Mark Germain Email and Phone Number

• Lead risk consultant on the team and responsible for up skilling and training my current peer • Led many project groups to develop and implement new reporting that mitigates organizational risk and improves organizational efficiency • Collaborate with leaders from Sales, Fulfillment, NUPRM, Business Excellence, and RECOR to develop proactive pipeline reporting in an effort to ensure controls put in place by the business are properly executed upon• Partner with Sales/Fulfillment leadership to ensure consistency in reporting and communication across all levels of management • Monitor current reporting for trends, opportunities, and potential new risks• Developed Production Risk Calendar in an effort to organize all of the reporting efforts that our team manages. We currently produce and monitor 61 different reports• Responsible for creating a new report request document to streamline the ramp up process for all new reports. This has also allowed the team to expand the scope and volume of reporting without adding more staff. In a 12 month timeframe we increased communication outputs from 103 per month to the current level of 294 per month• Attended multiple leadership courses while in my current role including Crucial Conversations and Situational Leadership II

 Implemented new trading software and created new trading processes and procedures Improved trading processes and procedures in 2011 allowed us to more than double the number of accounts we manage without adding more staff Responsible for daily trading in all of our model portfolios Provide allocation recommendations for individual client retirement plans Responsible for due diligence and reporting for over 50 mutual funds that are part of our model portfolioso Wealth Enhancement Group is an independent financial planning firm with a team approach to comprehensive planning and a commitment to long-term client relationships.o Third-party posts found on this profile do not reflect the views of LPL financial and have not been reviewed by LPL financial as to the accuracy or completeness.Securities offered through LPL Financial, Member FINRA/SIPC. Investment advice offered through Wealth Enhancement Advisory Services, LLC. For a list of states in which I am registered to do business, please visit http://www.wealthenhancement.comFor hyperlinks to homepages for FINRA and SIPC, please refer to website section above.

 Responsible for preparing client review presentations for Financial Advisors Responsible for preparing paperwork to implement new client accounts Communicate and service all client requests on a daily basiso Wealth Enhancement Group is an independent financial planning firm with a team approach to comprehensive planning and a commitment to long-term client relationships.o Third-party posts found on this profile do not reflect the views of LPL financial and have not been reviewed by LPL financial as to the accuracy or completeness.Securities offered through LPL Financial, Member FINRA/SIPC. Investment advice offered through Wealth Enhancement Advisory Services, LLC. For a list of states in which I am registered to do business, please visit http://www.wealthenhancement.comFor hyperlinks to homepages for FINRA and SIPC, please refer to website section above.

 Responsible for preparing the quarterly budget presentation Diagnosed problems with and improved the collections process Responsible for improving the documentation and tracking of unpaid patient invoices