Dan Butterfield

Past

Product Manager Web 2.0 Compliance Solutions at Kaplan Financial
SVP Director of Licensing, Registration and CE at Essex Corporation, Napa, CA
Financial Consultant at American Savings Bank (now part of Washington Mutual)

Financial Consultant at Merrill Lynch, San Francisco, CA

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Education

Xerox University
Claremont McKenna College

Recommended

6 people have recommended Dan

Connections

123 connections

Industry

Information Technology and Services

Dan Butterfield’s Summary

Dan Butterfield
Product Manager, Compliance Solutions
Director of Major Accounts

In January 2002, Dan joined Dearborn Financial Services, a subsidiary of Kaplan, in the role of Director of Major Accounts. He was responsible for managing Dearborn's major client relationships in the Western U.S. Dan also negotiated new business agreements and drafted RFP responses.

Secondary to his Major Accounts responsibilities, Dan was a key company subject matter expert on Kaplan's compliance database projects. As Kaplan became more deeply involved in Web 2.0 compliance solutions design/build, Dan was promoted into the role of Product Manager, Compliance Solutions.

Dan Butterfield currently oversees the Kaplan Financial Securities Regulator product development - a Web 2.0 compliance application for broker-dealers investment advisors and insurance companies.

Dan has a 25-year tenure in the financial services and technology industries. He began his career with a nine-year stint as a Merrill Lynch financial consultant. Dan later joined a broker-dealer subsidiary of John Hancock as a Senior Vice President responsible for broker-dealer registration, licensing and appointments, and rep continuing education.

Dan is a subject matter expert in broker-dealer compliance, fixed and variable annuity products, compliance systems and database design, continuing education (CE) and agent/rep licensing. Dan has authored numerous financial services training, marketing and sales materials and built an online learning platform for industry CE requirements.

LICENSES
NASD Series 24
NASD Series 7
NASD Series 63

Dan Butterfield’s Specialties:

Broker-dealer compliance subject matter expert. ASP broker-dealer compliance solutions and online continuing education (insurance and securities).

Dan Butterfield’s Experience

Product Manager Web 2.0 Compliance Solutions

Kaplan Financial

(Public Company; WPO; Financial Services industry)

January 2002 — February 2008 (6 years 2 months)

Product Manager, Compliance Solutions - Responsible for defining features, requirements and product roadmap for Kaplan’s ASP compliance application - Securities RegulatorTM. Liaison between technology teams in India and United States based business/IT groups. Assist sales team in client-facing compliance solutions presentations. Represent Kaplan Financial at industry/regulator conferences. Act as Kaplan Financial’s primary liaison with FINRA and SROs.
SVP Director of Licensing, Registration and CE

Essex Corporation, Napa, CA

(Public Company; 10,001 or more employees; MFC; Financial Services industry)

October 1990 — November 2002 (12 years 2 months)

Directed a staff of nine - two registration managers and seven coordinators. Responsible for all CE, licensing, appointment and registration activities under Essex National Securities, Inc. (ENSI) and affiliated insurance agencies. Co-architect of CLARC/STARS an internally developed compliance application. Officer of Essex’s broker-dealer - (ENSI) and senior member of ENSI’s disciplinary action committee. Established Essex Continuing Education in 1992. Developed ENSI’s annual needs analysis and firm element training plan. Implemented insurance and NASD CE programs for more than 7,000 agent/reps affiliated with Essex Corporation (subsidiary John Hancock - Manulife). Developed numerous securities and annuity product/sales training programs. Authored a wide variety of product and technical materials for Essex and ENSI. Delivered annuity, mutual fund, retirement plans and sales training to thousands of reps affiliated with more than fifty bank investment programs.
Financial Consultant

American Savings Bank (now part of Washington Mutual)

(Public Company; 10,001 or more employees; Financial Services industry)

September 1989 — September 1990 (1 year 1 month)

Financial Consultant, ASB Financial Services, San Rafael, CA - Handled investment portfolios for American Savings Bank customers in Marin County, CA.
Financial Consultant

Merrill Lynch, San Francisco, CA

(Public Company; 10,001 or more employees; MER; Financial Services industry)

November 1979 — December 1988 (9 years 2 months)

Retail broker with Merrill Lynch for nine years in San Francisco. Developed a successful business in the securities industry with $24 million in assets under management. Managed investment portfolios for over 300 clients. Conducted numerous investment seminars. Awarded the Colonial Funds Presidents Cup in 1984 and 1985. Received Tandem Award for annuity sales in 1988. Received special recognition for administering Merrill Lynch Corporate Challenge running events.

Dan Butterfield’s Education

Xerox University

Certified Instructor , Professional Sales Skills , August 1995 — September 1995

Activities and Societies:

Xerox University, Leesburg, VA - 1995 Certified Instructor for Buyer Focused Selling - Designed for the financial services industry.
Claremont McKenna College

BA , Economics , September 1976 — June 1979

Activities and Societies:

Dean's list; four years varsity basketball