Add Focused Experience
to Your Strategy
Add a uniquely experienced industry professional to your senior management team on an as-needed basis for project, function-specific, or retainer engagements.
Dodd McGough is a financial services industry professional with more than 20 years experience working for firms at the national level as an investment broker, regulator, consultant and senior manager. He has held Series 7, 24, 27 and 53 registrations and has been licensed in both life and health insurance.
Dodd also maintains strategic relationships with specialists that work specifically with broker dealers and registered investment advisors to conduct mock examinations and address regulatory, registration and structural issues.
Value Proposition Development
- Help broker dealers attract producer groups, advisors and key talent.
- Assist producer groups and firms to define/develop their value propositions and manage vendors.
- Assist in strategic development of practice enhancement offerings.
Adding and Developing New Business Lines or Services
Design and develop an overall plan including feasibility, scope and implementation (including acquiring personnel) to enhance the firm’s efforts.
Profit Center Development
Develop revenue from existing activities and identify new opportunities.
Mergers and Acquisitions
Regulatory risk, profitability analysis and synergistic opportunities review.
Vendor Vetting
Review and analyze industry specific vendors including clearing firms, technology application developers, business enhancement service providers and specialized industry consultants.
Analysis of Strengths, Weaknesses, Opportunities and Threats (SWOT)
A targeted review that is useful for either internal analysis or to reveal the strengths and weaknesses your firm versus the competition.
Supervisory Structure
and Systems
- Review use of personnel and technology and evaluate efficiencies.
- Make best practices recommendations with considerations for the firm’s priorities and approach.
Errors and Omissions Management
Assist in identifying broker services, development and communication of programs including the corresponding administration process for maintaining them.
Risk Committee
Assist in developing a committee for ongoing risk assessment for various functions (trading, credit, products, etc.). Create policies and procedures for implementation and provide information on potential risks.