Stephanie Elliott

Responsible for Chapin Davis, Inc. entities to include: Chapin Davis Investments - Broker - Dealer, Chapin Davis Asset Management - Registered Investment Advisor, Chapin Davis Capital Markets - Investment Banking and Underwriting, Chapin Davis Insurance Services - Insurance Agency.

• Developed Strategic Planning for Chapin Davis, Inc. to include 3, 5, and 10 year plan targets with methodology to track revenue increase, market share, acquisition targets, regulatory efficiencies.

• Built and developed an Executive Leadership team for each firm entity with defined goals and strategies.

• Developed Chapin Davis Insurance Services and Chapin Davis Capital Markets in 2018 to deliver the final foundations of the firms value proposition to build, manage, protect and transition wealth.

• Leveraged vendor technology to align business entities to create operational efficiencies and enhance the client experience.

• Evaluated and established clearing and custodial relationships along with vendor due diligence, contractual negotiations and pricing.

• Developed the firm branch and business model structure; opening 3 OSJ's, 6 non-registered offices while enhancing the existing W2 private client team and building out a competitive independent business model.

• Leveraged the various Chapin business entities and models to create scale, opportunity, efficiencies; all to drive down overhead and increase revenue to the firm.

• Developed business opportunities for the firm and Financial Advisors alike.

• Developed support teams to interactively contribute in driving revenues and opportunities for the firm and Financial Advisors utilizing tools and technology from existing firm offerings.

• Increases presence and community support in the markets Chapin Davis serves.

• Recruiting of Financial Professionals, Investment Advisor Representatives, Insurance Agents and Investment Banker using a predefined targeting strategy and multi-model offerings.

• Responsible for increasing firm revenues and shareholder equity year over year with an average increase of 20.4% annual growth rate.

• Responsible for increasing firm assets under management to $1.6B from $690M through organic growth, recruiting, client efficiencies; while strategically reducing Advisor headcount by 29 registered representatives and investment advisor representatives.

• Developed and implemented compliance programs to adhere with FINRA and SEC Regulation.
• Established Branch Audit Programs, Code of Ethics, Code of Conduct, Internal Audit Program and Controls, and Access Controls Protocols.
• Developed branch real estate specifications, negotiated contracts, site build out and IT requirements with staffing metrics and needs.
• Engaged and Coached Financial Professionals and Investment Advisor on best practices, technology adoption, accountability coaching and business development programs.
• Developed internal advisory program to include a UMA offering, sleeve offerings and internally managed portfolios with defined methodology, strategy, risk tolerance and overall objectives.
• Integration of tools and technology necessary for regulatory oversight, business development and streamlining procedures to create ongoing efficiencies.

• Built and maintained sales data base with six phase consulting methodology.

• Developed and maintained mutual relevancy marketing and business development stages and tools to track niche' targets and emerging opportunities.

• Developed timely academic curriculum and agenda for three day prospecting event held annually for prospect firms and existing client CEO's.

• Subject matter expert for all sales calls and RFP's to demonstrate technology, products, and service offerings.

• Track and report on sales revenue and opportunities.

• Prepared and managed contractual negotiations, pricing and technology needs for prospective correspondent clients.

• Developed marketing and drip campaigns for First Clearing Sales Team.

• Managed all conference and exhibits for First Clearing as well as, event drivers for prospect participation.

• Developed and managed training approach and resources for legacy Wachovia, Wachovia Financial Network, First Clearing Correspondent Services and Wachovia Profit Formula.
• Developed transition, training and resource staffing for new First Clearing Correspondent Clients.
• Developed written and online training materials for all Wachovia business lines.
• Delivered on-site technology demonstrations with First Clearing's Sales team.
• Subject matter expert for the business lines to Wachovia Technology and Development group to develop operational workflow and integrated solutions.