Tim Schultz Email & Phone Number

Tampa/St. Petersburg, Florida Area

As the Relationship Manager for the Atlantic Region, my responsibilities are to understand and know the financial advisors' business models, provide review and approval of advisors' business transactions as required by FINRA, help Advisors resolve escalated issues, act as liaison between Advisors and the Home Office, and recognize opportunities to implement best practices within an Advisor’s day to day business.I am also responsible for conducting due diligence for and managing the firm's alternative investment platform.

• Branch Manager for 80+ offsite locations throughout the United States. Supervisory responsibilities included 20 separate bank relationships and 103 financial advisors with $4B in assets under management and $21M in production. • Reviewed branch activity including, but not limited to trade and correspondence suitability, checks, stock certificates, new account documentation, outside business activities, letters of authorization, and advertising submissions. In the case of infractions, determined course of action and coordinate resolution. • Conducted onsite examinations and help each branch streamline their compliance processes. Mentored each location on industry and firm policies and procedures. • Communicated program status with bank Program Managers on a regular basis. • Presented supervisory session to branch managers at Raymond James National Conference. • As the initial holder of this position, assisted leadership in defining roles, responsibilities and processes of the Principal role. Provided feedback and suggested path forward in support of expanding job responsibilities.

• Conducted reviews of outside business activities, Branch Manager trades, new accounts, and annuity cases for suitability. • Reviewed client correspondence for content and policy violations. • Streamlined process of the New Account Review by leveraging current databases. • Collaborated with the Compliance Department to monitor and coach branches under Heightened Surveillance and Supervision. Teamed with Compliance Department to resolve issues in a timely manner and create action plans as needed.• Conducted Home Office Supervision Services and acted as Branch Manager for branches temporarily without a branch manager. • Extended responsibilities led to development of Home Office Supervision Program.

St. Petersburg, Fl

• Responsible for regional Heightened Surveillance and Supervision Program. Responsibilities included but were not limited to investigating issues, submitting findings and presenting recommendations to Sales Management Team, planned and hosted quarterly reviews with Legal Team and leadership to discuss action plans for each branch in the program. • Graduated branches from Heightened Surveillance and Supervision Program through coaching and mentoring Branch Managers on firm policies and procedures as well as current industry and regulatory topics.• Teamed with Regional Compliance Officer, Assistant Regional Director, and Regional Director of Sales and Supervision to conduct due diligence for terminated branches. • Performed the role of Specialist for multiple regions when required, effectively teaming with two Regional Compliance Officers and four Regional Directors of Sales and Supervision, with no impact on customer support.• Performed branch examinations, developing working relationships with individual branches and educating them in compliance policies and procedures. • Trained 13 new Compliance Advisors through combination of hands-on office and field experience.