Jeff Gery Email & Phone Number

Fort Wayne, In, Us

Chicago, Il, Us

I lead the legal aspect of the company's Retirement Plan and Wealth business, including drafting and negotiating complex commercial agreements; advising and strategizing with senior leaders and compliance teams to stay within the confines of SEC, FINRA, DOL and insurance regulations; managing and resolving disputes, complaints and litigation; supporting mergers & acquisitions and product due diligence; and restructuring corporate governance. I also oversee Hub's leader in charge of equity administration.

Nashville, Tennessee, Us

I led the execution of Alto's broker-dealer strategy for its alternative investment platform. Execution included obtaining FINRA membership for Alto Securities, developing due diligence and marketing review processes for private securities offerings, collaborating with teams in the development of products for the platform, ensuring a solid compliance and supervisory infrastructure, executing the legal needs of the firm (e.g., contract negotiation, corporate governance), and leading strategic initiatives to expand investment offerings and operational functionality.

A subsidiary of Ash Brokerage, First Palladium was created upon my recommendation to bring broker-dealer services in house to increase revenue, save costs on the existing wholesaling business, and expand the retail business – “The Palladium Group.” This broker-dealer complimented Ash Brokerage's expertise in fixed life insurance and annuities by (1) wholesaling variable universal life insurance and registered index-linked annuities and (2) providing variable universal life insurance, private placement life insurance, and annuities solutions for registered investment advisors and their clients through "The Palladium Group." As CEO/CCO, I ran the corporate, operations and compliance functions of First Palladium and oversaw the sales team of The Palladium Group. The firm increased revenue nearly 400% during my four-year tenure.

Fort Wayne, Indiana, Us

I was responsible for leading our teams through legal, strategic, and compliance issues involving the insurance and retirement markets the company serves. The Human Resources team and The Palladium Group sales team also reported to me. Key aspects of my roles and responsibilities included: • executing the legal aspects of the firm’s M&A strategy of acquiring insurance agencies; • negotiating contracts and complex transactions (confidentiality agreements, employment agreements, selling/service agreements, commercial agreements, M&A); • supporting affiliated fintech companies (corporate formation, SaaS agreements, compliance, strategic guidance to position offerings in relevant markets;) • leading compliance (FINRA and SEC regulations, AML, privacy, marketing review, cybersecurity, training of employees, third party oversight, supervision, audits and testing); • balancing an entrepreneurial, growth focused business culture with legal rigor and discipline, such as consistent corporate governance, enterprise risk management and compliance practices for marketing, compensation, and information security; • overseeing complaints, investigations and litigation matters; working closely with outside counsel; and• navigating sensitive employment law matters; HR successes included adopting a new HR technology platform, changing benefits broker, and reducing 401(k) plan costs by 50%.

Radnor, Pa, Us

I advised the executive, sales, product, operations, marketing and compliance teams of Lincoln's retirement plan services business (RPS) that provided products and services to clients for their 401(k), 403(b) and 457 plans. Successes included --- serving as a key contributor to the creation, development, operations, and oversight of Lincoln’s trust company, including its CCO --- simplifying the product features of Lincoln’s offerings that expanded the distribution of group annuities and open architecture retirement plans among RIAs --- collaborating in the development of new products and services (e.g. mutual fund IRA platform, stable value, trust and custodial services, force-out IRA, rollover product for lifetime income benefit) --- mitigating compliance and operations risk of RPS --- saving expenses by streamlining securities registration requirements --- negotiating contracts with distribution partners and restructuring template agreements --- supporting Lincoln’s BDs and RIAs, particularly on retirement plan and IRA initiatives.

Radnor, Pa, Us

I served on the executive management team, which was responsible for the decisions and policymaking for a broker-dealer and registered investment advisor. My fifteen-member team worked in multiple locations, performing the product development, legal, compliance and supervision of the firm. Some of our accomplishments included --- developing a fiduciary advice platform for advisors to serve as fiduciaries to retirement plans and their participants --- restructuring compliance to accommodate the growth of the companies --- separating the BD and RIA into different companies --- executing two material change filings to the BD membership with FINRA --- navigating the firms through three regulatory audits and four inquiries without material deficiencies.

Baker & Daniels (now Faegre Drinker): The securities and corporate matters of my practice included complex litigation on behalf of investors and broker-dealers, brokers subject to regulatory investigations, and garden-variety issues of broker-dealers and their registered representatives. The other areas of my legal practice included employment, product liability, construction, intellectual property and class actions.Maddox Koeller Hargett & Caruso: I represented investors, insurance policyholders and brokers in arbitration, litigation and regulatory matters. The lead attorney entrusted me to manage two group cases (over 400 clients each), including managing other attorneys and staff.

Doctor Of Law - Jd

Ba, Economics And Political Science

Education record

Education record

Bachelor Of Arts - Ba, Economics