Tyler Todd

Tyler Todd – Client Service Administrator

Education:

  • Augusta College, Bachelor of Business Administration in Management
    Graduated 2002

Employment:

  • Start Date – 2/17/2014
  • Service Advisor – 2/17/2014 – present
  • Compliance Co-Lead – 9/2016 – present

Licenses, Registrations & Certifications include:

  • FINRA Series 7 – General Securities Representative
  • FINRA Series 66 – Combined State Law Exam

Day-to-day Tasks:

  • Client service – Account opening process, client account transfers, distribution requests and other client and advisor service requests
  • Operations – Designs and constructions firm wide work flows and processes, maintains and updates CRM, conducts weekly firm wide meeting
  • Compliance – Works with outside counsel to design firm compliance manual and other regulatory documents, maintains firm annual renewal and deliveries, conducts firm wide compliance meetings, maintain books & records, policy reviews and testing
  • Administrative lead – Trains and assists service administrators

Time Allocation:

  • Operations – 20%
  • Compliance – 30%
  • Client Service – 50%