Yyyyyy x. yyyyyy

Management Executive

Insurance Licensing & Registration ~ Staffing ~ Training ~ Department Operations

Customer Service Excellence ~ Policy & Procedure Development ~ Regulatory Compliance

         Extensive experience in the financial services field especially with insurance licensing, registrations, FINRA compliance, annual renewals, and continuing education.

         Considerable skills in client needs assessments, decision-making, risk analysis and mitigation, problem solving, process improvements, and vendor relations.

         Adept at streamlining departmental workflow to enhance financial performance and operational productivity.

         Highly respected for attention to detail and deadlines, integrity, confidentiality, and a team player work approach.

         Able to create and execute innovative solutions to meet defined business goals and needs.

         Substantial capabilities in identifying and analyzing problems, trends, and risks in licensing-related laws, rules, and regulations.

First Allied Securities, Inc. / First Financial Planners / FFP Securities, Inc. 1997 to Present

First Allied Securities, Inc., 2007 to Present

Senior VP, Licensing (2011 to Present)

         Spearhead daily operations within Licensing & Registration department for Broker-Dealer having 850 Registered Representatives and Registered Investment Advisor (RIA) having 650 Investment Advisor Representatives.

         Steer all aspects of securities & advisory registrations, insurance licensing, continuing education (CE), and product training.

         Supervise 10 in-house and offshore employees while holding full accountability for hiring, performance evaluations, and assisting team in rectifying problems related to licensing and registration.

         Create and implement procedures, practices, and controls to optimize licensing and registration functions within department, vital to achieving defined targets for productivity and client satisfaction.

         Establish, nurture, and maintain third-party vendor relationships based on quality, trust, and integrity.

         Research and effectively respond to comments and inquiries from state insurance departments, state regulators, or FINRA.

         Proficiently serve as Subject Matter Expert for internal departments and external customers regarding the complete spectrum of licensing and registration issues.

         Serve as active member of Operating Committee tasked with driving continuous improvement.

         Built and evolved department to rank among top two highest-rated home office teams (out of 13) for customer service for four consecutive years (2013, 2014, 2015, 2016).

         Presented with 1 in 100 award in 2013 for displaying matchless dedication and exceptional service.

Licensing Manager (2007 to 2011)

         Orchestrated full-scope operations within Licensing & Registrations department including hiring, performance evaluations, background checks, and direct supervision of team of seven.

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Professional Experience continued Yyyyyy x. yyyyyy Page 2 of 2

         Prepared registration packages for new staff, administered training, and delivered vital support throughout all phases of licensing, appointment, and contracting processes with independent marketing organizations and insurance carriers.

         Selected and awarded as 2008 Employee of the Year for exhibiting outstanding dedication.

         Processed fingerprints and FINRA/State exam requests for new and existing Registered Representatives and Investment Advisor Representatives.

         Processed U4/U-5/BR forms and annual FINRA/State renewals for Broker-Dealer and RIA firms.

         Swiftly and accurately resolved customer issues to sustain peak levels of satisfaction and loyalty.

FFP Securities, Inc., 1997 to 2007

Licensing Manager (2003 to 2007)

         Shepherded daily department operations encompassing FINRA compliance, customer service, annual renewals for Broker-Dealer and RIA, documentation, and data management.

         Hired, trained, evaluated, mentored, and supervised six personnel in performing the complete range of licensing and registration functions.

         Efficiently prepared registration packages for new Registered Representatives and branch office staff.

         Coordinated FINRA/State exam requests for Registered Representatives and Investment Advisor Representatives.

Assistant Manager, Insurance Licensing (2000 to 2003)

         Directed department comprised of four personnel, consistently enforcing and ensuring adherence to industry and regulatory requirements.

         Provided direction, training, and support throughout all phases of insurance license, appointment, and contract processes.

         Played a lead role in resolving issues associated with insurance licensing process and regulatory compliance.

         Demonstrated exemplary talents in hiring, performance management, coaching, training, and conflict resolution.

         Identified and implemented insurance licensing regulatory changes in all states on a timely basis.

         Diligently maintained state licensing and insurance carrier appointments for licensed business entities and registered licensed producers.

         Administered Secretary of State registrations/filings for several corporations under parent company, First Financial Planners, Inc.

Insurance Licensing Coordinator (1997 to 2000)

         Expeditiously processed state licensing and insurance carrier appointment requests for agents.

         Responded to agent s inquiries regarding CE and study material and provided excellent guidance during acquisition of resident and non-resident insurance licenses.

         Named 2001 Employee of the Year as a result of delivering unparalleled customer service.

SILA-Fellow and SILA-Associate designations, Securities & Insurance Licensing Association (SILA)

Graduate, Business Excellence Toolkit (BET) program, Villanova University

Missouri Producer Insurance License Life, Accident, and Health #8375589

Member, SILA, 1998 to Present