Michael Cutler Email and Phone Number

Served as a Manager of the Consolidated Reporting team, and led a team of 3-5 Supervisory Principals that supported LPL Financial advisors via multiple communication structures such as phone and email.● Inspired and engaged team members in a manner consistent with LPL Financials values. ● Provided customer service to Financial Advisors, their assistants, their clients, and LPL Financial internal business partners as it relates to LPL’s consolidated reporting policies.● Maintained knowledge about various products supported by LPL’s consolidated reporting policies and able to explain the differences between the products to advisors, clients, and internal business partners.● Ensured compliance with regulatory requirements and adapt to regulatory changes. Traders must be able to explain regulatory requirements and changes in requirements to Financial Advisors, clients, and internal business partners.● Guided Financial Advisors and their assistants through LPL Financial processes and system platforms as they relate to LPL’s consolidated reporting policies. Assist with system and operational issues as well as assisting with system enhancements and upgrades.

As Supervisory Principal worked on completing front-line supervisory tasks on a daily basis and reporting potential consolidated reporting policy concerns to the Regional Supervisory Principal.● Provided consultative support to clients, addressing inquiries and concerns regarding compliance and regulatory requirements.● Maintained awareness across internal departments of investigations, escalations, and emerging risks involving advisors and OSJs.● Demonstrated strong attention to detail, problem-solving skills, and ability to make regulatory and supervisory-based decisions in a fast-paced environment.● Developed compliance systems and strategies for effective supervision, ensuring adherence to Service Level Agreements and regulatory guidelines.

Provided customer service to Financial Advisors, their assistants, their clients, and LPL Financial internal business partners as it relates to Mutual Fund, UIT and Precious Metals trading and trade corrections.● Maintained knowledge about various products supported by the Mutual Fund trade desk and able to explain the differences between the products to advisors, clients, and internal business partners.● Identified, researched, and solved trading related problems as requested by advisors and internal personnel.● Guided Financial Advisors and their assistants through LPL Financial processes and system platforms as they relate to Mutual Fund, UIT and Precious Metals trading and trade corrections. Assist with system and operational issues as well as assisting with system enhancements and upgrades.● Completed principal review of Mutual Fund trade processing to ensure compliance with regulatory requirements.● Collaborated with internal business partners to resolve issues, escalations and adapt to process changes.● Identified and implemented ways to make processes more efficient and document procedural changes.

Primary role was to work with internal departments and external firms to resolve discrepancies regarding mutual fund trade settlements.● Researched trade related issues through internal systems, online tools, and phone calls to fund companies.● Identified and implemented ways to make processes more efficient and document procedural changes.● Cross-trained with team members and performed as back up in their absence.