David Block

David Block Email and Phone Number

VP and Chief Operations Officer @ Sanders Morris Harris
David Block's Location
Houston, Texas, United States, United States
David Block's Contact Details

David Block personal email

n/a

David Block phone numbers

About David Block

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.

David Block's Current Company Details
Sanders Morris Harris

Sanders Morris Harris

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VP and Chief Operations Officer
David Block Work Experience Details
  • Sanders Morris Harris
    Vp And Chief Operations Officer
    Sanders Morris Harris Jun 2013 - Present
    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.
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  • Nfp Securities
    Director Of Operations Support
    Nfp Securities Jan 2002 - May 2013
    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 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.
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  • Protrader Securities
    Proprietary Trading Manager
    Protrader 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

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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