Open To Work
Darryl Perry
Newark,NJ
Summary
Brokerage operations professional with over 15 years of experience in new accounts, retirement plans, trade support, and advisor services within leading financial firms. Proven track record of supervising teams, resolving escalations, and ensuring compliance with FINRA/SEC regulations. Skilled at streamlining operational processes, training staff, and supporting financial advisors in managing client accounts. Actively pursuing Series 7 to further expand expertise in securities operations.
Overview
22
22
years of professional experience
1
1
Certification
Work History
Service Success Specialist (Supervisor)
Osaic Wealth Inc.
04.2023 - Current
- Lead and coach junior associates in Advisor Support, ensuring service metrics and compliance standards are consistently met.
- Handle escalated advisor and client issues requiring operational expertise and regulatory knowledge.
- Travel to conversion sites to train and support newly acquired firms during platform and process integrations.
- Mentor staff on account processing, compliance requirements, and service excellence.
Realtor
Exit Golden Realty Group
01.2011 - Current
- Specialize in residential sales and rentals in Northern NJ, advising clients on market trends and property opportunities.
Advisor Support Senior Specialist
Osaic Wealth Inc.
09.2011 - 04.2023
- Supported financial advisors with brokerage account setup, retirement plan administration, and fee-based account servicing.
- Resolved escalated processing issues across multiple platforms, including NetX360 and Envestnet.
- Ensured strict adherence to FINRA and SEC regulations in sales and operational practices.
- Promoted to Team Leader within the Royal Court division, supervising service for elite top-producing advisors.
Senior Retirement Plans & New Accounts Consultant
Pershing LLC
03.2004 - 03.2011
- Managed new account processing and advisor inquiries for one of the largest brokerage clearing firms.
- Specialized in qualified retirement plans, IRAs, and tax-related concerns, ensuring accuracy and compliance.
- Resolved account discrepancies through detailed research and coordination across departments.
- Promoted to Team Leader, providing training, mentoring, and support to associates on brokerage operations.
Education
BA - Business Management
School of Professional Studies (CUNY)
New York, NYSkills
- Brokerage Account Onboarding & Documentation
- Retirement Plan Administration (IRAs, Qualified Plans)
- Compliance & Regulatory Adherence (FINRA/SEC)
- Escalation & Exception Resolution
- Advisor & Client Relationship Management
- Training, Coaching & Team Leadership
- Workflow Optimization & Service Metrics
- Platforms: NetX360, Salesforce, Envestnet Wealth Management
Certification
- FINRA SIE, Series 6, and Series 99
- Actively pursuing Series 7
Timeline
Service Success Specialist (Supervisor)
Osaic Wealth Inc.
04.2023 - Current
Advisor Support Senior Specialist
Osaic Wealth Inc.
09.2011 - 04.2023
Realtor
Exit Golden Realty Group
01.2011 - Current
Senior Retirement Plans & New Accounts Consultant
Pershing LLC
03.2004 - 03.2011
BA - Business Management
School of Professional Studies (CUNY)
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Work Preference
Work Type
Full TimeLocation Preference
HybridRemoteOn-SiteSalary Range
$45000/yr - $100000/yrImportant To Me
Career advancementWork-life balanceWork from home optionPaid time offPaid sick leaveStock Options / Equity / Profit Sharing4-day work weekSimilar Profiles
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