Torian Johnson Email & Phone Number

Largo, FL, US

Greater Tampa Bay Area

Built business from ground-up while expanding number and variety of customers and establishing long-term growth and marketing strategy. Utilize vast and varied financial experience to already double number of initial patrons and re-invest in growth of company.

Clearwater, Florida, United States

Responsible for the administration and oversight of the compliance program for SEC registered Investment Advisor. Utilize knowledge and experience to ensure adherence to regulatory requirements, while providing guidance and support to our independent advisor network.

Lake Mary, Florida, United States

Oversaw implementation and execution of firm’s day-to-day compliance activities for 2 RIA’s one of which being dually registered as a BD. Identifying and mitigating risk, creating and testing controls and processes, and customizing a program that adheres to Federal and State Securities Law testing/execution of remediation reports, and registration and.

Lake Mary, Florida, United States

Focused on the firms 2 RIA’s, this role was not limited to, but included administration of the firms Advisory Compliance program. Implementation and development of a new Retirement Plan Robo Advisor, review and oversight of the Investment Advisory Compliance Manual, Code of Ethics, ADV’s, Advertising and Marketing, and Branch Examination programs.

Sarasota, Florida, United States

Right hand to the Chief Compliance Officer. Executed the firms compliance program, reporting and escalating issues and concerns to the CCO. Revamped the branch examination program and implemented a turnkey recordkeeping solution for branch files, which led to decreasing the average audit deficiency by more than double.

St Petersburg, Florida, United States

Provided Branch Manager support for independent offices, totaling more than 1000 advisors. Acted as a segregate In the absence of Branch Managers, reviewing and signing documents and agreements and provided general Branch Manager oversight. Monitored trade and wire activity, investigated suspicious money movement activity, and conducted.

Tampa/St. Petersburg, Florida Area

Second in command behind the CEO, oversaw sales for the entire company. Built relationships with existing and prospective clients, developed and executed marketing strategies, researched and developed new and existing products.

St Petersburg, Florida, United States

Conducted 100+ onsite branch audits for both new and tenured independent branch offices. Ensure adherence to regulatory rules and company ethics. Provided advisors insight and analysis for corrective measures stemming from examinations, ways to mitigate risk and exposure and communicate best practices and industry trends.

St Petersburg, Florida, United States

Researched and reviewed performance data in clients’ accounts to determine time-weighted/dollar-weighted return. Updated client cost basis and providing fact-based reasoning for movements greater than anticipated.

St Petersburg, Florida, United States

Graphed and predicted gains and losses on reinvestments utilizing the Trading Department, Bloomberg Financial, and Department Trust Clearing Corporation (DTCC). Purchased and allocated shares for accounts designated for reinvestment.