Allen Braunbeck

• Manage a portfolio of ultra-high-net-worth stock plan participants, delivering white-glove service focused on product education, trade execution, Rule 144 compliance, and Section 16 reporting.
• Consistently exceed corporate targets for asset retention and advisor referrals, contributing to overall business growth and client satisfaction.
• Act as a key liaison between internal support teams and corporate stock plan administrators to ensure seamless coordination and service delivery.
• Mentor new hires and team members, providing guidance on best practices and strategies to enhance performance and client engagement.

• Mentored Financial Consultants in building and sustaining strong client relationships to drive retention and satisfaction.
• Recruited and developed branch staff while cultivating a talent pipeline through proactive relationship-building and community engagement.
• Trained associates on MoneyGuide Pro software, enabling delivery of personalized, consultative financial plans for high-net-worth clients.
• Optimized branch record-keeping systems to ensure regulatory compliance and enhance operational oversight.
• Organized and led branch seminars and educational events to improve client financial literacy and engagement.

· Oversaw daily operations for a branch managing over $1 billion in assets under custody, ensuring efficiency, compliance, and high client satisfaction.

· Led operations across multiple branch locations within the Greater Phoenix Metro area, driving performance and consistency.

· Directed branch transitions during the TD Ameritrade acquisition, ensuring seamless integration and minimal disruption to clients and staff.

· Oversaw talent acquisition efforts for multiple Arizona locations, recruiting top-tier financial professionals to support business growth.

· Maintained regulatory compliance by managing documentation processes and ensuring adherence to supervisory protocols.