R Scott Miller, Cfp®, Iaccp® Email & Phone Number

St. Louis, Missouri, US

• Initially hired as Interim Chief Compliance Officer and then transitioned to permanent role overseeing Larson Financial Group, LLC and Larson Financial Securities, LLC, later, added as CCO Larson Capital Management.
• Act as Financial and Operations Principal (“FINOP”) for Introducing Broker Dealer
• Research, negotiate and implement new compliance technology
• Consult and advise other company executive leaders on various compliance-related topics
• Liaise with auditing companies and regulatory agencies overseeing audit processes and ensuring resolution of any findings
• Function as Compliance Officers / Analyst, and supervise senior leadership who manage teams within each organization

St. Louis, Missouri, US

St. Louis, Missouri, US

• Key Focus:
• Lead Supervision Department and managed Branch Office Support staff in newly developed hybrid compliance and staff management roleo Conduct suitability review of new business including: Securities, Private Placements.
• Implemented KPIs and tracking regarding quality and efficiency for reviewing New Business product lines and sales production of Team Support staff
• Used Lean Six Sigma Principals to build out and implement new Supervisory Procedures needed for the launch of a new portfolio management platformExpertise Utilized:
• Team Leadership, Training / Mentoring / Coaching, Hiring / Termination, Office Supervision, Process Improvement, Lean Six Sigma, Financial Industry, Data / Metrics / Reporting, Compliance / Regulation, Budget.

St. Louis, Missouri, US

• Key Focus:
• Oversee advisor fellowship / apprenticeship process and producer support staff training
• Develop and implement education, training and coaching curriculum for advisor staff
• Co-oversee key metrics / KPIs for sales, provide feedback and reporting
• Supervise sales team trainers for consistency in quality of training and content
• Oversee the Financial Planning Committee whose role is to evaluate and recommend MoneyGuidePro® financial planning software assumptions and strategies, as well as evaluate other planning tools, and implement processes.

St. Louis, Missouri, US

• Key Focus:
• Hired as Lead Advisor to provide sales and financial planning training for new advisors
• Developed departmental training materials
• Act as an advanced markets resource to all advising teams
• Developed the Student Loan division including all planning calculators and deliverables, as well as trained the Student Loan Consultant; this division was eventually merged into a new company called Doctors Without.
• Training / Mentoring / Coaching, Office Supervision, Process Improvement, Financial Industry, Data / Metrics / Reporting, Compliance / Regulation

St. Louis, Missouri, US

• Key Focus:
• Marketed to and provided fee-based comprehensive financial advisory services to physicians including all financial aspects of a physician’s life to address everything from spending and home purchases to investment.
• Implemented insurance and tax efficient investment strategies per client needs
• Implemented portfolios utilizing Dimensional Fund Advisors (DFA) funds, tax efficient asset placement strategies and employing annuities and variable life insurance strategies
• Mentored new Financial Advisors and had 1 Direct Report in Client ServicesExpertise Utilized:
• Team Leadership, Training / Mentoring / Coaching, Hiring / Termination, Process Improvement, Financial Industry, Data / Metrics / Reporting, Compliance / Regulation, Budget Management / Forecasting, Sales, Business.

US

Fairview Heights, IL, US

• Key Focus:
• Personally Held Residential Real Estate InvestmentExpertise Utilized:
• Entreprenuer, Marketing, Goal Planning, Process Improvement, Finance, Investment, Budgeting, Forecasting

Minneapolis, MN, US

• Key Focus:
• Marketed to and provided fee-based comprehensive financial advisory services; to include all financial aspects of a person’s life to address everything from spending and home purchases to investment, insurance needsKey.
• Received the Mercury Sales Award in 2005; recognized for $22,000 TOS GDC and 14 Financial Planning clients within 5 months of appointment
• Served as the Advisor Coach from 2005 - 2006; trained and developed new advisorsExpertise Utilized:
• Sales, Business Development, Marketing, Consulting, Financial Planning, Training / Coaching / Mentoring, Budgeting, Forecasting

Washington, DC, US

• Key Focus:
• Gas Turbine Systems Technician (Mechanical)Key Results:
• Navy/Marine Corp Achievement Medal (2)
• Meritorious Unit Commendation
• Navy Good Conduct Medal
• National Defense Service Medal