Wesley Bean, Cfa Email & Phone Number

Marysville, Ohio, US

• Creation, implementation and monitoring of all investment models on the Managed Account Platform.
• Placement of all trades and execution of Commonwealth Model Management Program.
• Communicate periodic investment & economic themes to advisors and clients.
• Provide quarterly investment commentary for newsletter.
• Hold monthly investment committee meetings with advisors.
• Performance tracking of investment allocations and development and ongoing comparisons to relevant benchmark.

US

• Director of the Suitability and Trading Team, responsible for the suitability review process of all new business, including fixed and variable annuities, variable life, managed accounts, financial plans, mutual funds.
• Decreased average time to process a new business case by 27% with 13% higher business volumes. This resulted in member funds getting to market 1-2 days faster.
• Integral in implementing SunGard’s Customer OnBoard, the Broker/Dealer’s largest technology investment to date. This resulted in not-in-good-order paperwork decreasing to under 10%, allowing a deeper focus on.
• Wrote, and manages and executes policies and procedures to remain in compliance with laws and regulations in the Customer OnBoard environment.
• Successfully navigated the Home Office OSJ through the 2015 FINRA cycle audit.
• Prepares and delivers presentations to matrix partners and senior leadership.

US

• Served as an OSJ Supervising Principal in the Central and Northwest Ohio region.
• Automated Firm’s Supervisory Visit program using RegEd’s AuditTrax technology, saving the Firm $22,000 annually. Awarded Nationwide Financial's 2014 Innovation Award..
• Reviews and monitors trade activity, Supervisory Surveillance Reports for potential red-flag activity and conducts necessary follow-up with RRs, as needed.
• Conducts Supervisory Visits of registered branch locations.
• Reviews and approves advertising, sales materials and correspondence.
• Assists Corporate Compliance, the Office of General Counsel and/or Internal Investigations Unit on RR internal investigations, as required.

US

• Assessed Compliance risks related to social media websites and communicated effectively with the business on a day-to-day basis.
• Reviewed Private Securities transactions and Passive Investments of RRs, analyzed risk, and obtain necessary approvals.
• Presented Annual Compliance Meetings and other training to groups ranging in size from 20 up to 200+.
• Served as Firm’s subject matter expert for options, Municipal securities, privacy, and electronic storage.
• Conducted branch audits of Remote Offices and Offices of Supervisory Jurisdiction.

Charlotte, NC, US

• Managed team responsible for the management of $2 billion in separately managed accounts.
• Researched investment opportunities via Quantitative and Qualitative analysis, and proposed buying and/or selling stocks, options, structured products, closed end funds and a variety of fixed income products. Prepared.
• Reviewed new separately managed accounts, brokerage accounts including margin and options accounts, and served as Firm’s Senior Registered Options Principal.
• Responsible for filing and updating Firm’s Form ADV.
• Designed and implemented all Compliance procedures currently in use at the Firm.
• Created block trading program and supervised the Firm’s equity, fixed income, and option activities.

• Managed team of 25 representatives for Preferred Client Group of online brokerage firm, responsible for motivating them to achieve peak performance and contribute to overall company objectives.
• Responsible for recruiting, hiring and supervision of the sales associates.
• Conducted quarterly and annual reviews, and performed ongoing sales and technical training.
• Reviewed and approved new brokerage accounts including margin accounts and options accounts.
• Played an integral part of roll-out of Managed Accounts Program to high net worth client groups.
• Responsible for oversight of trading desk and margin activities.

Master Of Business Administration (M.B.A.)

Bachelor’S Degree