Our Teams

How do you define success?

Our team members are united by a pledge to provide exceptional engagement and service in support of your business goals.

LEADERSHIP TEAM

Our senior leaders work in partnership with our client firms to support sustainable business growth.

BUSINESS DEVELOPMENT TEAM

Taking the time to listen and understand your unique firm is the cornerstone of our thoughtful and thorough engagement in winning your business.

  • Business Development serves as an advocate to represent your best interests within First Clearing and as a resource for market advisory and competitor insight.
  • Advisor Recruiting and Training can assist with sourcing qualified advisor candidates, recruiting best practices, onboarding and training programs for advisor hires.

GROWTH TEAM

Leveraging a multi-pronged approach, we help firms and their advisors explore and integrate proven best practices designed to foster client loyalty.

  • Advisor Growth & Productivity provides insight to assist advisors making the transition to an advice-focused business model.
  • Investment Solutions helps advisors leverage our vast product offerings.
  • Communications provides timely information to empower firms, advisors and operational areas, shares insights from industry thought leaders through white papers and speaking engagements, and consults with firms regarding content and talent for firm events.
  • Marketing delivers resources that optimize your strategies for driving growth and staying engaged with clients.

BUSINESS SOLUTIONS TEAM

Aiming for the highest level of satisfaction in operations processes and service.

  • Correspondent Services keeps you informed of operational developments, is available to help resolve complex questions, and serves to connect you to resources and training.
  • Operations & Technology ensures business continuity by providing support for operational needs, specialized trading situations and escalated technical issues.
  • Transition Services provides seamless onboarding of new client firms, assists with new business processes and technology implementation, and supports business expansion via new advisor and branch office integration.

RISK & QUALITY TEAM

Providing support to firms via risk, compliance and technology solutions.

  • Risk Management provides consultative support on governance and control topics and areas of audit concern in addition to assisting with trading and order entry risk controls and counterparty credit issues.
  • Strategic Solutions is charged with ensuring the seamless deployment of technology enhancements and providing information security and cybercrime strategic consulting to your firm.
  • Compliance Services assists your compliance professionals with our SuperVision system, brings intelligence and training opportunities through newsletters and events, and provides consultative support to connect you with the resources you need.

FINANCE TEAM

Advocating for your business analysis, reporting and billing needs.

  • The Finance Team works with firm finance and operational personnel to respond to billing, operations and finance questions and act as liaisons across the enterprise to help ensure optimal billing and accounting delivery.