Thaddeus Crass Email & Phone Number

Detroit, Mi, Us

United States

Effectively facilitated and oversaw compliance, advisory business and day to day operations in the state of Michigan and Ohio for Prudential.• Collaborated with financial advisors, home office, and executives to streamline communication and decision-making processes, resulting in more efficient client support and improved business outcomes.• Coordinated disciplinary actions both internally and externally, effectively resolving complex compliance and operational issues, which led to… Show more Effectively facilitated and oversaw compliance, advisory business and day to day operations in the state of Michigan and Ohio for Prudential.• Collaborated with financial advisors, home office, and executives to streamline communication and decision-making processes, resulting in more efficient client support and improved business outcomes.• Coordinated disciplinary actions both internally and externally, effectively resolving complex compliance and operational issues, which led to improved adherence to regulations and enhanced organizational integrity.• Conducted thorough research and documented responses to compliance challenges, resulting in effective resolutions and strengthened internal processes.• Managed compliance audits and worked with regulators, including the SEC, FINRA, and state authorities, to resolve issues, ensuring successful examination outcomes.• Reviewed and approved marketing materials, websites, and DBAs for financial professionals, ensuring compliance and brand consistency.• Trained and educated financial professionals on policies, procedures, systems, and marketing, enhancing their operational efficiency.• Oversaw the firm's budget, optimizing financial planning and resource allocation.• Directed as project manager for policies, procedures, compensation, and systems, driving improvements and operational success. Show less

Fort Wayne, Indiana Area

Coordinated and oversaw many areas of the broker dealer including but not limited to Compliance, Operations, Trade Desk, Suitability, Call Center, including hiring, training and educating staff.• Handled complex compliance and operation issues when they arise, and if needed research, respond and take appropriate action, documenting the results.• Collaborated with regulators, including the SEC, FINRA, and state authorities, to address exam-related issues, resulting in improved… Show more Coordinated and oversaw many areas of the broker dealer including but not limited to Compliance, Operations, Trade Desk, Suitability, Call Center, including hiring, training and educating staff.• Handled complex compliance and operation issues when they arise, and if needed research, respond and take appropriate action, documenting the results.• Collaborated with regulators, including the SEC, FINRA, and state authorities, to address exam-related issues, resulting in improved compliance and successful regulatory outcomes.• Supervised projects for policies, procedures, compensation, and systems, enhancing operational efficiency across the organization. Show less

Rock Island

Directed the Operations, Compliance, Investment Advisory, Accounting, Risk Management, Marketing, IT, Call Center, Due Diligence, Registration, and Commission departments.• Instrumental in building a financial service field force to more than 1000 financial representatives with an increase in AUM each year, increasing the parent companies AUM substantially.• Created, managed and oversaw the annual budget, always coming within less than 1% of budget while reducing… Show more Directed the Operations, Compliance, Investment Advisory, Accounting, Risk Management, Marketing, IT, Call Center, Due Diligence, Registration, and Commission departments.• Instrumental in building a financial service field force to more than 1000 financial representatives with an increase in AUM each year, increasing the parent companies AUM substantially.• Created, managed and oversaw the annual budget, always coming within less than 1% of budget while reducing expenses.• Managed net capital for the broker-dealer, ensuring compliance with regulatory requirements and maintaining financial stability.• Collaborated with regulators and auditors, including the SEC, FINRA, and state authorities, to resolve issues and conduct exams with minimal deficiencies, resulting in enhanced trust and regulatory relationships.• Developed an auditing program and established firm element and annual compliance requirements for financial professionals and internal departments, improving overall compliance and operational efficiency.• Conducted any disciplinary actions both externally and internally, resolved complex compliance and operation issues when they arose, and if needed, employed the following steps: research, respond and take appropriate action documenting the results.• Regulated compliance audits and marketing presentations with the field force.• Implemented strategic short-term and long-term planning for the firm, the insurance company, and multiple reporting departments, driving alignment and achieving organizational goals.• Analyzed, wrote, reviewed and signed off on reports as officer of the firm.• Educated, trained and marketed to the 1000+ field force representatives on an ongoing basis.• Negotiated contracts and worked as relationship manager for all outside vendors and partners.• Influenced departments by leading, planning and effectively managing the many changes in today’s constantly changing environment and regulations. Show less

Appleton Wi

• Responsible for effective operations management of day-to-day business• Integral part of increasing sales and AUM from less than $1 billion in assets to over $10 billion• Instrumental in building a field force from less than 200 to more than 1500• Manage the compliance area and create the policies, procedures and best practices for the broker/dealer• Harmonize the internal and external policies and procedures • Design and put in place the auditing of the financial… Show more • Responsible for effective operations management of day-to-day business• Integral part of increasing sales and AUM from less than $1 billion in assets to over $10 billion• Instrumental in building a field force from less than 200 to more than 1500• Manage the compliance area and create the policies, procedures and best practices for the broker/dealer• Harmonize the internal and external policies and procedures • Design and put in place the auditing of the financial representatives and worked with the regulators in determining best practices. • Oversee the conversion from the NFS platform to the Pershing platform, which increase business by 50% to $50 million in sales• Coordinate, plan and monitor the implementation of strategies in different departments to assure best results Show less