1. Robert Wade Scott
3101 Teakwood Drive, Bedford, TX 76021
817.614.6515  robertwadescott@gmail.com
Experienced, relatable, professional stock broker with over 10 years of industry experience
in both front and back-office environments of the brokerage industry.
Summary of Skills & Achievements:
 Experienced back-office mutual funds rep
 Strengths Finder Top 5 Themes: Context, Connectedness, Input, Learner, Intellection
 Exceptional phone skills, customer service skills, financial and investing solution finding
skills
 Knowledgeable in the LEAN model for financial services
 Experienced at managing small groups
 Experienced in various adult training methods in both small and large group settings
 Licensed Stock Broker: Series 7, Series 63
Work History:
TD Ameritrade Mutual Funds Inquiries Rep 2013-Present
 Experienced back-office rep in various kinds of operations level processing and problem
solving.
o Trade review, resolution and system auditing
o B-50 processing ad transfer review/follow-up
o Corrections
 Reviewed processes and software for their potential to improve firm efficiency and risk
exposure.
 Tracking and reporting
 Working with other TD Ameritrade teams in a resource role.
 Excelled at communications with teams inside of TD Ameritrade and with outside firms.
 Received numerous accolades for fellow associates and departments.
 Quantifiable knowledge areas:
o Fund relations, prospectus review
o Order review, fills and corrections across various trading platforms
o Transfer resolutions and BIN management
TD Ameritrade Institutional, Regional Relationship Manager 2010-2013
 Managed high assets investment advisors in the northeastern United States
 Oversaw matters dealing with compliance, new account transition, transfers, tax data
collection and asset gathering with a high focus on IRAs, qualified retirement plans and
trusts
 Managed advisor and client escalations to solutions
 Received numerous accolades including letters, calls and emails commending world-class
customer service delivered to clients
 Quantifiable Metrics:
o 60-70 advisor/client interactions daily (phone, email, fax or a combination as
needs dictate)

2. o Daily workflow assignment and case for a team of 5-7 brokers
o Constant availability
TD Ameritrade, Stock Broker, Private Client Services 2007-2010
 Managed over $300 million worth of the firm’s high-asset clients.
 Dedicated point of contact for service needs, trading, and client escalations
 Lead generation and identification
 Quantifiable Metrics:
o 50-60 client calls daily
o 20-30 qualified leads for sales team per month
o Preservation of a book of over $300 million and accumulation of net new assets
quarterly
TD Ameritrade, RegisteredRepresentative 2006-2007
 Trading floor broker.
 Quantifiable Metrics:
o 70-100 telephone calls daily
o 90% phone availability
Sales and Marketing 2003-2006
 Various sales and marketing for companies ranging from LASIK to publishing to print
production
McKessonCorporation, Client Liaison for Select large Vendors 1998-2003
 Worked with “V.P.s of Technical Services” for both McKesson Automation and
Walgreens Co. as a “single point of contact” to make the relationship between the two
more profitable and efficient
 Coordinated service needs, technology upgrades and automation system rollouts for the
McKesson Automation’s largest client
Education and Certifications:
BA, History/Anthropology, Northwestern University, Natchitoches, Louisiana
Licensed Stock Broker: Series 7, Series 63
Military History:
United States Army (Operation Desert Storm) 1989-1995
Community Involvement:
First Euless, Euless, Texas – Deacon, Bible Teacher, various committees
BSF International – Leadership in leading men’s motivational studies
Special Olympics – volunteer
Hobbies – Astrophotography and Art