Richard Santangelo
Myrtle Beach,SC
Summary
Dynamic, results-oriented professional with over thirty years’ experience in managing fast moving operations and markets in high-pressure situations while simultaneously implementing staffing processes, and quality troubleshooting methods that achieve excellence and promote company growth. Proven ability to bridge customer service and business goals that provide productive solutions for clients and build cohesion and efficiency amongst staff and management. Strong track-record of managing profitable operations, building top-performing teams, and increasing efficiency through innovation within a highly competitive industry. Licenses 7 and 63, 24 registered
Results-driven management professional with track record of optimizing team performance and driving business growth. Skilled in strategic planning, project management, and fostering collaborative environments. Known for adaptability and delivering consistent results in dynamic settings. Strong focus on leadership, problem-solving, and effective communication. Experienced with team leadership, strategic planning, and operational management. Utilizes effective communication and organizational skills to drive project success. Track record of fostering productive work environments and achieving set goals. Managerial professional with proven record of streamlining processes and leading high-performing teams. Known for strong analytical skills and commitment to achieving results. Teams rely on collaborative leadership and adaptability to changing needs.
Overview
39
39
years of professional experience
Work History
Manager
LPL Financial
04.2024 - Current
- Strategic agreement with prudential with years grandfathered.
- Monitored conversion of prudential to the LPL platform bringing over 3000 advisors 50 billion in assets whom many had close relationships.
- Experience with Nexidia, Medelia, with Cxone phone system.
- Platform clientworks.
- Processing quality assurance daily on service professionals along with managing.
- The elite program of Pinnacle advisors currently at 400 with AUM over 25 million.
- Manage 14 call center service professionals’ average volume 3000 calls monthly
- Monitoring multiple team’s chats.
- Monitoring escalation email boxes that handle 40 to 60 daily, 900 Monthly.
Associate Manager Advisor Service Desk
Prudential Financial
07.2013 - 03.2024
- Manage elite team called pinnacle and pinnacle plus
- Which compromise the top 100 financial professionals at prudential
- With 50 AUM Started with Prudential Advisor Services
- First year service center representative handling over 1500 calls monthly; applied for a supervisory position and became (supervisor) Team lead July 2014 to present
- Experience leading and training a team
- Experience with CMS supervisor, and AVAYA
- Experience with managed money accounts, Envestnet and wealthscape
- Experience with Excel, Word, and Lotus notes
- Currently Manage upwards to 25 individuals with daily call volumes of over 12k to 15k monthly
- Actively working with the top 100 advisors of Prudential
- SERIES 7, 24 AND 63 LICENSES
Contractor (Prudential Investment Operations Assoc.)
Adecco Employment
12.2012 - 07.2013
- Collaborated with cross-functional teams to streamline operational processes and enhance efficiency.
- Analyzed investment data to support decision-making and optimize portfolio performance.
- Managed daily trade settlements and reconciliations to ensure accuracy and compliance.
- Developed and maintained reporting tools for tracking investment operations metrics.
Associate Consultant
Blackwall Capital Markets
05.2012 - 11.2012
- Cold calling
President/CEO
Gelo, Inc.
01.2008 - 01.2012
- Leveraged extensive background in commodities/futures markets into business platform designed to facilitate trading and execution as well as portfolio management.
- Worked closely with dozens of clients in making quality futures and options trades.
- Grew client base significantly through word of mouth and previous history in the industry.
- Led cross-functional teams to enhance operational efficiency and streamline processes.
- Hired and managed employees to maximize productivity while training staff on best practices and protocols.
- Prepared annual budget forecasts and monitored performance to meet organizational objectives.
- Reduced operational costs through strategic cost management initiatives.
Floor Manager/ Commodities Broker
Mann Financial
01.2003 - 01.2008
- Mann Financial offers a wide-range of investment vehicles that help business’ obtain financial goals.
- Managed and controlled the firm’s trading operation on the floor of the New York Mercantile Exchange (NYMEX/NYBOT). Provided leadership to over 90 brokers and operations personnel.
- Oversaw the execution of an average of 10,000 retail and institutional trades daily, valued at approximately $10M.
- Built world-class, multi-generational operations team by recruiting brokers and support staff.
- Worked with back office to take care of daily trade reconciliation and next day trade breaks
- Trained new and existing staff on all aspects of daily operations which allowed each employee to be cross-trained should someone be gone.
- Monitored work performance to ensure compliance with the firm’s standards and NYMEX regulations, as well as to increase overall operational efficiency.
- Contributed to the profitable growth of the firm by increasing productivity and minimizing areas through the development of processes and controls which increased accuracy and efficiency in the fast-paced trading environment.
- Determined merit increases and developed performance improvement plans by conducting thorough evaluations of each staff member.
- Minimized payroll costs by reducing overtime, controlling compensation, cross-training staff, and delegating assignments which most effectively utilized the unique talents of each employee.
- Strengthened workforce through continuous training, coaching, and skills development.
- Directed staff to focus on exceptional service and professional account management which played a key role in increased amounts of customer retention and satisfaction.
- Secured additional business by creating a first-rate staff to manage all operations from initial order placement through final execution.
- Streamlined communication, resolved discrepancies and minimized firms’ risk and exposure in a timely and efficient manner by working closely with back office operations.
- Supervised daily operations to ensure compliance with financial regulations and company policies.
- Implemented process improvements that enhanced workflow efficiency and reduced operational delays.
- Trained and mentored staff on customer service best practices, boosting team performance and client satisfaction.
- Coordinated scheduling and resource allocation to optimize staffing levels during peak periods.
- Developed training materials and conducted workshops to elevate team skills in financial products and services.
- Managed team of 60 employees to maintain smooth-running operations of shop floor.
- Completed efficient daily opening and closing processes to prepare teams and maintain optimal financial controls.
Floor Manager of Operations/Commodities Broker
Lindwaldock
01.1987 - 01.2003
- Ran retail and institutional operations for all of New York’s commodity exchanges (nymex, comex, nybot), with upwards of 60 people under my management.
- First brokers to use electronic books in the pits, serving mostly retail and institutional customers.
- Built largest book of business on the New York Commodities exchange
- Lindwaldock is a full-service futures brokerage house primarily serving the retail, institutional, and individual traders.
Education
High School Diploma -
Nazareth Regional High School
Brooklyn, NY06.1981
Skills
- Market Analysis with Excellent communication skills [written and verbal]
- Financial Management with The Ability to handle stressful situations
- Training, Coaching & mentoring in all aspects of the futures industry
- Strategic Planning & Tactical Execution with knowledge of all Commodity futures exchanges
- Team building with Staff Performance and experience in Excel
Timeline
Manager
LPL Financial
04.2024 - Current
Associate Manager Advisor Service Desk
Prudential Financial
07.2013 - 03.2024
Contractor (Prudential Investment Operations Assoc.)
Adecco Employment
12.2012 - 07.2013
Associate Consultant
Blackwall Capital Markets
05.2012 - 11.2012
President/CEO
Gelo, Inc.
01.2008 - 01.2012
Floor Manager/ Commodities Broker
Mann Financial
01.2003 - 01.2008
Floor Manager of Operations/Commodities Broker
Lindwaldock
01.1987 - 01.2003
High School Diploma -
Nazareth Regional High School