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@9258wealth.com
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Tom Finley is listed as Vice President Director Of Operations at 9258 Wealth Management, based in Cincinnati, Ohio, United States. AeroLeads shows a work email signal at 9258wealth.com and a matched LinkedIn profile for Tom Finley.
Tom Finley previously worked as Vice President Investment Advisory Surveillance at Huntington National Bank and Private Client Group Relationship Manager at Pnc. Tom Finley holds Bachelor Of Science, Finance from Miami University.
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I love creative problem-solving.Throughout my career I have had different titles, but the bottom line of all of them is problem-solving. As an Operations Manager and Service Manager my greatest passion was for finding solutions to complex client-related opportunities. As a Financial Advisor and Portfolio Manager my attention was always on the client achieving whatever their financial goals were by looking for opportunities within their strategies and any help we could get from the financial markets. Recently I have had the opportunity to work with a large regional bank as an Investment Advisory Surveillance manager as they transition their investment business focus to Investment Advisory business. Building the programs from the ground up, establishing guidelines and using creative, systems-based problem-solving, including building all Senior Management reporting and monthly monitoring for this business, is invigorating. Identify an opportunity for improvement, determine the root cause, find a solution, build a new process, establish reporting to monitor...what could be more fun? (Yes, I have been called a geek.)My close-second greatest passion in business is helping others reach their goals and have a greater understanding of their piece of the business puzzle. As a teacher, mentor and leader I love seeing others come to a greater understanding of what they are doing, why they are doing it, seeing the big picture and buying into the strategies that will help the company succeed.I have enjoyed many executive positions throughout my career in finance and banking. These experiences have all taught me that you have to dig to find out where opportunities for improvement start, but that there is always a solution to be found! I have also learned that decisions are not made in a vacuum, so coordination of all parties is critical to success, but final decisions are sometimes difficult and the buck always stops with me! I am not afraid of being "That Guy".Please reach out to me if you would like to discuss any opportunities for process enhancement or problem solving, with a focus on team-building and pushing your team to the next level.Professional Licensing:FINRA Series 7 and 66, FINRA Supervisory licenses 9 and 10, Insurance licenses
Listed skills include Leadership, Financial Advisory, Team Building, Banking, and 16 others.
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Cincinnati Metropolitan Area
Responsible for all operations and compliance for 9258 Wealth Management, a Registered Investment Advisor in Cincinnati, OH. This fast-growing firm is focused on personal and corporate wealth management along with offering professional tax services through multiple locations.
Columbus, Ohio Area
Built a surveillance and supervision team of direct and indirect reports from various departments to establish new guidelines, policies, procedures, monitoring and reporting. Turned the Investment Advisory business into one of the main focuses of Huntington Financial Advisors.· Developed 10 new tracking reports using data-analytics to identify gaps in account supervision. This led to 7 new corporate policies and control tests to monitor new account set-up, existing-account tracking and surveillance of advisor sales patterns.· Used advanced Excel capabilities to integrate reporting into tracking and notification systems. After implementation of all new policies there were no findings (ERMS) on any Control Tests run on the processes and procedures. · Created a Senior Management Dashboard for reporting/tracking patterns and increased the usage of a new notification system (BPM) for advisors and their teams. Established new trend analysis processes and dashboards.· Identified and Remediated over-charges for fees charged in error on uninvested.cash balances in managed accounts.· Coached and mentored operations employees on the importance to the firm of their daily functions and contributions. Their increased efficiency resulted in increased productivity.· Monitored all systems for compliance with existing policies and procedures along with existing regulations while also rebuilding basic operations processing workflow.· Responsible for all trade error corrections and remediation of client accounts in the investment advisory (managed account) space.· Expanded the primary liaison relationship between Huntington Financial Advisors and Envestnet/National Financial Services by establishing a bi-weekly dialogue on open issues.· Chosen to be a member of the Envestnet National Advisory Council. Participated in strategic planning meetings to set direction and give guidance for future enhancements.· Primary liaison for 2019 audit of Investment Advisory accounts.
3160 Dayton-Xenia Road, Beavercreek, Oh 45434
Assist affluent clients with financial solutions that include partnerships with banking, lending and investments. The Private Client Group program was eliminated at PNC Bank effective October, 2018.
Beavercreek, Oh
Financial planning, client-centric investing and portfolio management with a team-based approach.
Dayton & Cincinnati, Oh, Edgewood, Ky And Indianapolis, In
Responsible for all operations and support staff supervision for multiple branches within the region. Served as the branch liaison with Senior Management and all back-office departments for complex problem resolution and new systems implementation. Managed processes of all operations workflow while growing from a single branch in Dayton to a multi-state Complex of branches and rebuilding the operations structure, training branch support personnel in all aspects of the new technology-based processes and overseeing all audit processes.• Supervised a staff of 50+ sales support individuals within a 4 office/3 state complex – includes Training, Human Resources and physical plants.• Managed daily operations of accounting, trading and compliance for all Complex branches.• Audit manager for all branches within the Complex, including Book and Records responsibility.• Supervising signatory for Compliance review of all account trading and operational reporting.• Oversaw all client services and support, training, computer operations, staffing, management, reviews, accounts payable, logistics, supplies and office equipment.• Reviewed budget and expenses and implemented cost-saving opportunities.• Completed conversion of computer systems and all operational processes.• Project Manager for all construction, closing and consolidation of branches within the Complex.• Built two separate rolled-up Complex operations centers within 9 months as Complexes shifted.Series 7, 9, 10 & 66Life, Health and Variable Insurance Licenses
Quick answers generated from the profile data available on this page.
Tom Finley works for 9258 Wealth Management.
Tom Finley is listed as Vice President Director Of Operations at 9258 Wealth Management.
AeroLeads has found 1 work email signal at @9258wealth.com for Tom Finley at 9258 Wealth Management.
Tom Finley is based in Cincinnati, Ohio, United States while working with 9258 Wealth Management.
Tom Finley has worked for 9258 Wealth Management, Huntington National Bank, Pnc, and Morgan Stanley.
You can use AeroLeads to view verified contact signals for Tom Finley at 9258 Wealth Management, including work email, phone, and LinkedIn data when available.
Tom Finley holds Bachelor Of Science, Finance from Miami University.
Tom Finley is listed with skills including Leadership, Financial Advisory, Team Building, Banking, Public Speaking, Human Resources, Retirement Planning, and Portfolio Management.
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