David Block Email & Phone Number

Houston, Texas Area

• Responsible 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.

Austin TX

• Specialties: 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.
• 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.

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• 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.

Bs, Criminal Science

Activities and Societies: Minor in Psychology

Criminalistics And Criminal Science