Linnea Rounds Email and Phone Number

• Conduct client/advisor calls to understand and provide input on their business and services.• Draft documents for SEC and state registered to register as an Registered Investment Firm• Handle day-to-day client calls and transactions, providing compliance/regulatory answers, problem resolution and escalating items when necessary.• Proactively identify potential problems and compliance issues in order to maintain client satisfaction and participate in the implementation of systems and processes• Review advertising and social media platforms for compliance

• Supervise advisors Outside Business Activities and ADV Brochure Supplement.• Help onboard Experienced Advisor Recruits, larger teams and acquisitions as the Subject Matter Expert. • Developed and continuously update the procedures and databases for OBAs. • Identify problems, provide solutions and help see the project through to benefit both the Field and the OBA team.• Perform Targeted Reviews/Deep Dives of advisors’ activities, which includes an intensive environmental scan and interviews with Field Registered Principals.

• Analyzed seminars and events to ensure all components meet FINRA and Ameriprise requirements for wholesaler reimbursement.• Met with representatives from marketing and service and delivery to develop a more efficient process for advisors.

• Supported the Managing Director of Minneapolis and the world leading Principal Advisor.• Corresponded on behalf of advisors with existing clients and referrals.• Acted as client support liaison by fielding client questions and concerns on products and services.• Prepared advisors for client meetings by running and validating reports, conducting market research and prepping necessary materials for meetings.USBank, St. Paul

• Managed cash and asset transactions for Corporate Trust Escrow accounts to ensure legal requirements were met prior to releasing funds to various parties.• Interfaced with the internal tax area to calculate and distribute the necessary tax reporting and payments.. • Provided internal and external customer service

• Educated individual clients and businesses on the financial planning through meetings and seminars.• Sold proprietary and non-proprietary mutual funds, annuities and insurance.• Recognized as a top recruit.