Laurie Stack Email & Phone Number

Dallas, Tx, Us

Dallas, Tx, Us

Dallas, Texas

Responsible for the leadership of Relationship Managers and Business Consulting teams at Cetera Advisors and our affiliated traditional business channel. The Business Consulting team is a proactive consultative sales team that is responsible for a client portfolio of approximately 1,000 Advisor relationships — creating strategy and driving same-store sales growth, retention, and meaningful relationships through the actions of an engaged team. The Relationship Management team represents the Advisor perspective on various steering committees and project initiatives to help the firm drive a smarter, simpler, and more personal company culture. Current responsibilities include:• Cultivating a team culture — to retain and develop engaged employees.• Propelling the Advice Centric Experience for Advisors.• Creating department goals and evaluating results to ensure objectives are met and in line with the needs of the firm.• Reengineering the current Engagement Model.• Researching trends, developing insights, and creating solutions to better support Advisors.• Identifying opportunities and creating programs to increase client satisfaction, retention and same-store sales• Managing attrition risk of Advisors by proactively handling and resolving high-profile and complex situations.• Demonstrating strong executive presence with the ability to influence senior management.• Developing and executing business plan initiatives.• Partnering with conference services to deliver exceptional live events

San Diego, Ca

Led development and implementation of policies and procedures designed to ensure compliance with state insurance, HIPAA, and NAIC model regulations. Oversaw development and implementation of insurance compliance training programs for firm’s registered reps and employees. Created communication and training content around compliance for insurance business. Worked with insurance product manufacturers to carry out mandated regulatory training. Partnered with legal department regarding interpretation of and compliance with complex laws and regulations across jurisdictions. Monitored changes in state insurance laws applicable to life and annuity business. - Designed and executed testing programs and conduct annual review processes to assess adequacy of firm’s compliance policies and procedures related to insurance business. - Reengineered recruiting/onboarding procedures to streamline transition process of advisor licensing and account transfers (ACATs); expedited ramp-up and mitigated client retention risks. - Managed and ensured timely filing of license applications and renewals for advisors, firm and related entities, and licensed officers in all jurisdictions. - Acted as key liaison to industry organizations to develop effective business relationships.

San Diego, Ca

Managed all aspects of service, operations, commissions, and sales fulfillment for insurance agency. Developed and managed operational staff that partnered with sales teams to assist brokerage general agency in growing from 7,000,000 to 40,000,000 GDC in five years. Oversaw adoption of technologies related to process improvements in order to effectively achieve scale. Collaborated with operations and sales teams by creating innovative opportunities to drive same-store sales by offering competitive products and excellence in service. - Designed and implemented strategies to increase revenue by growing core business while offering exceptional service across corporate channels. - Implemented and coordinated global services across corporate channels. - Attracted LPL advisors to internal BGA platform due to relationship, trust, and implementation of higher service standards.

San Diego, Ca

Hired, trained, and managed registration and licensing staff for bicoastal home office operation. Managed and ensured timely filing of license applications and renewals for advisors, firm and related entities, and licensed officers in all jurisdictions. Supervised filing of corporate annual reports, broker/dealer state registrations renewals, investment advisor renewals, corporate insurance license renewals, and NFA renewals. - Developed licensing database for subsidiaries/outsourcing firms. - Designed and implemented firm element continuing education. - Validated conversion information and daily interfaces during transition to self-clearing platform. - Acted as senior registration representative on firm’s representative review committee. - Trained staff how to provide service excellence; department was rated No. 1 in services by LPL advisors ten years in a row.