Tom Finley

About Tom Finley

I love creative problem-solving. Throughout my career I have had different titles, but the bottom line of all of them is problem-solving. As an Operations Manager and Service Manager my greatest passion was for finding solutions to complex client-related opportunities. As a Financial Advisor and Portfolio Manager my attention was always on the client achieving whatever their financial goals were by looking for opportunities within their strategies and any help we could get from the financial markets. Recently I have had the opportunity to work with a large regional bank as an Investment Advisory Surveillance manager as they transition their investment business focus to Investment Advisory business. Building the programs from the ground up, establishing guidelines and using creative, systems-based problem-solving, including building all Senior Management reporting and monthly monitoring for this business, is invigorating. Identify an opportunity for improvement, determine the root cause, find a solution, build a new process, establish reporting to monitor.what could be more fun?(Yes, I have been called a geek.) My close-second greatest passion in business is helping others reach their goals and have a greater understanding of their piece of the business puzzle. As a teacher, mentor and leader I love seeing others come to a greater understanding of what they are doing, why they are doing it, seeing the big picture and buying into the strategies that will help the company succeed. I have enjoyed many executive positions throughout my career in finance and banking. These experiences have all taught me that you have to dig to find out where opportunities for improvement start, but that there is always a solution to be found! I have also learned that decisions are not made in a vacuum, so coordination of all parties is critical to success, but final decisions are sometimes difficult and the buck always stops with me! I am not afraid of being \"That Guy\". Please reach out to me if you would like to discuss any opportunities for process enhancement or problem solving, with a focus on team-building and pushing your team to the next level. Professional Licensing: FINRA Series 7 and 66, FINRA Supervisory licenses 9 and 10, Insurance licenses

Experience

1. Vice President Director of Operations

   9258 Wealth Management

   Dec 2020 — Present · Cincinnati, OH, US

   Responsible for all operations and compliance for 9258 Wealth Management, a Registered Investment Advisor in Cincinnati, OH. This fast-growing firm is focused on personal and corporate wealth management along with offering professional tax services through multiple locations.

Education

• Miami University

  Bachelor of Science