Thomas Elliot Email & Phone Number

Portland, Or, Us

Portland, Oregon, Us

Portland, Oregon, Us

Head of the Investment Advisory platform. Manage an advisor & client support team, partner with Compliance and Supervision, and supported BD and RIA strategic planning. Responsible for management of critical partner relationships and oversee the Wealth Solutions annual budget, expense, and forecasting processes.- Managed an advisory platform with three focuses: Advisor Directed, Fund Portfolios, and SMA/UMA programs.- Responsible party for custodian relationships and advisory platform partners: Pershing, Pershing Advisor Solutions, Schwab, and Envestnet.- Lead negotiations for new pricing and contracts- Inform Compliance/Supervision Policy, manage advisory agreements, support ADV updates.- Manage Investment Advisory billing- Voting Member of the Product Committee responsible for reviewing due diligence materials on complex products.

Portland, Oregon, Us

My team serves as the middle office between M Securities branches across the country and our critical investment business partners. The Investment Operations team functions include: Trading, Margin, Asset Movement, Transfers, New Accounts, IA Billing, and IA Support/Service. - Primary operational contact for our critical business partners including: Pershing LLC (BD/RIA Custody), Pershing Advisor Solutions (RIA Custody), Schwab (RIA Custody), and Envestnet (RIA Platform).- Developed a metric focused, high performing operations team focused on cross-trained individuals- Implemented Sprint project management for a continuous improvement focus- Serve on several committees including: Product Committee (prev. Interim Chair), Advisory Services Committee (Chair), Risk Committee, and AML Committee- Regularly partner with Supervision and Compliance to improve operations, supervisory practices, and draft updated client documents/agreements

Portland, Oregon, Us

Manage the annual budget and forecast processes, technology contracting review and implementation, and contribute to short and long term planning for M Holdings Securities through the development of financial models, vendor management, and other ad-hoc analysis.- Lead annual budgeting and forecasting efforts in concert with the Finance team; produce and review actuals, variance and forecast analysis with senior management team- Use financial analysis, data, and/or other systems to reduce costs, obtain improved information and drive the decision making process across M Securities- Lead or contribute to negotiations with vendors, custodians, and business partners.

Portland, Oregon, Us

Responsible for day-to-day processing of technical brokerage and investment advisory account servicing requests. Working in a team environment, act as middle-office support liaison between M Securities, Pershing and Envestnet. Use a broad base of knowledge in Operations, Compliance, and Supervision to provide excellent service directly to advisors and clients. - Served as a project manager on cross-team projects including implementing Zendesk for compliance/supervision workflows and ServiceDesk for Trading Services workflow.- Provided Advisor support for Albridge, managed the system, and served as lead contact for Albridge relationship.- Developed reports and established SLA's for team workflow.- Managed and review of policy and procedures.

Bellevue, Wa, Us

Bachelor’S Degree, Finance

Bachelor’S Degree, Business Administration - Entrepreneurship

Certificate, Project Management

Chfc/Cfp Coursework (In Progress)