Robert Handley Email & Phone Number

•Supervised 200+ Linkedin profiles to ensure compliance with both FINRA and firm policy.•Conducted 120+ annual compliance reviews of representatives to ensure proper business practices and file-retention policies are followed.•Inspected detached offices semi-annually to ensure adherence to firm guidelines.•Reviewed sales material for the firm.•Approved incoming and outgoing correspondence for the OSJ/detached offices daily/monthly.•Reviewed and approved new account documents.•Assisted with new hire training by presenting compliance requirements in training classes.

•Acts as the OSJ Delegate for the branch functioning as the on-site Branch Manager. •Signs processed paperwork as Branch Manager or Registered Principal.•Reviews and approves daily trade blotter for suitability including Annuity orders.•Reviews and approves email correspondence to detect possible customer complaints.•Submits advertising transmittals to Advertising Compliance for review.•Maintains required Branch Office Compliance Files.•Responsible for processing all paperwork and forms for new recruits.•Transitions new recruits into their new role through LPL/Northstar

Glen Allen, Virginia, Us

•Provided customer service to Genworth Securities Brokers and Clients serving as a resource in required paperwork, compliance issues, and day to day maintenance of client accounts.•Responsible for placing trades in stocks, bonds, mutual funds, and options for all of Genworth Financial Securities. Also acted to resolve trade errors, corrections, rebilling, etc.•Acted as Registered Rep in Charge when supervisors are not on site.•Supervised and resolved issues regarding rejected transfers, credit violations, and generally all other ACAT related issues.•Evaluated and signed Replacement/Switch forms pertaining to pending orders.•Identified and cleared insufficient funds checks presented for payment daily.•Instructed newer team members in policies and procedures.•Handled Client Suitability issues and other projects as required.•Tracked incoming account debits and notifies individual Reps in a timely manner.

Philadelphia, Us

Financial Consultant•Opened new accounts through a variety of sales techniques such as cold calling and seminars. Sales Assistant •Managed daily back office functions in addition to correspondence, problem solving, client relations, interoffice relations and other tasks. Order Entry Clerk•Handled Broker’s trade order entry and trade corrections for a wide variety of financial products such as Stocks, Bonds, and Mutual Funds.

Los Angeles, California, Us