Bob Toohey
Sales Supervision Manager at Ameriprise Financial
- Role
- Sales Supervision Manager - Rp at Ameriprise Financial Services, LLC
- Location
- Troy, MI, US
- LinkedIn followers
- 500 followers
About Bob Toohey
Experienced financial services professional with demonstrated success as a securities principal for a national financial services firm. Detail oriented with strong analytical, organization and problem-solving abilities, with exceptional process improvement skills. Experienced trainer and mentor of financial advisors in compliance policies and procedures, I offer a proven track record implementing reporting tools and processes focused on ongoing operational requirements. Specialties: FINRA Licensing Series 7,9,10,24, 63, & 65
Experience
Sales Supervision Manager - Rp
Ameriprise Financial Services, LLC
Nov 1983 — Present · US
Central Supervisory Unit - Risk Mitigation - Field SupportI am a Registered Principal that conducts direct sales support and supervision of all new accounts and trades for a variety of products and investment strategies including options, insurance, managed products and general brokerage. This includes gathering information from advisors, field leaders and clients in addition to analysis of information provided from multiple systems to determine product suitability and adherence to company and industry standards.
Education
University of Detroit Jesuit High School
College Prep
1974 — 1978
Michigan State University
BA, James Madison College
1979 — 1983
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