Tim Mcdowell Email & Phone Number

Madison, Wisconsin, Us

* Revamped Broker-Dealer Compliance program, including policies, procedures and manuals.* Executed new FINRA membership agreement for ETF distribution through the Rule 1017 Continuing Membership process.* Delivered consecutive successful FINRA examinations.* Conduct ongoing reviews of Investment Advisory and Broker-Dealer marketing and communications efforts.* Review and file Firm's financial statements with regulators.* Serve as Firm's Operations Professional and Anti-Money Laundering Officer* Train staff on regulatory matters* Interpret and implement regulatory changes, including the 2022 SEC Marketing Rule* Upgraded firm's software solutions for Compliance needs.Disclosure: This is my personal LinkedIn page and is not sponsored or maintained by Madison Investment Advisors or its affiliates.

Lansing, Mi, Us

* Managed a team of 13 that produced seven consecutive years of successful regulatory examinations.* Oversaw the Surveillance, Advertising and Registration functions for the firm, including non-cash compensation, anti-money laundering, risk management, social media, email and marketing review.* Served on multiple committees and working groups, including Department of Labor and advisory annuity programs.* Communicated with state and federal regulators to resolve inquires, reviews and complaints.* Served as firm's Anti-Money Laundering Officer.* Expanded the firm's use of technology related to social media, electronic communications and personal investment monitoring.* Completed the FINRA Materiality Consultation process to expand the firm’s supervisory capacity. * Provided Compliance support to executive management and fellow department heads.* Presented to the firm's board, management and sales teams.

* Led marketing efforts to identify and recruit qualified representatives.* Supervised the activities of branch offices, registered representatives and investment advisory representatives.* Reviewed all options-related transactions for the firm.* Completed the FINRA Rule 1017 process for a material change related to the growth of the company. * Assisted associates with regulatory filings, including Forms U4 and U5 updates.* Performed various compliance and supervisory tasks similar to previous role.

* Performed on-site examinations of branch offices.* Reviewed equity and option transactions for branches and clients nation-wide.* Worked with Information Technology Department to maintain firm's email review and archival program.* Communicated with firm and opposing counsel to review and resolve customer disputes.

Omaha, Ne, Us

* Assisted customers with stock and option purchases and sales.* Served on firm's Initial Public Offering team and contacted eligible customers regarding related investments.* Processed account applications for new customers.

* Managed Records Retention on all Trust accounts.* Worked on large estate, foundation, portfolio management, retirement, agencyand farm management accounts.* Assisted both business and individual clients with various financial transactions

Bachelor Of Business, Finance

Associate Of Arts (A.A.)

Associate Of Science (A.S.)