Dan Tobin — Chief Operating Officer · Carson Group

I am a results-driven executive with broad-based operations, trading, sales, supervision, compliance, risk, and advisory services experience acquired through my career with Clearing Firms, Broker Dealers, and Registered Investment Advisors. I am a people manager first since the foundation of all success happens at the team level; there is no individual stronger than the team. My primary focus as a leader is on continuous improvement of all aspects of business functions; the better the process, communication, culture, work-life balance, diversity, client first attitude, adherence to rules and regulations, risk mitigation, interdepartmental understanding of all aspects of the business, revenue growth, etc., the more successful the company will be in the short term and long term.

Prior to being named Chief Operating Officer at Carson Group, I held positions in compliance, risk management, operations, trading, sales, and supervision during my career which started in 1999 with Ameritrade. I currently hold the Series 7, 24, 53, and 63 registrations.

Born and raised in the Omaha area, I graduated from Augustana College (now Augustana University) in Sioux Falls, SD in 1999 with a bachelor of arts degree and a major in mathematics. I had two career offers after graduating college, actuarial sciences and financial services. I chose financial services because if perhaps the career choice did not end up my long-term path, the things I would learn would help me for my future.

Throughout my career in financial services I have learned much but most importantly I have learned great teams with great leadership is the most important factor in a successful business, risk mitigation is just as if not more important than revenue growth, and a positive company culture is required for a company to keep internal and external stakeholders engaged.

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