1. Client Testimonials & Accolades
Enterprise Compliance Tenure
I would like to express my sincere thanks to Tadd Uttke, David Bishop, Maria Avila and their
respective teams for their leadership and support in agreeing to transfer end-to-end support
responsibilities for Symantec, the Information Leakage Protection tool, from IRM to EP&S -
Compliance. Not only did their agreement to take on this responsibility assure this key compliance
tool would receive the support it needs and deserves from the most appropriate area, but it frees up
the time for a key resource in IRM, Matt Lange, to do only the things that he can do in an ever-
expanding role related to cyber-security and cyber threat management.
Kudos to you for truly Acting like an Owner and Doing the Right Thing!
Christopher John — Applications Development Manager
Thank you Tadd for your skill and ability to juggle all the e-communication compliance work and
asking the right questions that keep us on the right path.
Michael Legut — Assistant Director Human Resources
Thank you for sharing your vast knowledge of how our electronic communication technology works
and how our field force is taking advantage of ever-changing technology to keep growing their
business. You delivered the important information in a way that was easy for all of the "non-techie"
people in the room to grasp the magnitude of planning for the future (not just playing catch up)!
Everyone was very impressed with your knowledge and your generosity with sharing your expertise.
Linda Kizivat — Insurance & Investment Consultant
Tadd - you were awesome with stepping up and helping Bryan and Jessica get the access and laptop
needed.
Michael Legut — Assistant Director Human Resources
Thank you Tadd for onboarding two new individuals onto the team this week and for carrying the
load until they joined the team!!
Ricky Frank — Director Systems
A huge thanks for your continued support of the RIM program. I am appreciative of the way that you
continue to promote the program and its information governance role. Within the past couple of

2. weeks I have had at least two conversations that I know you were directly responsible for pointing the
individuals to me and the RIM Program. I know that in both instances you could have given them the
simple answer, but you had them contact me and that lends credibility to what we do. You have been
a great champion for the program. Thank you!
Steven Webber — Records Management Cons
Tadd Thank you for your work on the texting project! I appreciate your dedication to this effort given
that it was an unplanned assignment with a deliverable in a short period of time. Thank you the time
and expertise you devoted to this effort!
Anne Frigo — Director Compliance
Thank you to all the members of the Texting Policy Working Committee for a strong start to the
review of our current and future policy options. Joanne and Linda presented your initial review to the
Compliance and Supervision roundtable yesterday and it was well received. I appreciate that you
considered a broad range of issues related to texting (covering the industry, marketplace in general
and user experience) and considered these issues in the context of other efforts going on in the
enterprise. Thank you for your willingness to continue this work!
Sarah Schott — Vice President Compliance
Tadd, Great job with the Compliance Concierge presentation this morning. You weren't given much
time and you had a lot on your plate, but were able to provide a very good presentation with a lot of
value. Thanks for all your efforts! Also, thank you for making me feel welcome to the new team and
helping me get through some of the unknowns. I am very much looking forward to working with you
in 2015. I hope you and your family have a happy holiday season!
Dan Nagel — Electronic Communications Compliance Lead
Consultant
Tadd has provided an amazing level of business knowledge and has consistently been willing to step
in to drive the project work forward for the Policy Based Encryption project. We would not be on the
verge of deploying a key piece of business functionality to the clients if it was not for Tadd's endless
energy and enthusiasm. He also brings to the table potential issues to be addressed now rather than
waiting for them to hit after deployment. Excellent work Tadd!
Scott Matuszak — Senior Project Manager
Tadd - Wanted to thank you for all of your help with my miscellaneous new employee questions, as
well as your assistance in helping me integrate to the team. Really appreciate all you have done!

3. Thomas Holtan — Electronic Communications Compliance
Consultant
Tadd - Thank you for your support during the Symantec acquisition process. Your attention to detail,
including making sure that all of the 'right' people were involved and financial requirements were
addressed, is appreciated. You truly approached the endeavor as an Owner!
Vernon Seymour — IS Vendor Management Consultant
Thank you Tadd for your assistance in getting our RRT technology to the next level!
Nicole Lund — Assistant Director Compliance Oversight &
Review
Thank you Tadd for your assistance in getting our RRT technology to the next level!
Paula Asen — Director Field Integration
Thank you Tadd for all your efforts in gathering the requirements for the Yammer experiment,
continuing to educate the Electronic Communications Compliance team on compliance issues, and
helping me with the improvements that we are planning for 2015. Your knowledge and "can do"
attitude has been awesome! Thank You!
Dan Nagel — Electronic Communications Compliance Lead
Consultant
As I mentioned in our meeting yesterday, the leadership in the department expressed great
appreciation for the skills, knowledge, and relationships you have developed within Enterprise
Compliance. I appreciate the unique talents, contributions, and styles that you bring to your work
every day. THANK YOU!!
Ricky Frank — Director Systems
Thanks for taking the initiative to fix and update the EC Systems team Resource Planning Excel sheet.
This truly shows your commitment to Act Like An Owner
Michael Legut — Assistant Director Human Resources

4. Tadd provided outstanding perspective and guidance in reducing a complex ownership situation for
the Network Prevent module down to a manageable way to approach getting buy-in from the
stakeholders. Due to his efforts I'm confident we will be able to resolve this situation prior to our
deployment so that we don't have to delay that deployment.
Scott Matuszak — Senior Project Manager
Tadd, I appreciate your assistance in helping to drive a resolution for the OneDrive showstopper issue
with Microsoft. Your willingness to take the time to help partner with Microsoft to help develop an
acceptable solution was critical in helping us move in the right direction.
Jon Kane — Architecture Lead Consultant
Thanks Tadd for all your hard work on the Texting effort! With all of your investigation and analysis
of the texting options, today's Texting presentation at the Field Committee meeting was a success.
The committee was very appreciative of our efforts in presenting options to an urgent need. Thanks
for your dedicated help on this!
Dan Nagel — Electronic Communications Compliance Lead
Consultant
Dan and Tadd - Excellent work on the texting presentation to the Compliance Field Committee
yesterday. It was clear you had done very through research on options - all of which were responsive
to the input we got in January. The visuals helped convey your points nicely, and the dialogue during
the presentation was fantastic. I am excited about the direction you are leading us and look forward
to continuing down this path with you!
Sarah Schott — Vice President Compliance
Tadd - thank you for pulling together the diagram around how policy-based encryption works for NM
and non-NM email! It greatly helped clarify how things work and got us to the answers more
quickly!!
Ricky Frank — Director Systems
Tadd, thank you for taking the time again and again for assistance with my project. I know you are
extremely busy and yet you always seem to have some time to answer my question or attend a
meeting. I very much appreciate the help.
Kimberly Sparapani — Lead Business Consultant

5. Kim & Tadd - thank you both for your ideas, research, and talking points for my presentation to the
field supervisors at Annual Meeting! I greatly appreciate you taking time out of your already busy
schedule to help me pull the information together.
Ricky Frank — Director Systems
Thank you for making time in your busy schedule to attend some portion for Annual Meeting and/or
work the Enterprise Compliance booth!! I hope you had fun, got to know fellow department
individuals better, and learn more about what the field does!! So great to have so many of the team
participate!!!
Ricky Frank — Director Systems
A little later than I wanted but I wanted to recognize the Electronic Communications Team for all of
the work you did from a compliance, supervision, and legal perspective to enable the Yammer for the
Field Experiment. I know there was a lot of work that needed to be done in a short timeframe and
this group worked extremely well together to make that happen!! Nice job finding a way to move this
important effort forward!!
Ricky Frank — Director Systems
Thank you for being so helpful in my recent questions regarding our policies for electronic
communications. I value your insights, responsiveness, and the final resolution!
Kristy Litchford — Business Consultant Director
WOW - thank you for bringing the Click to Chat service channel EVF from idea to reality! I appreciate
your dedication to work through the challenges and continue with a very aggressive timeline. Thank
you!
Carrie Bleck — Dir Front End Process Operations
Thanks for your willingness to jump in as I endeavor to "embrace change" using new technology
during a large cross-campus and cross-department Skype meeting.
Linda Kizivat — Insurance & Investment Consultant
Thanks Tadd for all your work on the Field Skype effort.
Kyle Behrens — Lead Business Consultant

6. Thank you for the quick turnaround on the Skype for Field administrative policy and escalation
documentation you provided to support one of our distribution strategy pilots. We realize you are in
transition and very much appreciated your willingness to help and to provide direction on how to
manage this.
Nilsa Wilbur — Lead Business Consultant
Tadd, Thanks for all the help and guidance you have provided over the past several years with our
group and the Electronic Communications Team.
Bryan Maersch — Systems & Project Specialist
Thank you Tadd for all your hard work and everything you have done for the Electronic
Communications space. Although we will really miss you, you have brought Tom and I along and
have really helped us to learn about compliance and get a better understanding of all the intricacies
of FINRA eComm rules and regs. I think we are in a much better position to manage this space as we
go into 2016 because of all the help you provided. I also want to commend you on your help with the
consulting framework, we are now ready to operationalize and you had a lot to do with it. Lastly,
thank you very much for your attention to detail with your transition plan and knowledge sharing.
You made the commitment to make sure we had your information before you left. Thank you for all
the hard work this year and we will really miss you!
Dan Nagel — Electronic Communications Compliance Lead
Consultant
Thank you for your support in developing compliance training content throughout the year! We
appreciate your review of training content, your contributions to the content, and your valuable
insights as a subject matter expert for the online compliance training courses. We could not achieve
our goal of delivering high quality training content for our representatives and field force without
your help and support! Thank you for your contributions to our compliance training initiatives!
Anne Frigo — Director Compliance
I'm thankful to have the chance to get to know you and excited for your new opportunity. Thank you
for being so thoughtful about transitioning your work. You demonstrate great pride in all that you do
and that is much appreciated. This will translate well into your new role and I am sure you will have
much future success.
Tracy Byron — Application Development Manager