Human Resources Registered

Todd Storaska

817-***-****

*******@******.***

Education: Graduate of the University of Texas at Austin

Licenses: Series 7, 63, 65, 24, and Life and Health Group 1

Years in the Field: 18 years brokerage industry / 13 years in Compliance

Work history - Accomplishments:

Texas IRA Recruited 11 registered representatives to OSJ branch while also conducting Non

OSJ audits and performing all OSJ compliance functions for 13 registered representatives.

360 Wealth Management – Performed all OSJ compliance functions for hybrid RIA branch for

over 40 registered representatives. In charge of payroll for Hybrid RIA.

Peak Capital Performed all OSJ compliance functions for 17 registered representatives. Head

of human resources department for Texas branch. Restructured compliance and operation

departments and implemented new hiring procedures.

1st Global Lead Compliance Consultant. Performed Non-OSJ Inspections. Updated annual

compliance questionnaire and implemented a new continuing education program for the Non OSJ

branch’s non licensed assistants. Revised the annual designation review. Performed annual

compliance meeting for registered representatives. Taped compliance continuing education

program for advisors.

LPL Financial Senior compliance examiner for five years. Instrumental in the implementation

of transforming inspection procedures from hard copy to paperless and using photographs during

inspections. Reviewed outside business activities for registered representatives.

Proficient in:

OSJ and Non OSJ Inspections.

Compliance for OSJ branch offices.

Compliance for Hybrid RIAs.

Compliance annual meetings and other presentations including Firm Continuing Education.

Review of Advertising, outside business activities, outside brokerage accounts, correspondence,

blotters etc.

Good communication skills, both oral and written.

Excellent computer skills with an emphasis in Microsoft Office Word, Excel, PowerPoint,

Outlook.

Excellent presentation skills to speak to large groups.

All LPL programs including Branchnet, ComplianceMax, Idocing, etc.

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