Allen Braunbeck
Sun City
Summary
Experienced financial services leader with a proven track record in branch management, client relationship development, and high-net-worth advisory. Over 15 years of success driving operational excellence, talent development, and regulatory compliance across top-tier firms including E*TRADE from Morgan Stanley, TD Ameritrade, and Scottrade. Adept at leading through complex transitions, mentoring teams, and delivering personalized, white-glove service to ultra-high-net-worth stock plan participants. Committed to optimizing performance, fostering client trust, and achieving strategic business goals.
Overview
13
13
years of professional experience
1
1
Certification
Work History
Senior Executive Relationship Manager
E*TRADE From Morgan Stanley
04.2021 - Current
- Manage a portfolio of ultra-high-net-worth stock plan participants, delivering white-glove service focused on product education, trade execution, Rule 144 compliance, and Section 16 reporting.
- Consistently exceed corporate targets for asset retention and advisor referrals, contributing to overall business growth and client satisfaction.
- Act as a key liaison between internal support teams and corporate stock plan administrators to ensure seamless coordination and service delivery.
- Mentor new hires and team members, providing guidance on best practices and strategies to enhance performance and client engagement.
Branch Manager
TD Ameritrade, Inc.
01.2018 - 01.2021
- Mentored Financial Consultants in building and sustaining strong client relationships to drive retention and satisfaction.
- Recruited and developed branch staff while cultivating a talent pipeline through proactive relationship-building and community engagement.
- Trained associates on MoneyGuide Pro software, enabling delivery of personalized, consultative financial plans for high-net-worth clients.
- Optimized branch record-keeping systems to ensure regulatory compliance and enhance operational oversight.
- Organized and led branch seminars and educational events to improve client financial literacy and engagement.
- Oversaw daily operations for a branch managing over $1 billion in assets under custody, ensuring efficiency, compliance, and high client satisfaction.
Branch Manager
Scottrade, Inc.
05.2012 - 01.2018
- Led operations across 5 branch locations within the Greater Phoenix Metro area, driving performance and consistency.
- Directed branch transitions during the TD Ameritrade acquisition, ensuring seamless integration and minimal disruption to clients and staff.
- Oversaw talent acquisition efforts for multiple Arizona locations, recruiting top-tier financial professionals to support business growth.
- Maintained regulatory compliance by managing documentation processes and ensuring adherence to supervisory protocols.
Education
High School Diploma -
Cortez High School
Phoenix, AZ05-1991
Skills
- Regulatory compliance
- Team leadership
- Performance management
- Training and development
- Performance reviews
- Employee development
- Risk assessment
- Business development
- Sales management
- Sales processes
- Team recruiting and onboarding
- Presentations and public speaking
- Rapport and relationship building
Accomplishments
- Led and supervised a team of 8 to 12 Financial Consultants, fostering a high-performance culture focused on client satisfaction, compliance, and business growth.
- Recognized as Branch of the Quarter multiple times across 2018 and 2022 for consistently delivering top-tier client engagement, driving branch performance, and exceeding service excellence benchmarks."
Certification
- Series 7, 24, 63, 66
- Certified Equity Professional Level 1
References
Charles Mctheny 480-773-9944
Joey Katz 858-252-9516
Timeline
Senior Executive Relationship Manager
E*TRADE From Morgan Stanley
04.2021 - Current
Branch Manager
TD Ameritrade, Inc.
01.2018 - 01.2021
Branch Manager
Scottrade, Inc.
05.2012 - 01.2018
High School Diploma -
Cortez High School