Marisa B. Dollard

• Building strong relationships with Branch Leadership, Financial Advisors, and Client Specialists by facilitating regular communication and collaboration.

• Directly responsible for the oversight and supervision of 14 PWM Branch Offices across IN and KY to consult on and enforce firm policies, industry regulations, and transaction suitability.

• Lead monthly and quarterly meetings with branch leadership and annual in person meetings with branch associates to review and discuss compliance topics, firm initiative, and branch rankings.

• Review and approval of the suitability for various transactions and ensure proper documentation on client interactions.

• Demonstrated proficient leadership and relationship management skills to motivate, lead, and guide a team of 20 Client Specialists and 30 Financial Advisors across 4 branch offices in Middle Tennessee (Nashville, Columbia, Cookeville, & Union City), in addition to supporting multiple branches across the Southeast Market alongside the Market Director in TN, FL, GA, MS, NC, SC, & WV.

• Utilizing excellent interpersonal, verbal, and written communication skills to interact with clients, Financial Advisors, Client Specialists, and various home office departments to resolve complex issues and navigate stressful situations.

• Proactively identifying areas to create efficiencies and process improvements throughout the branches.

• Conducting monthly in person team meetings and semi-annual performance reviews for a team of 20 support staff to disseminate information and ensure progress on firm initiatives and professional goals.

• Leading and coordinating the move and merger of 2 Nashville branch offices (52 associates) to a new office space and location in March of 2021.

• Leading, motivating, and supervising a team of 35 associates across 3 branch offices (Palm Beach Gardens, Jupiter, & West Palm Beach, FL) in providing an elevated level of customer service to high-net worth clients while ensuring adherence to firm and industry policies and procedures, while projecting a service first attitude.

• Working in tandem with the Branch Manager and company leadership to ensure consistency and overall operational efficiency of multiple branch offices.

• Supervised a team of employees, fostering a positive work environment and emphasizing professional growth.

• Working in conjunction with a team of International Investment Advisors/Managing Directors with $4+ Billion in AUM to consistently deliver exceptional service in a high-volume environment to foreign & domestic high-net-worth clients.

• Enhancing client relationships by understanding financial needs and during in portfolio review meetings, and working in tandem with Attorneys, CPAs, and Trustees to help clients reach their goals.

• Comprehensive knowledge of advanced proprietary financial products, services, and systems.

• Proficiently executing equity, option, foreign currency, fixed income orders, and team cancel/correct documentation. •Authenticating, processing, and confirming all outgoing foreign and domestic liquidity needs and requests.

• Built strong relationships with clients, fostering trust and loyalty in managing their financial portfolios.

• Created comprehensive financial plans by analyzing clients current financial situations and future goals.

• Educated clients on various financial matters and provided professional recommendations on investment opportunities, products, and services based on each clients' individual needs.

• Working with a team of Investment Advisors/Managing Directors, Trust Officers, and Private Bankers in high-volume environment to provide an elevated service experience for ultra-high-net-worth clients with over $25 Million in investable assets.

• Overseeing discretionary account opening and maintenance, including creating and updating investment mandates, managing the portfolio rebalancing process, and investment suitability.

• Proficiently handling trade entry of equities, options, fixed income, FX, commodities, and structured products. •Management of the private equity and hedge fund suitability and qualification process for AI/QP investors, document management, order entry, capital calls, and liquidation requests.

• Providing exceptional sales and operational support to the Sr. Account Executive, exclusively for high-net-worth clients.

• Educated clients on market trends and investment products, empowering them to make informed decisions.

• Assisting corporate executives with equity compensation plans, exercising restricted stock awards, stock appreciation rights, stock options, and employee stock purchase plans.

• Developed strong relationships with high-net-worth clients, ensuring trust and long-term retention.