Financial services executive with more than 18 years of experience in broker-dealer supervision, advisory operations, suitability review, sales practice oversight, operational risk management, regulatory compliance, and advisor support. Proven leader partnering with Compliance, Risk, and Field Supervision to ensure regulatory adherence while delivering exceptional advisor and client experiences. CORE EXPERTISE Broker-Dealer Leadership experience, including Leadership and Team Development Built, developed and led high-performing broker-dealer back office teams. 17+ years of Supervisory experience Direct leadership and oversight – Advisory system support and operations Deep understanding of back office operational functions Sales Practice Oversight & Escalations Deep familiarity with a broad portfolio of consumer-facing products, especially complex products such as advisory, annuity, and insurance solutions.
Experienced in providing guidance and support to client facing Advisors Transaction, Trade & Suitability Review for many products, including advisory and insurance products Branch Exams & Field Supervision
Vice President / Investment Advisory – Managed Money Operations Lead a team that provides operational oversight and support to IARs supporting 40,000+ advisory accounts and $7.5B+ in AUM across a national advisor footprint. Partner with compliance and supervision teams to ensure adherence to fiduciary standards, firm policies, and regulatory expectations. Serve as a subject-matter expert for advisory operations, escalations, and supervisory inquiries related to managed money platforms. Develop and implement operational and procedural changes designed to provide maximum efficiency and effectiveness resulting in positive advisor and client experiences. Identify process improvement opportunities and lead operational change initiatives that strengthen controls while improving advisor experience.
Frequently partner with Supervision, Risk and Compliance on complex advisory processes, controls and issues. Review supervisory exceptions and partner with Compliance and Field Supervision to ensure appropriate resolution. Exercise sound risk-based judgment when evaluating complex supervisory issues and recommending appropriate resolutions. Design and deliver targeted training for advisors and support staff on supervisory processes, documentation standards, and regulatory requirements.
Supported FINRA examinations and internal audits as a key operational and supervisory SME. Oversaw the expansion of the Operations department from a single team of ten to three teams of more than thirty people and two managers. Reviewed supervisory workflows, identified control gaps, implemented corrective actions and strengthened regulatory controls supporting FINRA supervisory expectations.
Provided guidance on escalated supervisory matters involving suitability, documentation, and advisor conduct. Worked closely with Risk, Compliance and Supervision to identify issues/areas of concern and develop solutions that resulted in positive experiences for clients and the advisors. Maintained supervisory standards and service levels during firm-wide transition to remote supervision.
Supervised 100+ Registered Representatives across multiple locations and states. Conducted branch exams, sales practice reviews, and suitability oversight. Reviewed securities and insurance transactions for compliance with FINRA rules, firm policy, and product suitability standards. Managed escalations involving advisor conduct, documentation deficiencies, and supervisory exceptions. Participated in FINRA audit preparation and remediation; recognized for contributions during firm examinations. Delivered regulatory and DOL fiduciary training to field advisors and principals.
Nationwide Securities, LLC – Dublin, OH
Implemented quality control measures that reduced NIGO rates and improved supervisory consistency. Reviewed and approved brokerage transactions and new accounts for suitability, accuracy, and regulatory compliance.
Nationwide Securities, LLC – Dublin, OH
Conducted suitability reviews across annuities, mutual funds, municipal securities, and insurance products. Partnered directly with advisors to resolve suitability concerns and documentation issues prior to execution.
Earlier Career
Bachelor of Arts