Mark Orton Email & Phone Number

Charlotte, North Carolina Area

Responsible for reviewing all compliance systems and reporting as required for the assigned branches within the Market and reports the findings on a daily basis. Works with the Market to ensure that branch compliance procedures fulfill all compliance requirements. Performs ongoing regulatory, compliance, and operational reviews as well as new account and daily order review, for each branch within the market, bringing any deficiencies or concerns to the Markets attention immediately.

Charlotte, North Carolina

• Managed Branch Operations for 4 site locations and 100 Financial Advisors in multiple business channels with 1M client accounts and assets over $12B in 2009 .• Liaison with other channel leaders to develop support models and run ongoing meetings to ensure and improve Client and Advisor support.• Developed and presented operations training for newly hired FA’s. Maintained ongoing updates and trained others to present this across 4 locations.• Helped reduce risk to the branch and clients by developing and implementing processes to review all inbound and outbound client correspondence in a complex environment in 4 locations across 3 statesWells Fargo Advisors is a trade name used by Wells Fargo Clearing services LLC, Member SIPC

Charlotte, North Carolina

• Initial Implementation of the Wells Fargo Client Solutions team. Helped to transition 100k households through merger to our firm with the goal of maintaining and building those relationships.• Worked with the goal of increasing revenue and building client relationships within Client Solution team. • Assisted with transition to add bank side advisors in addition to our Private Client group Advisors. Provided training and production assistance growing from 12 to 50 advisors from 2005 to 2008.Wells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, is a registered broker-dealer and a separate non-bank affiliate of Wells Fargo & Company.