Robert Weathers Email and Phone Number

Caregiver during family member’s illness, which included navigating the Covid pandemic. Renovated, managed, and sold family investment properties. Family member passed away.

Led a team of twelve Registered Principals who reviewed and approved marketing, advertising, public relations, media, and social media content. Managed the software vendor relationship and directly negotiated the contract for RegEd enterprise advertising review, one of the systems most commonly used by the entire firm.Reviewed and approved marketing and advertising communications in accordance with firm policy, FINRA 2210, and the Investment Advisory Act of 1940.Trained and mentored 50+ help desk & communication supervision employees (Chennai, India, Salt Lake City and New York) in software applications, problematic communications, and firm policies/procedures. Reduced costs by 5-10% annually through vendor contract negotiations and department budget adjustments.Streamlined the news-media-appearance approval process from hours to fifteen minutes, resulting in getting to “yes” faster and increasing firm media appearances by over 300%.Created and presented public appearance / communications risk training to groups of 150-200+ employees in person, virtually, and via conference calls.Generated project routing reports that identified stall points, then spearheaded policy, IT, and process changes, increasing efficiency by 30-50%.Designed and launched the modern social media risk processes for 16,000+ sales employees and the firm resulting in the location and destruction of firm impersonation social media accounts and the creation of thousands of approved social media accounts (Facebook, Twitter, and LinkedIn).Wrote responses to SEC, FINRA, and state regulator inquires relating to firm communications.Helped to interpret and resolve internal audit findings for Branch Offices.Participated in the annual FINRA and SIFMA conferences.Assisted the control room with insider trading communications supervision.Vetted employee promotions, awards, public recognitions, and media appearances.

Supervised, reviewed, and approved financial marketing materials to ensure compliance with regulatory and internal policies. Promoted in under three years to manage the department due to demonstrated leadership skills.Reduced approval turnaround time from weeks to within three days (often same day). Reviewed and approved technical analysis, Portfolio Management (WRAP), retirement, insurance, and product-specific materials (Alternatives, Structured, Annuities, Equities, & Fixed Income).Trained firm employees in FINRA 2210 and the Investment Advisor Act of 1940.Rolled out RegEd’s Adtrax and improved performance of the program.

Supervised 30 Branch Managers' production within the Central Region (IL, IN, & WI), reported to the Regional Director, and assisted with branch audits.Reduced turnaround time from hours to minutes by promptly approving large trades, large wires, commodity trades, large money transfers, new accounts, employee trades, outside business activity requests, compliance exception reports, and resolved AML issues. Reviewed and Approved financial marketing materials for seminars, pitch books, biographies, and general correspondence.Handled high value complaints directly, served as the business representative in arbitration proceedings, and helped reduce costs of litigation.Conducted branch visits, assisted Financial Advisors, Branch Management, and Staff with risk management issues.

Supervised eight Auditors and Surveillance employees, approved audit reports, trained branch employees, and conducted compliance surveillance.Promoted from officer to supervisor in one year due to excellent audit reports and positive training feedback from branch personnel.Designed reporting to monitor portfolio allocations against investment objectives and calculated risks using standard deviation and beta.Surveilled branch correspondence, marketing, and advertising for policy violations.Audited branch offices across the US and prepared detailed audit reports.Created loss, mutual fund timing, large B share, velocity, and trading ahead reports.Collaborated with Management and IT to fast track entitlements for the Prudential merger control center.

Supervised 40 stockbrokers, approved equity/option trades, and trained employees.Promoted from broker to management within 8 months due to exceptional option trading skills, excellent client service, and zero trading error loss.