Financial Planning Operations Manager

Donald Laymon

**** ***** ******** *******, #***, Chicago, IL 60610

adzahb@r.postjobfree.com 870-***-****

**** ***** ******** *******, #***, Chicago, IL 60610 adzahb@r.postjobfree.com 480-***-****

Objective

Seeking an opportunity to

continue my career in the

brokerage industry in the

Chicago area.

Education

Southwestern A/G University

B.S. Business Admin.

1996

Licenses

Variable Life & Health Ins.

2007

FINRA Series 7

2007

FINRA Series 66

2007

FINRA Series 24

2009

FINRA Series 53

2010

FINRA Series 4

2010

FINRA Series 27

2013

FINRA Series 9/10

2023

Areas of Expertise

Investment & Insurance Sales

Financial Planning

Portfolio Construction

Managed Accounts

Corporate Benefits

Packaged Investments

Stock & Options Trading

Alternative Investments

Annuities

Life Insurance

FINRA Compliance

Brokerage/ RIA Operations

Books and Records

FINRA Filings

AML Compliance

Financial Reporting

Supervision

Suitability Review

Experience

Merrill Lynch, Merrill Financial Solutions Advisor 2020-2023 Clearwater, FL

Key Accomplishment: 2023 Pinnacle Award recipient for exceptional performance.

Daily Activities:

Call on prospective clients to gain assets and business.

Work with existing clients to develop appropriate investment plans.

Utilize financial planning software to create & implement investment plans.

Coordinate and work with centers of influence.

Present investment plans and solutions for prospects and clients.

Follow firm and regulatory policies and procedures to maintain compliance.

Wells Fargo Advisors, Complex Operations Manager 2016-2020 Macon, GA

Key Accomplishment: Maintained perfect record for internal OSJ audits. Daily Activities:

Reviewed and approved/rejected all money movement for OSJ.

Reviewed and submitted all daily deposits of correspondent branches.

Processed deposits of physical securities.

Approved and processed trade corrections.

Reviewed account and legal documents.

High Street Securities/Calton & Associates, Compliance Officer 2013-2016 Hot Springs, AR

Key Accomplishment: Implemented new technologies to streamline compliance and operations processes.

Daily Activities:

Reviewed daily blotters for irregularities and potential issues.

Reviewed registered representative emails.

Assisted representatives with the preparation of investment proposals.

Worked with affiliated RIA and IMO with compliance and operations issues.

Prepared and filed financial reports for the Board of Directors and FINRA.

Filed all representative and firm licensing requests with appropriate organizations.

Reviewed and approved all commissions for representatives.

Reviewed, investigated, and responded to all firm complaints.

Conducted audits of correspondent offices.

U.S. Bancorp Investments & Insurance, Supervision Principal 2010-2012 Hot Springs, AR

Key Accomplishment: Led committee to establish supervision policies for fee- based business for the firm.

Daily Activities:

Reviewed all high-risk annuity sales for pre-approval.

Reviewed trade blotters and monthly reports for irregularities and potential issues.

Conducted branch audits for advisors in corresponding branches.

Maintained regional OSJ records.

Successfully passed all internal and external OSJ audits.

Worked with regulatory agencies on branch and OSJ audits.

Covered 3 regions/ OSJ’s during staff shortage.

Led compliance meetings and conference calls for region.

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