- Regulatory and Risk Management Challenges
- Reg BI, Investment Advisory and Fiduciary Standards
- Broker-Dealer Litigation and Consulting
- Cross-Selling Opportunities within Large Organizations
- Fees, Commission Pricing, and Compensation Plans
Andrew LippmanSenior Consultant
Andrew Lippman has over 35 years of front office experience solving ambiguous and complicated problems, extensively working with Senior Management and Business Leaders, along with Legal, Compliance and Supervision to create scalable and practical solutions for firms. With prior roles as an internal and external consultant, Mr. Lippman understands complex business issues and successfully partners with back office support areas to define and help them understand the end-goal. He then oversees the design, implementation, and the ultimate communication, acting as a change agent for the organization.
In his most recent role as a Vice President with Raymond James, Mr. Lippman began as a Consultant and then became a full-time employee to assist the Firm to drive organizational change, working on projects across all affiliation models (employee, contractor, hybrid, RIA/custodial). Highlights include SEC Reg BI, the DOL Rule, pricing, and creating and implementing a series of dashboards to provide practice management and compensation metrics to the Field and Home Office.
In other roles, Andrew consulted with UBS, and then was a consultant on legacy Prudential Securities matters, following its acquisition by Wachovia Securities. Prior to this role, for more than 20 years, Mr. Lippman worked for Prudential Securities.
Mr. Lippman earned his degree in Mathematics with a minor in Economics from New York University.