Vince Larosa Email & Phone Number

• Implements changes to firm policy via feedback and various analytics of WSPs, AML Compliance & Supervisory Procedures, and Code of Ethics, and insures supervised and employee persons adhere with requirements set forth under these programs • Analyzes current capacity and delegates oncoming financial advisors to designated Home Office Principals, based on evolving models of metrics and capacity related to new account openings, trade blotter approvals, email review and escalations • Coordinates with home office staff and branch managers to document, review, and follow-up on items that are past due, and creates reports to facilitate coordinated efforts to remedy past due items • Collaborates and escalates issues with financial advisors, regional and branch managers, internal operations, and varying other business units to gather and analyze data and present recommendations for optimization • Approves complex product related activity, including option agreements, 529 account opening and investments, structured product investments, fixed and variable annuities, structured notes, IPO allotments, and managed account conversions • Maintains ongoing positive relationships with supervised persons and senior personnel in various departments, acting as a subject matter expert, providing education, and regulatory support as needed

St Louis, Missouri, United States

• Supervisor of 22 Stifel branches, ensuring Stifel policies and procedures comply with FINRA and SEC regulations in branches• Approves client activity such as new accounts, option agreements, structured product investments, IPO allotments, managed account conversions and client profile updates• Review outgoing and incoming client correspondence, verifying proper disclaimers and business appropriate language is used, and determining any incoming contact as complaints• Monitors and approves employee activity, such as second party check deposits, outside business activities and gift requests• Investigate financial advisor and client activity, in regards to suitability and SEC regulations such as churning, excessive commission, Reg BI, and concentration concerns. • Processes, verifies and submits large third party financial transactions, diligently reviewing for fraud and malpractice

St. Louis, Missouri

- Thorough application of stocks, options, mutual funds, margin, and market regulations to assist investors seeking to place trades and manage accounts.- Manage risk between firm, client, and assets by utilizing awareness and independent judgment to report suspicious activity, fraud, and unauthorized attempts to gain access to clients’ accounts - Lead Problem Solver, analyze root causes of observed issues, and identifies measurable impacts and effectiveness of solutions- Better Way Liaison, implement solutions for lower call volume, learning and development, account security, and mentor for new hire trainees - Head Trader, coordinate with managers to provide in-depth meaningful trading solutions and increased client satisfaction and ease of business- Identify areas of improvement and feedback to direct supervisor in regards to the team performance, efficiency, morale, and solutions for increased productivity

Festus, Mo

• Provided nutritional counseling and guidance concerning the most optimized product for clients of various backgrounds• Worked with manager to help establish a budget and replace gym equipment with regards to client feedback

Herculaneum

• Oversaw facility of 100 plus residents by identifying disengaged residents and producing individualized activity plans • Partnered with licensed Physical and Occupational Therapists, coordinating physical rehabilitation sessions to enhance recovery and daily function

Fenton Mo