FINRA and Regulatory Matters
Corporate Business
New Business Initiatives
Broker Relations
Recruiting
Compliance Oversight
Inquiries / Complaints – Escalated Problem Resolution
Communications with the Public (Advertising)
New Products – Due Diligence and Selling Agreements
Office Audits
Financial Oversight and Reporting
Corporate Business
Hilltop Securities Trading
Hilltop Securities Customer Service Issues
Compliance
Direct and Brokerage Business Workflow
Commission Processing
Commission Specialist
Business Processing
Mark Berndt
Recruiter, Licensing & Registrations
Coordinator
Recruiting
Securities Registration
Agent Insurance Appointments
Annual Renewals
E&O Information
General Office Information
