Seeking assignment as:

Regional Operations Service Manager

for Florida Region

Wells Fargo Brokerage Financial Division

Profile

  Long-term experience in FINRA compliance guidelines and complex management

  Over two decades of background in securities industry

  Series 7, 9, 10 and 66 Licenses

  Adept in internal operational and risk compliance management

  Proven background in unit turn-arounds and recoveries from failed audits

  Record of progression to assignments of increasing authority and responsibility

  Tasked with oversight of up to seven business units

  Successful in staff leadership & training, operations and business development

  Proven team leader, supervisor, mentor and role model

  Excellent organizational and work prioritization capacity

  Knowledgeable in full-life-cycle project management

  Outstanding communicative, interfacing and relationship-building skill sets

  Deliver world-class customer service on a consistent basis

  President of South Plantation Friends for Theater Booster Organization

Professional Experience

Wells Fargo Advisors 2014 Present

PCG Operations Manager, Ft. Lauderdale Complex

       In this leadership role, tasked to oversee all operations activities for this three-branch territory consisting of units in Ft. Lauderdale, Aventura and Coral Springs.

       Collaborate with Market/Complex Management team to assure attainment of all operational, administrative and compliance directives; serve as main-point-of-contact for all inquiries from Home and Regional Offices as well as other Branch Associates.

       Insightfully recruit, select, train and oversee work performance of Branch Administrative and Operational Associates; additionally utilize exceptional interpersonal relationship skills in dealing with and resolving wide array of client issues/inquiries.

Continued on Page 2 .

Professional Experience Continued ..

USB Financial Services 2007 - 2014

Complex Operations Manager (2009-2014)

       Advanced to head seven South Florida offices in Naples, Fort Myers, Miami, Ft. Lauderdale, Aventura and Bonita Springs.

       Have produced smooth and successful operation in all seven locations.

       Notable results in recruitment, team building and operational efficiencies.

       Provide leadership and direction for 18 Service Associates.

       Complex is No. 1 in regional recruiting and regional new business development.

Financial Services Operations Manager (2007-2009)

       Recruited to perform wide array of duties/activities.

       Assumed responsibility for branch with three failed audits.

       Swiftly changed culture and produced two consecutive Excellent audits.

Adomo & Yoss, LLP 2005 2007

Securities Compliance Advisor

       Tasked with operations management, compliance oversight and office process improvement.

       Supported mutual fund overcharges, high risk securities, variable rate annuities and investment portfolio protection.

       Contributed assessment, damage analysis, trial/arbitration preparation, research, and documentation management.

Prudential/Wachovia Securities 1999 2005

Branch Operations Manager

       Retained to direct unit daily operations, supervise staff, perform training and meet/exceed organizational objectives.

       Managed deposits, disbursements, securities receipts and Rule 144/144K Securities.

       Supervised Fed funds and trade correction resolutions.

Earlier Background

Prior to 1999, served as Branch Operations Assistant, Prudential Securities, Sales Assistant,

Dean Witter Reynolds and Sales Associate Seminar Coordinator/Sales Assistant, Raymond James

and Associates. In these assignments built expertise in securities, operations, audits, quality control

and in providing superior customer relations.