Tom Harms

Tom Harms Email and Phone Number

Wealth Management Supervision @
Tom Harms's Location
New York City Metropolitan Area, United States, United States
Tom Harms's Contact Details
About Tom Harms

I have a strong track record of executing successful business transformations and extensive global experience. I'm Culturally astute, with proven successes in building, developing and leading high performance teams. Tech savvy, analytical thinker with strong problem solving and planning skills. Demonstrated ability to implement global business objectives, deliver measurable results; improving client relations while increasing transparency and control. Deep experience in Wealth Management Business & Operational risk management and International Branch Risk management.Expertise: -Developing & managing spans of control within Wealth Management platforms. -Leading and executing change management efforts.-Reorganization & Turnaround Management-Program design and implementation-Government & Regulatory intelligence-Enterprise Operational Risk o Fully licensed securities supervisor.FINRASECSFAHKSFC

Tom Harms's Current Company Details
TKHarms

Tkharms "& Company

Wealth Management Supervision
Tom Harms Work Experience Details
  • Tkharms
    President
    Tkharms "& Company Jul 2023 - Present
  • Summit Trail Advisors
    Partner, Chief Operating Officer
    Summit Trail Advisors Feb 2016 - Jul 2023
    New York, Ny, Us
    Summit Trail is an investment-focused independent wealth management boutique with offices in NY, Boston, Chicago and San Francisco. We leverage leading research providers and our own in-house research team to design investment solutions while sourcing unique, highly specialized investments. As a member of the management team, I lead the day to day business operations; with direct responsibility for operations, risk, compliance, vendor management and administration.
    View
  • Owner, Tkharms & Co. Consulting
    Sole Proprietor
    Owner, Tkharms & Co. Consulting Dec 2015 - Feb 2016
    Risk & Compliance Consulting for Wealth Advisors.Deep experience in managing and mitigating top risks for Advisors.Focus on controls in CyberSecurity, Diminished Capacity and Business Continuity.
  • Fidelity Institutional Wealth Management
    Senior Vice President
    Fidelity Institutional Wealth Management Aug 2011 - Nov 2015
    Boston, Ma, Us
    Senior Officer in Fidelity's Institutional Wealth Services, leading the Risk and Compliance Practice Management and Consulting effort for Independent Advisors while working on development of Advanced Wealth Ventures; delivering comprehensive solutions for Private Wealth and Private Banking teams seeking independence.
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  • Morgan Stanley Smith Barney
    Managing Director
    Morgan Stanley Smith Barney 1986 - Aug 2011
    New York, Ny, Us
    Led the Operational Risk Program for the Global Wealth Management Division. Coordinated all Operational Risk reporting and mitigation for the Retail Division. Direct responsibility for risk staff in the U.S. Branch network.
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  • Morgan Stanley Smith Barney
    Branch Administration Private Wealth Mgmt
    Morgan Stanley Smith Barney Sep 1986 - Jun 2003
    New York, Ny, Us
    Senior Manager leading Adminsitrative and Risk Management in the boutique UHNW Division. Coordinated and led the global efforts in managing risk throughout the Private Wealth offices.
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  • Morgan Stanley Smith Barney
    Administration
    Morgan Stanley Smith Barney 1996 - 2000
    New York, Ny, Us
    Private Wealth Management Risk and Compliance
    View

Tom Harms Skills

Risk Management Finra Series 24 Private Wealth Management Options Series 3 Series 65 Wealth Management Wealth Management Services

Tom Harms Education Details

  • Seton Hall University
    Seton Hall University
    Communication
  • Virginia Military Institute
    Virginia Military Institute
    Bs

Frequently Asked Questions about Tom Harms

What company does Tom Harms work for?

Tom Harms works for Tkharms "& Company

What is Tom Harms's role at the current company?

Tom Harms's current role is Wealth Management Supervision.

What is Tom Harms's email address?

Tom Harms's email address is to****@****ail.com

What is Tom Harms's direct phone number?

Tom Harms's direct phone number is +121281*****

What schools did Tom Harms attend?

Tom Harms attended Seton Hall University, Virginia Military Institute.

What skills is Tom Harms known for?

Tom Harms has skills like Risk Management, Finra, Series 24, Private Wealth Management, Options, Series 3, Series 65, Wealth Management, Wealth Management Services.

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