Dennis Pompa Email & Phone Number

Hutto, Tx, Us

Austin, Texas Area

I manage the Licensing & Registration for Lion Street Financial and Lion Street Advisors that complements Lion Street, Inc. Complete regulatory filings for firm and individual representatives; including state request, Form U4/U5, Form BD, Form BR and Disclosure filings. Manage WebCRD E-bill account, ensure payments on billing is completed, monitor for sufficient funding and pass along fees/charges to reps as appropriate. Developed and conduct background review for new hire representatives; consult with compliance personnel with information on new hires. Provide support and guidance to colleagues on matters related to registrations. disclosure filings, BD to BD Agreements, Commission research, Advisory fee processing, general account inquiries and multiple reporting needs. Lion Street, Inc. is a privately held national financial services distribution company based in Austin, Texas. With proprietary resources, unparalleled direct access to top-rated carriers, strategic alliances with key industry specialists, and group buying leverage, Lion Street provides elite Advisors the powerful platform they need to serve their sophisticated clients. A fundamental difference in Lion Street’s structure is that everyadvisor is an Owner. Together, Lion Street’s Advisor-Owners are strongly committed to building a fiercely independent, yet highly collaborative network of professionals dedicated to serving their high-net worth and corporate clients. Strategically comprised of 120 firms who have built successful financial advisory practices across the nation, Lion Street’s Advisor-Owners specialize in Wealth Transfer, Wealth Management and Executive Benefits. To learn more about Lion Street, visit www.lionstreet.com.

Austin, Texas Area

Investigate and maintain claims; reviews and evaluates coverage, secures and analyzes necessary information to assist in the investigation of claims. May affect settlements / reserves within prescribed limits and submit recommendations to supervisor on cases exceeding personal authority.Ensure that claim payments are issued in a timely manner.Ensures that claims handling is conducted in compliance with applicable statutes, regulations and other legal requirements, and that all applicable company procedures and policies are followed.

Licensing & Registration/ComplianceResponsible for day to day management of activities in Licensing & Registration Department Supervised 4 employeesAssign taskManage their expectationsProvide guidance and support to complete assigned tasksPrepare and deliver management reportsParticipate in company conference calls with member firm representativesContribute to the development of new systems to improve efficiencies in L&R and other departments Coordinate with other departments as needed to ensure service to client is met Monitor FINRA, SILA, SIFMA, etc. for rule changes as they relate to B/D Compliance and Operations. Establish and maintain working relationship with industry regulatorsResponsible for managing FINRA and State Registration Renewal programResponsible for record management with LaserFiche databaseDevelop workflow and department proceduresMaintain and update as needed department policiesParticipate in the development of new technology service to improve company efficienciesKey resource for problem solving matters

Process new representative registration requestFile Form U-4 Amendments, terminations and other filings as needed. Maintain rep filesReview requests for registration, provide detailed information to management to assist in decision making process

Organize and manage files for Legal Department.Review files for noteworthy information; communicate with Management and Legal staff as needed TrainingAdvisor First Training - Focus on developing skills to improve personnel and overall company relationships with representatives. Project Management; Process Mapping; Advanced Process Mapping; Using the Balanced Scorecard; Risk Management Association - "Operational Risk Management 101".ProficiencyFINRA/WebCRD, Caesar, Microsoft Excel, Word, PowerPoint, SharePoint. Some familiarity with Microsoft Access and InfoPath.