Lisa Pepper Email & Phone Number

St. Louis, Mo, Us

Chicago, Il, Us

Covered Midwest, Southwest and Southeast territories for RIA's, Ultra High Networth Wealth Managers and Planners.Executed succession plans for aging advisor practices saving teams long term business and cost.Budget planning and execution with individual teams.Helping RIA's work smarter and more efficiently.Assisted in recruiting and met with potential Advisors with $1 Billion AUM.Detailed organic and inorganic growth plans.Increased AUM through strategizing new business areas with Managing Partners.Outlined transition expenses incurred by joining teams.Acted as the voice between Corporate Headquarters and Teams in the field.

Provide leadership, direction, and mentoring to the Client Account Response Team, New Accounts, Account Transfers, Securities Processing, Asia Pacific and Image Processing departments. Partnered with the department managers, supervisors, and staff. Vertical Lead for Back Office Books & Records system conversion with Broadridge. Ensured all compliance/legal requirements, reporting and operational responsibilities, and training of the departments are met. Designed and implemented a Client Account Response Team department for the President of Scottrade out of the change in culture to a Sales Organization.- Improved Branch Customer Service Levels through process standardization, implementation of new workflow systems, and monitoring of key metrics.- Streamlined all operational and administrative functions into Headquarters.- Designed workflow system to bypass Branches to have all activity handled directly by the Client Account Response Team to provide fast and efficient first class service to clients.- Decreased deployment and service handle times by over 60%.- Decreased branch error ratios by over 75%.- Designed the team to grow and promote organically with positions built to manage advanced processes.- Built disaster recovery team in Denver, Colorado office to duplicate duties as well as extend client service hours.Instrumental in setting up Scottrade Investment Management (SIM), an Advisory arm of Scottrade, Inc.- Designed and created new team to support SIM business unit. Hired and trained licensed staff.- Authored new Written Supervisory Procedures Manual and ensured compliance.Co-developed roadmap and plan for departments while continually improving core operational optimization.Represented all teams as the liaison for all matters across the firm related to Account Operations Functions.Developed and maintained a reliable and continuous improvement service model for Clients, Branches and Internal Departments.

Instrumental in the start-up of the organization as well as being hired specifically to design and implement an Operations Department for the firm handling Separately Managed Accounts. Handled trade reconciliations and ran quarterly reports.- Fostered relationships with traders and back office departments in large broker dealers.- Created operational handbook with regulatory procedures and set clear objectives in order to meet company deliverables.- Developed new client database for auto-generated marketing emails to customers and potentials customers.

New York, Ny, Us

Managed service and operations functions across the Complex (Missouri and Illinois) and two Associate Branch Offices with a focus on consistency, quality and compliance. Created strong service culture throughout the Complex and supported communication and training for all staff on Morgan Stanley policies and practices. Managed operational and client service support across Complex for newly recruited Financial Advisors. - Managed day-to-day activities of the Complex, conducted performance reviews, and identified professional development opportunities for Service Associates, Branch Service Managers and Client Service Associates. - Monitored risk, and performance management.Acting Branch Manager throughout the Complex when necessary at various locations.Worked closely with Complex Manager to ensure all sales and service goals were met across the Complex.

Saint Louis, Mo, Us

Managed daily activities within the Registered Investment Advisory department. Supervised Investment Operations Staff and Financial Analyst. Served as intermediary between the department, advisors and top management. Kept advisors abreast of regulatory changes. Reviewed trading activity of clients and employees to ensure compliance.- Developed in house electronic trade ticket system resulting in the streamlining of all offices to central trade desk in St. Louis and the reduction of errors. - Oversaw fee-based new account processing, quarterly billing and statement delivery for >$900 Million in assets.- Assisted all new Advisors in understanding the use of Centers of Influence, a business networking initiative.

Responsible for developing and managing strategic client relationships, company operations and implementing new corporate policies and procedures.

Responsible for $135 Million in annual revenue and supervised soft dollar & adminstrative staff, sales and trainers. Coordinated new accounts, sales and trading to develop and build new strategic client relationships and provide value-added services.

St. Louis, Missouri , Us

Responsible for the day-to-day operations of ACG in addition to managing Trader's Institutional Securities, Inc., a broker dealer. Supervised all opening, trading and operational functions of institutional pension accounts. Prepared and verified brokerage financial statements and coordinated all training of administrative staff regarding office policies and procedures.