Denise Horton Email & Phone Number

Collaborating cross-functionally with departments to deliver optimal quality of service in all interactions, ensuring effective and professional follow up in a timely manner. Leveraging Series 6 license and knowledge of FINRA regulations to effectively onboard, maintain, offboard, and support licensing compliance.Attentively troubleshooting complex agent issues, ensuring alignment between regulatory agencies, individual agents, and existing technical solutions to effectively resolve inquiries.Denise Horton is an employee of Ameritas which offers securities through its affiliated broker/dealer, Ameritas Investment Company, LLC, Member FINRA/SIPC and investment advisory services through its affiliated RIA, Ameritas Advisory Services, LLC.

Ensure securities registration process is streamlined and efficient while complying with state insurance, SEC, and FINRA regulations. Provide leadership and represent the Registration Team for other areas of AIC. Work with the Compliance Associates in the Department along with Registered Reps, Managers, and Officers to support the associates registration regulatory matters.

Lincoln, Ne

Recognized by management for excellence in coordinating the full life cycle of departmental operations. Produce workflow reports to identify staff accountability regarding metrics, and strategize with management to increase productivity for individuals not performing to expectations. Negotiated rates with established vendors, enabling a $2K+ savings annually. Completed and submitted reports to management an average of 2 days prior to deadline, thereby enabling extensive review prior to meetings, allowing preliminary reading prior to key strategic decision making. Composed and distributed daily newsletter, with correspondence relating to deadlines and corporate events.

Lincoln, Ne

Commended by management quarterly for exceeding productivity and quality control metrics. Accurately researched solutions to resolve inquiries in a timely manner, exceeding expectations from all recipients. Completed 12-week training course to earn Producer’s License for the State of Nebraska.