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Strategic initiatives leader with extensive operations and client service leadership experience within the financial service industry. Dynamic and results-oriented leader with a proven record of successfully running complex, multifaceted organizations. Proficient in building high-performing teams that consistently achieve organizational goals. Dedicated to delivering impactful outcomes, inspiring team loyalty, and empowering excellence in work. Trusted success partner.
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Vp And Chief Operations OfficerSanders Morris Harris Jun 2013 - PresentHouston, Texas AreaResponsible for managing day-to-day broker dealer operations and trading. Supporting the CCO,CEO, CFO and Chairman, on the development and execution of the overall strategic direction and initiatives of the firm. • Overseeing financial forecasting and budgeting operations for the organization.• Ensure compliance with FINRA, SEC, MSRB, OATS, TRACE & CAT and other company procedures are in communications with our representatives, including Business Continuity Plan, Best Execution. DOL & form CRS.• Conduct Below the Line testing to assess the efficacy of parameter level settings for trade & margin alert models. -
Director Of Operations SupportNfp Securities Jan 2002 - May 2013Austin TxSpecialties: Broker Dealer and New Business functions at both the carrier and broker dealer level. Superior skills with creating and implementing workflow procedures and strategic thinking in any capacity. Natural leader with years of management ,Compliance and investment banking experience.Securities licensed with NASD (7,24,55,63). Director of Client Services & Operations Support & Trading • Work in partnership with Legal, Compliance, Audit, Finance and ensure appropriate governance and control infrastructure is being maintained• Coached and oversaw the team's performance by providing measurable metrics.• Assist with FINRA & SEC regulatory inquiries and examinations, as well as internal compliance testing and audits.• Built and maintained an environment centered on accountability, superior service, and accuracy. -
Proprietary Trading ManagerProtrader Securities 1999 - 2001· • Work in partnership with Legal, Compliance, Audit, Finance and ensure appropriate governance and control infrastructure is being maintained• Coached and oversaw the team's performance by providing measurable metrics.• Assist with FINRA & SEC regulatory inquiries and examinations, as well as internal compliance testing and audits.• Built and maintained an environment centered on accountability, superior service, and accuracy.
David Block Education Details
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Criminal Science -
Monsignor FarrellCriminalistics And Criminal Science
Frequently Asked Questions about David Block
What company does David Block work for?
David Block works for Sanders Morris Harris
What is David Block's role at the current company?
David Block's current role is VP and Chief Operations Officer.
What is David Block's email address?
David Block's email address is db****@****nfp.com
What is David Block's direct phone number?
David Block's direct phone number is +151269*****
What schools did David Block attend?
David Block attended Marist College, Monsignor Farrell.
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David Block
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David Block
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David Block
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