tom clough

president

About

President & COO at Pension Resource Institute, LLC

Country

united states

City

prairie village

Industry

financial services

Skill

securities, series 24, finra, broker dealer, securities regulation, capital markets, bank secrecy act, 401k, alternative investments, asset management, erisa, aml

Experience

associate vice president and district director

financial industry regulatory authority (finra)

2000-5 - 2010-10 · 10 yrs 6 mos

Directed staff of 33 in annual execution of FINRA regulatory programs throughout a seven- state territory that included 250 member firms, 15,000 branch offices and 115,000 registered representatives. Managed annual operating budget of $5 million. Reported to Senior Vice President.

supervisor of examiners

nasd

1984-7 - 1997-4 · 12 yrs 10 mos

* Self-regulatory organization for all securities firms in the United States. Predecessor to FINRA. Managed examination team responsible for executing multiple NASD regulatory programs (1990 * 1997). Conducted investigations and examinations covering multiple NASD regulatory programs (1984 * 1990).

chief compliance officer

bma financial services

1997-4 - 2000-4 · 3 yrs 1 mo

Managed the broker-dealer’s overall compliance with SEC, FINRA and MSRB rules.

president and chief operating officer

pension resource institute

2012-1 - 2015-11 · 3 yrs 11 mos

Pension Resource Institute is a nationwide consulting firm founded to assist organizations in establishing efficient, compliant and profitable strategies in the qualified marketplace. Tom leads PRI’s initiatives related to the development and distribution of PRI’s ERISA Compliance Subscription Service. Additionally, Tom participates in the global review and custom consulting projects, with an emphasis on broker-dealer and registered investment advisers.

president

barber financial group

2015-12 - Present · 10 yrs 10 mos

Barber Financial Group is a registered investment advisor whose mission is simple – we help our clients live with clarity and confidence by delivering a comprehensive approach to retirement planning. Our approach includes a thorough look into our client's investment management needs, taxes, estate plans, and insurance solutions necessary to live their one best financial life. In my role of President I am accountable for the organization's P&L results, executing the business plan, holding the Leadership Team accountable, and keeping the organization on a steady pace of growth. This role allows our founder, Dean Barber, to maintain his focus on serving his clients and strategic thinking and permits our partners to do what they do best, which is to serve our clients and develop our advisors! When not at work, I enjoy spending time with family and friends. This includes attending our children's sporting events, watching Mizzou football games, and traveling to the beach during our annual summer vacation.