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.
• 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.
• 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.
• 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.

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