Tom has held executive-level Operations and IT leadership roles across securities operations and clearing organizations. He is deeply versed in current industry best practices within investment management middle- and back-office disciplines and has led numerous business analyses and operational improvement initiatives, including the implementation of enhanced reconciliation procedures and straight-through processing models to strengthen portfolio management and client servicing support.

Tom has extensive experience executing operations management frameworks for both in-house clearing and fully disclosed brokerage firms and has played a central role in building and scaling self-clearing operations at multiple institutions, including KeyBank, E-Trade, and Discover Brokerage.

While serving as SVP and CIO of Legent Clearing (now COR Clearing LLC), Tom led technology vendor management, correspondent conversions, and the implementation of a new compliance processing platform and data architecture. Previously at Thomas Financial, he developed and executed implementation plans for a new brokerage support division, overseeing platform conversions, training programs, operational readiness, and the build-out of a consulting team supporting middle- and back-office brokerage operations.

Earlier in his career, as First Vice President and Operations Manager of Discover Brokerage, Tom helped design and launch a brokerage operations center in Utah, scaling it to a 75-person organization processing more than 16,000 daily executions. This initiative enabled Discover to transition from a fully disclosed model to a self-clearing firm within nine months. In this role, he established internal controls and procedures across 11 departments and developed system interfaces with The Bank of New York, DTCC, NSCC, and the Office of the Comptroller of the Currency (OCC).

Tom has previously held a Series 7, 24 and 27.