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.

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.

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.

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.