and compliance standards adherence.• Conducted in-depth compliance branch audits, assessing compliance and recommending corrective actions to senior leadership.• Coordinated the annual compliance firm element program and contributed to strategic compliance initiatives, focusing on regulatory changes and best practices.• Guided the Branch exam team and their scheduled exams.

• Played a key role in streamlining compliance procedures to enhance operational efficiency without compromising regulatory standards.• Oversaw and approved all marketing materials and communications in accordance with FINRA 2210, ensuring consistency and regulatory compliance across institutional, retail, and broker-dealer operations.• Led a concerted effort to understand member firms' consolidated reporting usage and then drove the firms toward compliant solutions. • Developed and executed the annual compliance firm element program.

• Primary client contact for addressing questions and concerns regarding their investments. • Trained, coached, and delegated work to appropriate team members based upon their skill levels.• Processed, as well as supervised the processing of all, new account paperwork for the various investment companies utilized by Clear Financial Partners.• Worked closely with suitability and underwriting teams for approval of all new annuity contracts. Designed annuity sub-account portfolios based upon client-specific profiles.• Packaged and submitted new life insurance applications, including the ordering of labs and medical records. Guided applications through the underwriting process to the final signing of policies with clients.• Designed client-specific sub-account portfolios for clients with VUL life insurance policies.• Traded all managed accounts via the Envestnet platform, including quarterly rebalancing of accounts. Designed one-off portfolios to meet client-specific needs.• Reviewed all managed money portfolios and larger incoming portfolios with Kwanti Portfolio Analytics.• Followed new business to closure and tracked estimated revenues payable to the firm.

•Teamed with the owner to identify and attract new clients. Responsible for building hypothetical models for prospective clients, and for developing and directing all advertising activities for the firm, including FINRA approval of website and twice-daily radio market commentary. •Organized and directed internal and external staff for the brokerage firm and outside projects, including HR duties. •Reviewed FINRA policy updates and reported back to the president.•Identified potential investments based on models and industry peer comparisons. Established clear buy and sell targets based on forward earnings models. •Directed all trade executions and trade issue resolution. Reviewed all trades for accuracy.•Primary liaison with clearing firm for commission tracking and weekly advance to the firm. •Prepared and reviewed monthly commission receivable numbers, trading expenses, and technology changes for submission to outside FINOP for monthly net cap computation and quarterly reporting. •Worked with audit team from Geffen Mesher using my commission and trade expense tracking spreadsheets in preparation for annual audit.

Responsibilities included: sourcing prospects and developing new customer relationships, providing financial advice to customers, selling appropriate bank products and services to those prospects and clients, identifying and successfully capitalizing on cross-sell opportunities and making appropriate referrals.

Start up institutional brokerage firm that leveraged the collective abilities of the group's stock selection and trading abilities.

Execute trades in fast moving markets. Assist Portfolio manager in stock selection and portfolio weightings. Acted as primary client liaison. Produced quarterly newsletters and client reports.