1. THOMAS J. LEWIS
tomlewis2002@hotmail.com • 240.274.8276
Experienced and dynamic leader with solid background in financial services, including
management, compliance and branch administration. Excellent troubleshooting and
problem resolution talents; strong ability to set priorities and implement decisions to
achieve goals and deadlines. Spearhead staff training and development with focus on
enhancing skills, sharpening knowledge, and improving organizational performance.
Financial Services Competencies
• Branch Management - Sixteen Years
• Service and Sales Team Development
• Financial Product Knowledge
• Mutual Funds, Options, Stocks
• Compliance and Risk Management
• High-Quality Operational Support
• Client Relationship Management
• Internal Control Standards
• Sound Judgment & Decision-Making
• Communication & Presentation
• Troubleshooting & Resolution
• Series 7, 8, 24, 63, 65 FINRA Licenses
CAREER EXPERIENCE
SCOTTRADE INC., Rockville, MD
Branch Manager, 2003 to 2014
Managed operations of branch office, including supervision of staff members. Hired,
trained, counseled and developed branch staff to deliver high level customer service and
maintain compliance with governing regulations and company policies. Researched and
handled all client complaints. Grew branch assets by leveraging customer contacts,
seminars and lead follow up.
Key Contributions:
• Trained and developed team members, some of whom became future branch
managers.
• Contributing team member, tasked with providing feedback on mutual fund trading
software.
• Led the initiative to relocate branch office to a more visible location to attract
additional clients.
TD WATERHOUSE, Indian Wells, CA
Branch Manager, 1998 to 2003
Supervised team responsible for identifying and targeting potential new business while
servicing needs of existing clients. Trained staff on company policies and regulatory
compliance. Built effective relationships to ensure seamless customer service. Developed
and delivered presentations to new and existing clients; discussed financial products that
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2. would be a good match for clients. Worked with staff to develop individual and group
performance goals; provided ongoing feedback.
BANK OF THE DESERT, Indio, CA
Vice President-Corporate Affairs, 1990 to 1997
Managed bank's bond portfolio. Member of Board of Directors and bank loan committee.
Responsible for bank compliance audits. Provided training for bank employees on new and
updated banking regulations. Bank representative for community functions.
EDUCATION
UNIVERSITY OF SOUTH DAKOTA, Vermillion, SD
B.A. Degree in Business Administration
University of Colorado, Boulder, CO
Graduate School of Banking at Colorado
American Bankers Association, Norman, OK
National Compliance School
National Graduate Compliance School