Merritt Harrell
About Merritt Harrell
Merritt Harrell is a Supervisory Principal with a background in Human Development and Business from Virginia Tech, holding Series 7 and Series 24 licenses.
Title: Supervisory Principal
Merritt Harrell serves as a Supervisory Principal, where he plays a pivotal role in overseeing the adherence to regulatory compliance and supervision of registered representatives. His responsibilities revolve around ensuring that all policies and procedures are comprehensively understood and implemented by the teams under his supervision. Harrell's role requires a deep understanding of regulatory matters, as well as an ability to provide tailored guidance to maintain high standards of compliance.
Education and Expertise
Merritt Harrell is an alumnus of Virginia Tech, where he graduated early with a Bachelor of Science in Human Development and a minor in Business. His educational background provides a strong foundation in both human behavior and business principles, enabling him to effectively manage and supervise teams. Additionally, Harrell holds Series 7 and Series 24 licenses, further validating his expertise in the financial services industry, particularly in regulatory and compliance matters.
Background in Supervision and Regulatory Matters
In his professional journey, Merritt Harrell has accumulated substantial experience in the supervision of registered representatives and addressing regulatory concerns. His background is marked by a unique approach to regulatory compliance, focusing on creating a thorough understanding of policies and procedures among his supervisees. Harrell's expertise allows him to navigate complex regulatory landscapes and devise strategies to ensure organizational adherence to industry standards.
Approach to Compliance and Regulation
Merritt Harrell is known for his individualized approach to supervision and compliance. He emphasizes the importance of a thorough understanding of policies and procedures, ensuring that each team member is well-informed and compliant. Harrell's strategy involves tailoring his guidance to meet the specific needs of his team, which helps in maintaining a high level of regulatory adherence. His methods reflect a balance between understanding human development and stringent compliance standards.