As the Managing Director and Head of Wealth Management Operations at Rockefeller Capital Management, I lead the establishment and development of our operational platform for Rockefeller Financial LLC, a pioneering wealth management broker-dealer. My role is pivotal in ensuring our infrastructure is robust and operations run seamlessly from the ground up.Key Responsibilities:• Operational Platform Establishment: I spearhead the creation and enhancement of our operational platform, ensuring all processes and systems are designed to support our growing business needs efficiently.• Process Improvement: I continuously streamline and improve workflows, focusing on service delivery, technology infrastructure, and product offerings to better serve our clients and stakeholders.• Team Support: I provide daily support to 125+ Private Advisor Teams across 30 domestic cities and 5 regional locations, offering guidance, expertise, and assistance to ensure effective process management, operational efficiency, and risk mitigation.Accomplishments:• Significant Growth: Successfully on-boarded 125 Private Advisor Teams, managing assets totaling $120B and production amounting to $600M, significantly contributing to the organization's expansion and growth.• Operational Excellence: Enhanced service delivery and technology infrastructure to meet the evolving needs of our clients, ensuring we remain competitive and innovative in the wealth management industry.NASD Series 7, 24, 63, 99, SIE Licenses

As the Director of Sales and Relationship Management in the Broadcort Division at Bank of America Merrill Lynch, I led a team of four New York-based Relationship Managers, managing over 100 institutional broker-dealers. My focus was on maintaining strong client relationships, negotiating competitive agreements, and driving revenue growth through strategic engagement.Key Responsibilities:• Team Leadership: Managed a team of Relationship Managers, providing direction and support to ensure effective oversight of more than 100 institutional broker-dealers.• Agreement and Pricing Negotiation: Reviewed and negotiated clearing agreements and pricing structures for both new and existing business, ensuring our offerings remained competitive and profitable.• Client Base Assessment: Conducted thorough reviews and assessments of our existing client base to identify revenue growth opportunities, analyze product/service mixes, and mitigate operational risks.Accomplishments:• Enhanced Engagement and Revenue Growth: Maximized client relationships and revenue opportunities by cross-selling business banking services and electronic execution solutions, thereby enhancing engagement with Bank of America Merrill Lynch.• Strong Client Relationships: Maintained and nurtured robust relationships with Broadcort’s client base, ensuring consistent interaction with C-Level executives and firm principals to foster high levels of client satisfaction and retention.

Key Responsibilities:• Leadership and Team Management: Led four client service and risk and control teams, totaling 38 members across various locations, ensuring efficient operations and high-quality service delivery.• Structural Transformation: Restructured the institutional clearing team, implementing an efficient service model structure tailored to institutional and international clients, resulting in improved operational efficiency and client satisfaction.• Client Service Enhancement: Prioritized client focus and provided vigilant support to existing institutional business, reversing client dissatisfaction and fostering stronger relationships.Accomplishments:• Talent Development: Spearheaded recruitment, coaching, training, and retention initiatives for key talent, ensuring a skilled workforce capable of delivering exceptional service and optimizing Merrill Lynch's bench strength.• Efficiency and Profitability: Leveraged Merrill Lynch, Pierce, Fenner & Smith proficiencies to enhance clearing firm efficiency and profitability, integrating streamlined procedures into clearing operations.

In my role as Vice President and Relationship Manager for Conversions & Training at Bank of America Merrill Lynch, I led a team of 18 relationship managers, conversion managers, and corporate trainers across the Jersey City and Chicago offices. My primary focus was on enhancing client retention, maximizing relationships, and facilitating seamless client transitions to Merrill Lynch.Key Responsibilities:• Team Leadership: Directed a team of 18 professionals, ensuring cohesive and effective management of client relationships, conversion processes, and training programs.• Clearing Agreements and Pricing Models: Assessed clearing agreements and developed profit-driven pricing models, strategically renegotiating clearance and execution fees to enhance profitability.• Client Transition Management: Planned and oversaw the entire client conversion process, from project planning to task tracking, ensuring all transitions adhered to timeframes and budget constraints.Accomplishments:• Promotion to Director: Achieved promotion to Director of Client Service/Account Management in recognition of exceptional performance and leadership.• Process Innovation: Pioneered the creation and implementation of a standardized conversion and clearing process, which is now utilized for all client integration initiatives, ensuring a streamlined and efficient approach.• Revenue Generation: Generated $6M in incremental revenue by sourcing and fostering new business from a client base of 125 broker-dealers through exceptional relationship management skills.

As Vice President and Product Manager for Product Development at Bank of America Merrill Lynch, I led key initiatives to enhance our retail correspondent clearing offering. My role involved translating complex business requirements into actionable technology specifications, ensuring our solutions met the precise needs of institutional broker-dealers.Key Responsibilities:• Product Development Leadership: Led product development initiatives, ensuring our retail correspondent clearing offering was both innovative and aligned with market needs.• Requirement Translation: Gathered intricate business requirements and translated them into precise technology specifications, bridging the gap between business needs and technological capabilities.• Solution Crafting: Developed innovative business solutions tailored for institutional broker-dealers, leveraging my deep expertise in business and clearing processes to create state-of-the-art technology and product offerings.Accomplishments:• Revenue Expansion: Collaborated with executives from the Global Private Client Division to identify opportunities for proprietary product and service offerings, significantly expanding the firm's revenue streams and enhancing its competitive edge and market positioning.

Assistant Vice President / Manager, Pershing Division , Donaldson, Lufkin & Jenrette Securities CorporationGlobal Trainer, Corporate Intern, Margin Associate, Pershing Division , Donaldson, Lufkin & Jenrette Securities Corporation