1. Thaddeus Crass
1414 34th Avenue 309-644-2710
Rock Island,IL61201 mtcrass@yahoo.com
Professional Profile
High-performing executive and manager in the financial services industry offering25 years’experience with expertise in
building/optimizingorganizational processes,measurement systems and metrics, and maximizingbusiness results including
but not limited to: Compliance,Operations, Marketing, Registration,Commissions,Risk Management, Due Diligenceand
Accounting. Skill strategistwho transforms strategic plans into workablesolutionsand benchmarks performanceagainst
key operational targets and goals. Highly effective planning,organizational,and communication skillsas well asa solution-
oriented approach to problem solving. Demonstrate a common vision and develop a dynamic team based on trust and
mutual respect. Availablefor travel.
Professional Qualifications and Achievements
 Develop all areasof broker/dealer/RIA as COO/CCO/VP and Senior Management
 Builta field force from zero to more than 1000 financial representatives with AUM of more than $1.2 billion
 Continuously increaseprofits by 12%year after year whilereducing expenses by 30% by improvingsystems and
efficiencies
 Integrate functional strategies,utilizingbusinessexpertiseto reach financial and operational objecti ves,and the
sales goals setby senior management
 Excellent management, organizational skills and leadership with an understandingof all differentfunctions of an
organization
 Influencedepartments by leading,planningand effectively managingthe many changes in today’s constant
changingenvironment and regulations
 Lead cross-functional teams that collaborateas a focus unitto achieveaggressivebusiness goals and drivethe
evolution of concepts into achievablebusinessstrategies
 Effectively manage financial servicesprocess with closeattention to budget, time frames and quality
 Disseminate,understand and implement all policies and procedures both internally and externally
 Excellent communication,customer serviceand negotiation skills
 Good atstatistical analysiswhich provides a strongbasefor decision making
 Harmonize all differentareas,departments and policies and procedures includingbut not limited to: Compliance,
Operations,Marketing, Sales,Compensation, Licensingand other areas within the company
Professional Experience
Lincoln Financial Advisors Fort Wayne, Indiana
Designation: Officer – General Services, (2014-2015)
 Manage and oversee many areas of the broker/dealer includingbutnot limited to Compliance, Operations,Trade
Desk, Suitability,Call Center; includinghiring,trainingand educatingstaff
 Work closely with the Compliance,Licensingand Compensation departments
 Handlecomplex complianceand operation issues when they arise,and if needed research,respond and take
appropriateaction;documenting the results
 Manage and oversee the budget for departments
 Work with the regulators;includingSEC,FINRA and the state regulators in their exams and issues thatarise
 Project manager for policies and procedures,compensation and systems

2. MWA Financial Services Inc. Rock Island,Illinois
Designation:COO/CCO/VP, (2000-2014)
 Manage and oversee the Operations,Compliance, Risk Management, Marketing, IT, Call Center, Due Diligence,
Registration,Commissions and Accountingdepartments growingstaff from 0 to 35
 Instrumental in building a financial servicefield forcefrom zero to more than 1000 financial representatives with
AUM of more than $1.2 billion,which also helped increasethe parent companies AUM from $8 billion to more
than $13 billion
 Create, manage and oversee the $7.2 million annual budget,always comingwithin less than 1% of budget while
reducingexpenses
 Work closely with the regulators and auditors;includingSEC,FINRA and the state regulators on issues thatariseas
well as exams, with no or minor deficiencies
 Establish theauditingprogram,firm element, and yearly compliancerequirements both for financial
representatives and internal departments
 Handleany disciplinary actionsboth externally and internally
 Resolve complex complianceand operation issues when they ariseand if needed; research, respond and take
appropriateaction
 Handlecomplianceaudits and marketingpresentations for the field force
 Oversee and manage the day-to-day operations of the firm, includingbutnot limited to Compliance,Operations,
Registration,Commissions,Risk Management Due Diligenceand Accounting
 Strategic shortterm and longterm planning for the company, the insurancecompany, as well as the numerous
departments reporting to me
 Make key decisions on strategies to improve productivity
 Analyze, write, review and sign off on all exception reports as officer of the firm
 Educate, train and market to the 1000+field force representatives on an ongoing basis
 Negotiate contracts and relationship manager for all outsidevendors and partners
 Influencedepartments by leading,planningand effectively managingthe many changes in today’s constant
changingenvironment and regulations
AAL Capital Management Appleton, Wisconsin
Designation: Operations Manager,(1992-1999)
 Responsiblefor effective operations management of day-to-day business
 Integral partof increasingsales and AUM from less than $1 billion in assets to over $10 billion
 Instrumental in buildinga field forcefrom less than 200 to more than 1500
 Manage the compliancearea and create the policies,procedures and best practices for the broker/dealer
 Harmonize the internal and external policies and procedures
 Design and put in placethe auditingof the financial representatives and worked with the regulators in determining
best practices.
 Oversee the conversion from the NFS platformto the Pershingplatform,which increasebusiness by 50%to $50
million in sales
 Coordinate, plan and monitor the implementation of strategies in different departments to assurebest results
Education
Bachelor of Business Administration Marian College
FINRA Securities Licenses: 7, 24, 63, 53, 4 and 27, SROP, CROP
Achievements
 Financial Services Instituteboard
 LOMA board
References
Availableupon request