Mark Van Houten

Experience

• 

  TD Ameritrade

  Dec 2000 - Sept 2006

  Relationship Manager

  Was with TD Waterhouse/TD Ameritrade for nearly 6 years as a Customer Service Representative and a Relationship Manager. In the latter role, I managed post-sale relationships with an emphasis on top-producing financial advisors in order to ensure client satisfaction and retention of assets. Built and maintained relationships by completing semi-annual proactive calls to financial advisors. Researched and resolved both internal and external problems in services provided. Proffered professional guidance to advisors in regard to fulfillment requirements and timelines, and explicated securities industry regulations and restrictions. Identified and aligned with advisor needs, probing effectively to convey advantages of our products and services. Proactively built opportunities to solicit additional business. Show less

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  Janney Montgomery Scott

  Nov 2006 - now

  Branch Operations Manager

  POSITION SUMMARY: As the Branch Operations Manager, I am responsible for all operational, administrative and client support functions within the branch office. I perform certain client supervision and support staff supervision functions as delegated by the Branch Office Manager. I function as an integral part of the Branch Manager’s team and work closely with the Compliance and Operations departments. Additionally, I coordinate any operations matters involving the branch with home office operations staff and others in the firm.ESSENTIAL DUTIES AND RESPONSIBILITIES: • Overall responsibility for all branch operations functions including but not limited to: cashiering, disbursement of checks and securities, processing incoming and outgoing correspondence, account transfers, margin, distribution of wire traffic, home office reports, maintenance of order tickets, syndicate coordination, client correspondence, and other documents consistent with retention requirements. • Training all support staff (Private Client Assistants and Operations Assistants) members to ensure that FAs and clients receive superior service consistent with Janney policy and SRO rules. • Provide excellent telephone service to clients and potential clients, including prompt, accurate, and timely attention to detail. Ensure continuous telephone coverage. • Provide work direction to Private Client Assistants and/or other members of the support staff and coordinate workflow within the office. • Assist others by acting as a resource in the areas of firm policy training, coaching, and mentoring. • Actively seek out and maintain an advanced knowledge base on all products and services, technology, forms and systems. • Lead FA recruiter with database management and initial prospecting efforts via email, mail and phone.• Perform other duties as required that contribute to the overall effectiveness of the position and the branch as a whole. Show less