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2012 Annual Convention Speakers

 

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Speakers

Jeremy Alexander, President and CEO, Beacon Research

Mitchell C. Atkins, Regional Director, FINRA Boca Raton

Robert F. Baur, Ph.D, Chief Global Economist, Principal Global Investors

Peter Bielan, Founder, Bielan Consulting, LLC

Alan H. Blank, President, Midwood Financial Services, Inc.

James Bowen, CEO, First Trust Portfolios

Brett C. Bowers, Director, MidFirst Investment Services

John Bracco, Vice President of National Accounts at Forefield, Broadridge Financial Solutions

Tamara Ann Burden, CFA, FSA, MAAA, PRM, Managing Director, Pension and Endowment Risk Management

Marc Butler, Managing Director, iNautix, an affiliate of Pershing, a BNY Mellon company

Tony Cole, Author, Presenter, CEO, Anthony Cole Training Group

Robert Comfort, President, Huntington Investment Company

Frank Consalo, SVP Sales Executive, PNC Investments

Bob Corsarie, Fifth Third Securities

Jack Cramer, President, Cramer and Associates, Inc.

Wayne Cutler, Co-Founder and Partner, Novantas, LLC

Mark J. Czarnecki, President, M&T Bank 

John Diehl, CFP®, CLU®, ChFC®, Senior Vice President, Strategic Markets, Wealth Management, The Hartford

Casi DiLeva, Vice President, Program Manager, Licensed Banker and Life Insurance, UnionBanc Investment Services

W. Scott Dixon, Financial Advisor Channel Manager, SunTrust Investment Services, Inc.

Maureen Douglas,Vice President and Sales and Training Director, Apple Bank for Savings

Steve Dowden, President & CEO, INVEST Financial Corporation

Dawn Dupre, Executive Vice President, Citizens Financial Group, Inc. and President, CCO Investment Services Corp.

Wes Egan, Wells Fargo - Wealth Brokerage Services

David Foster, Vice President, Asset Accumulation Sales, CUNA Brokerage Services, Inc

Gary J. Gallagher, Senior Vice President, Investment Products, Fidelity Institutional

Lou George, Group Vice President and National Sales Director, M&T Securities, Inc.

Eric Greitens, Keynote Speaker

Sean Grindall, J.D., Senior Vice President, Managing Director of Product Management and Research, PNC Investments

Joseph Hart, Executive Vice President, Realty Capital Securities

John F. Hartigan, Partner, Morgan Lewis & Bockius LLP

Timothy E. Hill, FSA, MAAA, Consulting Actuary and Principal, Milliman, Inc.

Thomas Howe, President, Webster Investment Services

Ramsey Jones, First Citizens Investor Services

Craig Kamis, Senior Vice President, Business Development & Advisor Recruiting, LPL Financial Institution Services

Thomas C. Kane, Managing Director, KaneCarlton, LLC

Denis Kaplan, Chairman and Chief Executive Officer, P2 International

Mark Kaplan, President and Chief Distribution Officer, P2 International

Joseph R. Kelly, Head of Sales, National Financial

Melinda Koosman: Forethought Distributors, LLC Director of Training, National Accounts

Michael McGowan, Vice President, Albridge, an affiliate of Pershing, a BNY Mellon company and Vice President, Pershing, a BNY Mellon company

Sanjiv Mirchandani, President, National Financial

Robert J. Mittel, Vice President and Financial Institution Channel Leader, Prudential Financial

Kevin Mummau, EVP Program Development, CUSO Financial Services, LP

Will O'Rielly, CFA, CFP™, Senior Vice President; Investment Sales Consulting Group, SunTrust Banks, Inc.

Keith Pipes, Executive Vice President, Lending & Financial Services,Wescom Credit Union

Dan Overbey, President/CEO, BankUnited Investment Services

Vance A. Richard, Senior Vice President and Program Manager, Iberia Financial Services, LLC

John S. Rolander, Partner, Booz & Company

LeAnn Rummel, EVP, National Sales Manager, PrimeVest

Jeff Schwantz, Vice President, Pershing, a BNY Mellon company

Ron Shevlin, Senior Analyst, Aite Group

Peter W. Snyder, Chairman, Board of NACUSO 

Gavin Spitzner, SVP, Business Development, Prudential Wealth Management Solutions

Richard D. Starr, Chairman, Financial Institutions Group, Inc.

Scott G. Stathis, Managing Director & COO, Kehrer-LIMRA

Christine M. Strickland, Managing Director, Timoleon Group, LLC and LBE Coach

Serge Troyanovsky, Managing Director, Head of Retail Distribution North America, Global Equities & Commodity Derivatives Group, BNP Paribas

Stephen Truso, Senior Vice President, U.S. Bancorp Investments, Inc. and U.S. Bancorp Insurance Services, LLC

Keith J. Weber, CFP®, CPRC, President, Weber Consulting Group, LLC

Paul A. Werlin, President, Human Capital Resources, Inc.

John White, Vice President of Sales, Retirement Solutions Division, Pacific Life Insurance Company

Bruce E. Wolfe, CFA, Managing Director and Chair of Allianz U.S. Retirement Market Executive Committee, Allianz Global Investors

 

Biographies

Jeremy Alexander, President and CEO, Beacon Research

Jeremy Alexander is President and CEO of Beacon Research, a data and application service provider founded in 1997 and based in Evanston, IL. Beacon tracks fixed and variable annuity features, rates and sales. It provides comprehensive, carrier-approved annuity product profiles and search tools for rep websites. Home offices use its systems for compliance, sales support, conservation and product research. Beacon’s quarterly Fixed Annuity Premium Study is the first and only source to analyze product-level sales. Directly and through its data licensees, Beacon supports hundreds of financial institutions and other annuity distributors.

Jeremy was previously chief operating officer of Alexander Associates, one of the nation’s largest independent annuity brokers. A frequent speaker at industry conferences, he is often quoted in the financial press.

 

Mitchell C. Atkins, Regional Director, FINRA Boca Raton

Mitchell Atkins is Vice President and Regional Director of FINRA’s South Region (consisting of FINRA’s Dallas, Atlanta, New Orleans and Boca Raton offices). In his role, he maintains overall responsibility for the regulation of over 800 brokerage firms in 11 states, Puerto Rico and the Caribbean. He also serves as District Director in FINRA’s Boca Raton, Florida office. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. Before taking on responsibilities in Florida, Mr. Atkins served as the Associate Director in charge of the Long Island, New York, District Office of NASD. Prior to that, Mr. Atkins was a Supervisor of Examiners in the NASD New Orleans District Office. Before becoming a Supervisor, he served as a Staff Examiner, conducting examinations of virtually every type of broker/dealer. He has been actively involved in a number of national regulatory initiatives including nationwide reviews several segments of the securities industry. He conducted in depth reviews of variable insurance product sales and supervision during NASD’s variable insurance product sweep examinations and co-authored the joint NASD/SEC White Paper on Variable Insurance Products. He also assisted with the development and execution of NASD’s day-trading examination program in the late 1990s. Mr. Atkins is designated as a Certified Regulatory and Compliance Professional through the FINRA Institute at Wharton Program. He received his B.S. degree in Business Administration with concentration in the fields of Finance and Accounting from Louisiana State University.
 

Robert F. Baur, Ph.D, Chief Global Economist, Principal Global Investors

Bob is a managing director and chief economist for Principal Global Investors. In this capacity, he establishes and directs global economic policy and strategy, oversees and conducts macroeconomic and quantitative research, forecasts economic trends and anticipates market movements, and advises the investment staff in making economically sound investment decisions. He joined The Principal in 1995, and prior to assuming his current role, he oversaw equity, fixed income and currency trading. Bob received a Ph.D. in economics and a bachelor's degree in mathematics from Iowa State University. He also completed post-doctoral study in finance and economics at the University of Minnesota. Bob has numerous speaking engagements in the US and around the world. He is frequently quoted by the financial news media and appears regularly on CNBC and Bloomberg TV.

Peter Bielan, Founder, Bielan Consulting, LLC

Peter Bielan has been an active participant in the Bank owned Retail Investment and Insurance industry since 1985. His roles have encompassed Advisor, Sales Manager and President of the Retail Broker/Dealer for two of the 15 largest US Banks. Throughout his career he has strategically focused on profitably growing sales, developing the infrastructure needed for expansion, and leveraging the partnership between the Investment area and the other departments within the Bank.

In recent years he has personally championed the transformation to fee based business, established non-branch based Advisors, incorporated insurance offerings, expanded Licensed Banker platform programs and developed Advisor recruiting programs. Bielan has also performed leadership roles in the Retail Bank, providing a first hand understanding of the significance of deposits and loans.

Bielan now runs a consulting business focused on growing investment, wealth management and insurance business within Banks. This includes everything from complete program reviews, to executing specific projects, to moderating industry conferences. Much of this work is done through a partnership with industry luminary Ken Kehrer.

Bielan is a past Bank Insurance Securities Association (BISA) Board Member and has been a presenter at multiple annual BISA conferences. He holds FINRA Series 4, 7, 8, 24, 27, 53 & 63 licenses.

Alan H. Blank, President, Midwood Financial Services, Inc.

In the years since 1972, Alan Blank's career in the financial services industry has included pioneering and developing the concept of investment product and service delivery through depository institutions in the United States. Mr. Blank develops new markets, implements innovative distribution systems geared to specific bank cultural and business orientations while maintaining best practices in levels of service and delivery of training systems for partner banks, which run the gamut from small community banks to large national financial institutions. Today Midwood enjoys business partnerships with over 400 banks.

Some years ago a Fortune article referred to him as "an industry leader to watch." Indeed, Mr. Blank is a well known financial services industry expert who is regularly called upon as a keynote speaker and panelist at industry conferences and seminars throughout the country. He has been featured and interviewed by industry journals such as Business Week, Money, Personal Investor, and American Banker and has appeared on Financial News Network's "Marketplace" and "Nation's Business Today."

Mr. Blank has written articles on bank channel alternative product distribution that have appeared in leading industry journals like American Banker, Banks in Insurance Report, the Financial Institutions Marketing Association (FIMA), The Bankers Magazine, and National Underwriter. He has also authored Investment Product Marketing: Retail Marketing Through Financial Institutions.

Prior to founding Midwood Financial Services, Inc., Mr. Blank was the key driver in developing American Skandia Life's variable annuity financial institutions distribution system. Over a two-year period, from a starting point of zero, American Skandia's financial institutions variable annuity business grew to over $400 million in annual volume.

One of the highlights of Mr. Blank's entrepreneurial career was the founding and rapid development of PAMCO Securities and Insurance Services, one of the first and most successful third party annuity marketing firms in the United States. PAMCO became best known for providing innovative investment product delivery systems for many of the country's leading financial institutions. PAMCO was a registered broker-dealer and licensed life and variable life and annuity agency, providing non-traditional investment products and services to bank customers.

Other notable career achievements include heading up A.H. Blank + Company, another successful entrepreneurial effort delivering nontraditional financial products and services through the bank channel on a national basis. Previous positions of note included stock brokerage experience with E.F. Hutton and a regional management position with Great Western Savings & Loan Insurance Agency.

Mr. Blank graduated from the University of Bridgeport with a B.S. Degree in Economics and Marketing and is a registered principal with FINRA. He joined Deloitte & Touche, Cigna Securities and other financial services firms to found the National Society of Compliance Professionals, a not-for-profit association focusing on regulatory issues to help serve the public with honesty and transparency in financial product and service delivery.


James Bowen, CEO, First Trust Portfolios

JAMES A. BOWEN is CEO of First Trust Portfolios L.P. and its affiliate, First Trust Advisors L.P. He is responsible for the strategic direction of the firms and putting teams in place to meet the many demands of the marketplace with the products and services the firms offer.

Prior to forming First Trust Portfolios with several partners, Mr. Bowen was responsible for the First Trust product line at Clayton Brown & Associates, an innovative unit investment trust sponsor. In 1991, Mr. Bowen was instrumental in leading the purchase of the First Trust product line from Clayton Brown & Associates. Since that time, First Trust Portfolios has grown to be the largest independent unit investment trust sponsor, by sales, in the United States. Under Mr. Bowen’s direction, the firms have expanded their offerings to include closedend funds, separately managed accounts, variable annuity sub-accounts, exchange-traded funds and exchange-traded notes. The firms are also affiliated with several specialized money managers, which allows it to offer additional investment solutions to its client base.

Mr. Bowen has over 30 years of experience with packaged products for financial services. Prior to forming First Trust, he held executive positions at various financial institutions. He earned his bachelor’s degree from Wheaton College in Wheaton, Illinois and is currently a member of the Board of Trustees.

Brett C. Bowers, Director, MidFirst Investment Services

Brett C. Bowers is the Director of MidFirst Investment Services,providing financial planning, investment and insurance services. Bowers has more than 30 years of experience in the financial and investment industry. Prior to MidFirst, he was at Banc of America Investment Services, where he served as the Regional Investment Integration Manager. Before this, Bowers was a Regional Manager for the company. He holds FINRA Licenses 4, 7, 24, 52, 53, 63, 65 and is an Accredited Asset Management Specialist. Bowers graduated from the University of Oklahoma with a BBA in finance and the ABA School of Bank Investments.

John Bracco, Vice President of National Accounts at Forefield, Broadridge Financial Solutions

John Bracco is the Vice President of National Accounts at Forefield, a division of Broadridge Financial Solutions, Inc. John is responsible for building relationships with Forefield Clients in the financial services industry. John's prior experience includes managing accounts for Allmerica Financial to help increase the market share of variable annuity and variable life products within financial institutions and broker dealers. He had previously been involved in the sale of software applications and financial products both at the individual and corporate level. John holds a Bachelor of Arts from Boston College and has his Series 7, 65, 63 and Life & Health Insurance Licenses.

John resides in the Boston area with his wife and 9 year old son. In his spare time he can be found traveling between hockey rinks and athletic fields.

Tamara Ann Burden, CFA, FSA, MAAA, PRM, Managing Director, Pension and Endowment Risk Management

Tamara is a principal and financial risk management consultant in the Dallas office of Milliman. Since joining Milliman in 2004, Tamara has led a number of high-profile hedging and product development initiatives for retirement savings guarantees, as well as managing a number of hedge programs for both U.S. and international companies.

Tamara is currently responsible for the expansion of Milliman's fund advisory services to the defined benefit pension market, endowments and foundations. In this capacity, she is working with pension funds and other institutional clients to bring the sophisticated risk management techniques that insurance companies have relied on for a decade into the pension and endowment market.

Tamara is a CFA Charterholder and in 2006 was nominated (1 of 17 worldwide) for the Professional Risk Managers' International Association's Professional Risk Manager of the Year award.

Marc Butler, Managing Director, iNautix, an affiliate of Pershing, a BNY Mellon company

Marc Butler is a Managing Director for iNautix, an affiliate of Pershing, a BNY Mellon company. Mr. Butler coordinates and provides input into iNautix and Albridge's strategy formulation and execution, corporate development activity, and other projects and strategic initiatives within Pershing.

Formerly, Mr. Butler managed the Business Development Group for iNautix USA, where he oversaw customer relationship management and overall marketing activities. Prior to that, Mr. Butler was the general manager overseeing Pershing's NetExchange® suite of products. Mr. Butler joined Pershing in 1994 as a customer service associate in PC Financial Network. He has previously served on the firm's Conversion Task Force and is currently a member of Pershing's Bank Market Segment team. Mr. Butler has been in the financial services industry for more than 17 years and was formerly a member of both the Securities Industry and Financial Markets Association (SIFMA) Internet Roundtable and SIFMA Investor Education Advisory Committee. He was previously the featured technology columnist in Boomer Market Advisor, which was a monthly magazine targeted towards investment professionals.

Mr. Butler earned a Bachelor of Science degree in Finance and a Bachelor of Arts degree in Economics from Syracuse University, and has also completed the Securities Industry Institute® program, sponsored by the SIFMA at the Wharton School of the University of Pennsylvania. He has also taken graduate classes in the School of Education at Syracuse University and continuing education coursework in technology and financial planning.

Tony Cole, Author, Presenter, CEO, Anthony Cole Training Group

There is one word to describe Tony Cole and the work he performs: Exceptional. With a stellar twenty plus year career as a keynote speaker, presenter, successful sales consultant and business owner, Tony brings unparalleled insight, expertise and candor to any speaking engagement.

As founder and CEO of Anthony Cole Training Group, Tony has successfully coached thousands of people. He brings proven wisdom and best practices to companies nationwide, illustrating a parallel between army basic training, a no-excuses mentality and the accountability required for excellent performance in the business world.

Tony graduated from the University of Connecticut with a degree in Education. A scholarship athlete, upon graduation Tony leveraged his experience to coach Iowa State University and University of Cincinnati athletic teams. He then spent more than 15 years in sales and sales management positions. This unique combination of coaching and selling led him to launch Anthony Cole Training in 1991, which builds sales cultures within organizations nationwide. Anthony Cole Training Group has been recognized as a "Fast 55” — Fastest Growing Companies in Cincinnati.

Tony is the founder/creator of the Effective Selling System and Sales Managed Environment® Programs as well as the co-author of the highly acclaimed Resurrecting Anthony—A True Story of Courage and Destination, which is the basis for the inspiring Ignite the Fire Within keynote speech and workshop.

Tony is a member of the American Society of Training Development (ASTD), the Bank Insurance & Securities Industry BISA), the Cincinnati Regional Chamber of Commerce, Keith Ferrazzi's Relationship Masters Academy, OMG Partners and Resellers (top distributor) and the Sales Management Association. Tony also donates his time and expertise to the FreeStore FoodBank, which distributes food and other services to those less fortunate in the Greater Cincinnati area.

Robert Comfort, President, Huntington Investment Company

As president of Huntington Investment Company, Robert Comfort is responsible for leading Huntington’s brokerage subsidiary and retail investment program. Comfort joined Huntington in 1995 with more than 13 years experience in the retail brokerage business. Under his leadership, Huntington Investment Company has had constant growth in revenue and profits for more than 12 years, and now has 175+ dedicated registered representatives and 900 licensed platform representatives. Its sales force also has primary distribution responsibilities for other products including 401(k), Asset Management, Personal Trust and Insurance. Huntington’s investment program is widely recognized as a star performer.In 2003, Huntington was honored as the "Regional Bank Investment Program of the Year” by BISA, and in 2007, Comfort was named Executive of the Year. Comfort holds a degree in finance from Miami University in Oxford, OH, and is past president of BISA. An active member of the community, Comfort is very involved with various philanthropic organizations including Fellowship of Christian Athletes, The Salvation Army, United Way, Athletes in Action, and Project Angel Tree. He was named one of Columbus’ "40 Under 40” for top executives by Columbus’ Business First magazine. Comfortresides in Dublin, OH, with his wife, their five sons and one daughter. An avid sports fan, he coaches his sons’ ice hockey, football and baseball teams and is active in family life.

Frank Consalo, SVP Sales Executive, PNC Investments

Frank is currently an SVP Sales Executive for PNC Investments based in Philadelphia, PA. Responsibilities include the Sales Management of the Northeast and Southern markets for PNC. This market consists of approximately 320 Advisors in 9 states, with 17 Regional Sales Managers and 2 Sales Directors.

Prior to joining PNC, Frank was President of Fulton Financial Advisors, based in Lancaster PA for their 5 state brokerage operation, and Regional President for Wachovia Securities for 9 years with responsibilities of the Mid Atlantic states, Texas and California.

Frank started as a Financial advisor in 1985 and eventually became a top performing FA in Los Angeles with Citicorp Investment Services, and in 1995 was promoted to Regional Sales Director for the Citibank branch operations in Southern California. He recruited and built one of the best performing regions in the company and was Regional Manager of the year before moving to First Union Securities. The average FA productivity was in excess of $600,000 upon his departure.

While working through several mergers and acquisitions, and a member of the merger integration team for Western Savings and World Savings with Wachovia, Frank managed the Mid Atlantic states and was named Regional President of the year in 2007. While working in recruiting and developing teams in the eastern states, Frank and his team were responsible for the acquisition of the single largest account in Wachovia history – an 11 billion client that generated more than 20 million in revenue to a single financial advisor and the broker dealer.

In 2009, On Wall Street magazine recognized Frank as one of the top 10 Brokerage Managers in the brokerage industry. He was noted for having one of the highest averages in FA productivity, and recruiting results were also among the best in the securities industry.

He is originally from Southern NJ, graduated from the University of Kentucky with a degree in Marketing and Finance in 1983, and is an active alumni and member of SAE fraternity, and among all of the other Big Blue fans across the country.

Frank has been an active member in the BISA board for 5 years. He is also on the board of Mothers Home in Philadelphia, a home for unwed Mothers, as well as the Executive Board of the YMCA, and David Akers Kicks for Kids.

He currently resides with his wife Karen, and 2 teen daughters Reagan 17, and Ryann 15 in Berwyn PA. He is an avid Phillies fan, and spends many weekends traveling throughout the USA cheering on his daughters who are competitive cheerleaders.

Jack Cramer, President, Cramer and Associates, Inc

Mr. Cramer has been working with wirehouses, broker-dealers, bank investment programs, insurance companies and mutual fund companies concentrating on distribution issues since 1990. His primary focus has been to create programs that increase Advisors' sales and success by delivering industry best practices that focus on financial planning, selling and practice development.

Previously, Mr. Cramer was responsible for the sales support, training, continuing education, licensing, customer service, and marketing departments at Essex Corporation, then the largest third-party marketer of investments through over 300 financial institutions, with sales of over $9 billion during his tenure.

Mr. Cramer started his career as a Financial Consultant with Merrill Lynch in their San Francisco office and then as an Advisor with a West Coast Bank.

Wayne Cutler, Co-Founder and Partner, Novantas, LLC

Wayne specializes in wealth management and business portfolio management strategies, including operational design, merger integration, customer service strategies, and customer experience design.

Wayne has been published and quoted in The American Banker, Harvard Business Review and Crain's, and has been a platform speaker at professional groups, including the BAI and ABA.

He graduated with honors in Economics from Carnegie Mellon University, and has been a periodic guest lecturer at Columbia University and NYU Stern Business School and is an adjunct professor at Columbia Universities’ business school. Prior to Novantas, Wayne was a partner at Booz, Allen & Hamilton and First Manhattan, and an officer at JP Morgan.

Mark J. Czarnecki, President, M&T Bank

Mark J. Czarnecki is president of M&T Bank Corporation and its primary subsidiary M&T Bank. He has overall responsibility for Retail Banking, Business Banking, Consumer Lending, the Investment and Mortgage businesses and all staff functions including technology, operations, human resources and finance. He serves as a member of the board of directors of M&T and M&T Bank and M&T's Management Group.

Czarnecki began his career with M&T Bank in 1977 and held numerous managerial positions in Retail Banking, Business Banking and Commercial Lending. He joined the M&T Investment Group in 1994, and in 1995, was named president of M&T Securities, the bank's broker/dealer. In 1997, Czarnecki was appointed executive vice president overseeing the entire Investment Group. His responsibilities were expanded in 2003 to include oversight of M&T's Retail Business and was named President in 2007.

Czarnecki holds a Bachelor of Arts from the State University of New York at Buffalo and earned his Master's of Business Administration from Canisius College in Buffalo, New York.

He serves as chairman of the board of trustees of M&T Bank's partner school, Westminster Community Charter School. In addition, Czarnecki is the vice chairman and trustee of the University at Buffalo's Council, is a Director of the Buffalo Niagara Partnership and Chairman of the New York Bankers Association.

John Diehl, CFP®, CLU®, ChFC®, Senior Vice President, Strategic Markets, Wealth Management, The Hartford

John Diehl is senior vice president of Strategic Markets for the Wealth Management division of The Hartford Financial Services Group, Inc. In his current position, John is responsible for advanced markets and enterprise marketing programs. Advanced markets comprises teams of financial planning consultants who provide training for financial advisors in advanced financial planning concepts, including generating retirement income, managing IRA assets, transferring estate, making charitable gifts, and planning for business continuation. In addition, John oversees key marketing programs, including The Hartford's relationship with the Massachusetts Institute of Technology's AgeLab.

In 1988, John joined PLANCO, a financial products wholesaling firm, and was promoted to assistant vice president in 1991 and vice president in 1997. In 1998, PLANCO became part of The Hartford. John was promoted to senior vice president in 2007 while he led The Hartford's Retirement and Wealth Consulting Group, working to build awareness and knowledge of retirement challenges and the latest planning strategies to address them. In 2009, he became senior vice president of the Business Development Group.

John has been widely quoted in both consumer and trade publications such as the Wall Street

Journal, Financial Planning, and On Wall Street; he has also appeared as a featured guest on CNBC and Bloomberg Television, discussing his views on retirement-related topics.

John attended Moravian College in Bethlehem, Pennsylvania, where he earned a bachelor's degree in economics. He has earned his CERTIFIED FINANCIAL PLANNERTM (CFP®), Chartered Financial Consultant (ChFC®), and Chartered Life Underwriter (CLU®) designations. In addition, he is also FINRA Series 6, 7, 63, and 26 registered, and holds a life insurance license. John and his wife, Lisa, live in Pottstown, Pennsylvania, with their children, Sam, Emily, and Anna.

Casi DiLeva, Vice President, Program Manager, Licensed Banker and Life Insurance, UnionBanc Investment Services

Casi DiLeva is currently the Vice President and Program Manager for the Licensed Banker and Life Insurance programs at Union Bank. Casi has worked in the insurance and financial services industry since 1988. Prior to working at UnionBanc, Casi worked at AIG, Nationwide and Allstate. She has served as a senior financial adviser and as a wholesaler and insurance specialist.

W. Scott Dixon, Financial Advisor Channel Manager, SunTrust Investment Services, Inc.

Scott Dixon has more than 17 years of experience in the brokerage and banking industries.

In 1993, Scott joined the equity trading desk at Trust Company Bank. He then transitioned to the Atlanta Investment Services office, where he worked as an Investment Consultant for four years. In 1997, Scott was named the external wholesaler with STI Classic Funds working with SunTrust advisors in Alabama, Florida, Georgia, and Tennessee.

In March 2000, Scott was named Senior Vice President and Regional Sales Manager for SunTrust Securities in SunTrust's Northwest Florida Region and served in that role for two years. He then became the Regional Sales Manager for the Georgia Region with sales and supervisory responsibilities for 30 advisors located within six markets in Georgia.

In March 2005, Scott was promoted to Executive Vice President and Private Wealth Line of Business Manager for the Georgia Region. In that role, Scott was responsible for overseeing advisors who delivered banking, investment and fiduciary offerings to wealthy and affluent clients.

Scott was named the Financial Advisor Channel Manager in May 2009. In this role, Scott is responsible for over 400 branch-based Financial Advisors throughout SunTrust footprint. Scott's responsibilities also include overseeing centralized trading and Licensed Banker programs within SunTrust Investment Services, Inc.

Maureen Douglas,Vice President and Sales and Training Director, Apple Bank for Savings

Maureen Douglas is currently Vice President and Sales and Training Director at Apple Bank for Savings, a $7 billion New York State Chartered savings bank. In that capacity, she is responsible for all training initiatives, employee sales incentive programs as well as various business development activities for retail banking. She is also the Agency Manager for Apple's insurance agency – ABS Associates of NY, Inc.

Ms. Douglas has extensive experience in the financial services industry. She has held several positions in retail banking for more than 30 years, at various commercial banks in New York. She has been engaged in the insurance business since 1999, where she heads up Apple's insurance agency.

Ms. Douglas graduated cum laude from Marymount College in New York with a degree in Finance and Marketing. She is also a graduate of the Executive Banking Program at the University of Virginia. Ms. Douglas holds FINRA Series 6, 63 and New York State Life Insurance Licenses.

Steve Dowden, President & CEO, INVEST Financial Corporation

As President and Chief Executive Officer, Steve Dowden is responsible for building INVEST's network of financial institutions and independent offices, overseeing the evolution of the firm's technology platform and setting the company's long-term strategic direction.

INVEST Financial Corporation (www.investfinancial.com) is a full-service broker-dealer based in Tampa, Florida, and a subsidiary of the National Planning Holdings, Inc.® (NPH®) independent broker-dealer network. NPH follows a non-consolidation strategy – each of the four firms in the network maintains a unique culture and niche, while leveraging the synergies of a shared infrastructure and technology platform. NPH is an affiliate of Jackson National Life Insurance Company®, one of the largest life insurance providers in the United States.

Mr. Dowden joined INVEST from CUNA Mutual Group, where he most recently served as Senior Vice President of Distribution and President and CEO of CUNA Brokerage Services, Inc. At CUNA, he led a sales force of 550 advisors with responsibility for all sales within the company's Asset Accumulation Division. He also helped develop and implement the company's MEMBERS Financial Services and Wealth Management Platform.

Prior to joining CUNA, Mr. Dowden served as President of the Investment and Insurance Program at IBM Mid-America Federal Employee Credit Union. He also launched an independent consulting and trading company specializing in option strategies, which he operated for five years.

Mr. Dowden has more than 30 years of experience in the financial services industry. He earned a bachelor's degree from Iowa State University and holds FINRA Series 4, 7, 24, 63 & 66 licenses.

Dawn Dupre, Executive Vice President, Citizens Financial Group, Inc. and President, CCO Investment Services Corp.

Dawn Dupre is Executive Vice President of Citizens Financial Group Inc. and President of CCO Investment Services Corp., CFG's full-service brokerage and investment advisor unit. She oversees the delivery of a full range of investment products and financial services to companies, not-for-profits, families and individual customers within CFG's 12-state footprint.

Dupre joined CFG in July of 2010, after serving as a territory sales director at PNC in Philadelphia. During her 18-years in the financial services industry, she also spent time at Merrill Lynch, where she was responsible for sales, recruiting, and financial advisor development.

Dupre is a graduate of Nicholls State University, where she earned a bachelor of science in finance.

She is an active member of the Philadelphia community where she resides with her family.

David Foster, Vice President, Asset Accumulation Sales, CUNA Brokerage Services, Inc

David has overall sales responsibility for CUNA Brokerage Services, Inc. and oversees the Practice and Wealth Management areas.

David has accountability for CBSI GDC, with 2011 sales of $135.9 million. His primary focus is on the CBSI Members Financial Services program and advisor productivity and the acquisition of new credit union programs.

Prior to joining CUNA Mutual Group in 2007, David was a Second Vice President and National Sales Manager for MassMutual Financial Group’s annuity division. David has held management positions at Jackson National Life and Essex Corporation a leading third party distribution company. He has 27 years of experience in the financial services arena and holds FINRA Series 7, 66, 63 and 24 registrations. David graduated with a Bachelor of Science in Business Administration from Arizona State University.

Gary J. Gallagher, Senior Vice President, Investment Products, Fidelity Institutional

Gary Gallagher is senior vice president, Investment Products for Fidelity Institutional, which offers clearing, custody and investment management products to help financial professionals, institutions and other intermediaries service their clients and grow their businesses. Fidelity Institutional is a division of Fidelity Investments, a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing and other financial products and services to more than 20 million individuals, institutions and financial intermediaries.

Mr. Gallagher joined the Product group within Fidelity Institutional in September 2011 and is responsible for developing the long-term vision and strategy for FI's investment product offerings, providing leadership for the enhancement of the investment product line and managing its overall product roadmap.

Mr. Gallagher most recently served as executive vice president, Product & Platform Development for LPL Financial in Boston beginning in 2007. In his role, he was responsible for directing product strategy, leading strategic assessments and managing the implementation of investment products and platforms. He also held the role of executive vice president, RIA Services there and led the firm's entry into the RIA market.

Prior to his time at LPL, Mr. Gallagher spent 12 years working at Fidelity Investments in various capacities, most recently acting as senior vice president, Product Management within Fidelity Institutional Wealth Services (IWS). In this role, he was responsible for product management and development activities for Fidelity's registered investment advisor business.

Before joining Fidelity, Mr. Gallagher held product management and marketing positions with Citibank and worked in the financial services division of KPMG.

Mr. Gallagher received a bachelor of business administration from the University of Wisconsin in 1985 and an MBA in general management from the University of Michigan Business School in 1990.

Lou George, Group Vice President and National Sales Director, M&T Securities, Inc.

Lou is the National Sales Director of M&T Securities, Inc. and Group Vice President of M&T Bank. He joined M&T Securities, Inc. (M&T Bank) in 1994 as a Financial Consultant and in his last year of production produced over $800,000 in revenue and was named Financial Consultant of the Year. From 1999 to 2007 Lou's success led him to various management positions from Regional Sales Manager, Market Manager and Chief Operating Officer for the Firm. In 2007, due to Lou's outstanding leadership, he was named National Director of M&T Securities, Inc. and Program Manager.

Mr. George leads the distribution efforts for Brokerage offered through M&T Securities, Inc. Retail Division across the bank's footprint.

Lou's team of 2 Market Managers, 11 Regional Sales Managers, 200 Financial Consultants, 1,000 FINRA Licensed Bankers and 475 insurance only employees generates over $70 million dollars in annual revenue.

Over the years, Lou's team has been instrumental in building one of the most successful bank life insurance programs generating over $9 million in annual revenues. Throughout his career, Lou has built and developed many programs that have become the fabric of the M&T Securities sales culture. Some of his work includes various sales distribution models, career building for employees, FC Scorecard, compensation packages, brokerage platforms, incentive programs and product development.

Mr. George is a 1992 graduate from the University of Buffalo where he received a BA in Economics and Legal Studies. He holds the following licenses: Series 7, 24, 53, 63, 65 and Life & A/H.

Eric Greitens, Keynote Speaker

Eric Greitens was born and raised in Missouri, where he was educated in the public schools. He was an Angier B. Duke Scholar at Duke University where he studied ethics, philosophy, and public policy. Selected as a Rhodes and Truman Scholar, he attended the University of Oxford from 1996 through 2000. There he earned a master’s degree in 1998 and a Ph.D. in 2000. His doctoral thesis, Children First, investigated how international humanitarian organizations can best serve war-affected children. He continues to study and teach public service as a Senior Fellow at the Truman School of Public Affairs at the University of Missouri and in the MBA Program at the Olin School of Business at Washington University.

Eric’s award-winning book of photographs and essays, Strength and Compassion, grew from his humanitarian work. He has worked as a humanitarian volunteer, documentary photographer, and researcher in Rwanda, Cambodia, Albania, Mexico, India, the Gaza Strip, Croatia, and Bolivia. Strength and Compassion is a collection of striking photographs from each of these countries, combined with bold essays on Strength, Dignity, Courage, Faith, Hope, and Compassion. Among other accolades, Strength and Compassion has been recognized as ForeWord Magazine’s Photography Book of the Year, and as the Grand Prize Winner of the 2009 New York Book Festival. Eric's book, The Heart And The Fist, was released in April 2011 and appeared on the New York Times Bestseller list for over 10 weeks.

Eric is also a United States Navy SEAL officer, and he has deployed four times during the Global War on Terrorism: to Iraq, Afghanistan, the Horn of Africa, and Southeast Asia. He has served as the Commander of a Joint Special Operations Task Unit, Commander of a Mark V Special Operations Craft Detachment, and as Commander of an al Qaeda Targeting Cell. Lieutenant Commander Greitens continues to serve in the reserves at U.S. Special Operations Command. His personal military awards include the Navy Achievement Medal, the Joint Service Achievement Medal, the Navy Commendation Medal, the Joint Service Commendation Medal, the Combat Action Ribbon, the Purple Heart, and the Bronze Star.

An accomplished athlete, Eric is a sub-3 hour Marathon runner and the winner of the Shamrock Marathon at Camp Fallujah, Iraq. As a boxer, he won two Oxford Boxing Blues and the Gold Medal at the BUSA National Boxing Championships.

A committed public servant, Eric was appointed by the President to serve as a White House Fellow in 2005. The White House Fellowship is a non-partisan, non-political appointment that is considered America’s most prestigious fellowship for leadership and public service.

After returning from Iraq, Eric donated his combat pay to found The Mission Continues. A non-profit organization, The Mission Continues empowers wounded and disabled veterans to begin new lives as citizen leaders here at home. From May 2007 to May 2009, Eric contributed over 2,750 volunteer hours as a volunteer Chairman and CEO, and the President of the United States personally presented Eric with the President’s Volunteer Service Award in recognition of his inspiring national leadership working with wounded and disabled veterans.

As CEO of The Mission Continues, the Draper Richards Foundation selected Eric as a Fellow, recognizing him as one of the most innovative leaders in America. The following year the Manhattan Institute for Social Entrepreneurship honored Eric as one of the five leading social entrepreneurs in America. Major League Baseball and PEOPLE Magazine recently named him an "All-Star Among Us” for his service to his country, Outside Magazine announced Eric as their "Reader of the Year,” and the National Conference on Citizenship named Eric its citizen soldier of the year.

Sean Grindall, J.D., Senior Vice President, Managing Director of Product Management and Research, PNC Investments

Sean is currently the Managing Director of Product Management and Research for PNC Investments. He has been with the organization since 1999 and has over 22 years of experience in the brokerage, wealth management and banking industries. Prior to his Product Management and Research roles, Sean was a Financial Advisor and Regional Sales Manager. He is responsible for leading a team of product managers and research analysts through the strategic development, management, marketing, pricing and training of advisory, brokerage and insurance products delivered to PNC Investments mass market, affluent and high-net worth clients. He holds a bachelor’s degree with honors from the College of Wooster and a law degree from the New England School of Law. He has also completed the Securities Industry Institute at the University of Pennsylvania, Wharton School of Business, the ABA Business of Banking School, the PNC Leadership Development Program and serves on the Board of Trustees for the Conservancy for the Cuyahoga Valley National Park. He currently holds the series 7, 66 and 24 securities licenses and insurance licenses.

John F. Hartigan, Partner, Morgan Lewis & Bockius LLP

John Hartigan is Chair of the Securities Practice at Morgan, Lewis & Bockius LLP and has been the Managing Partner of the Los Angeles Office. He advises clients on a variety of subjects, including securities law issues, broker-dealer matters, mergers and acquisitions, corporate finance, and SEC enforcement matters.

Mr. Hartigan, was with the SEC for more than eight years and served, among other positions, as Assistant Director of the Division of Enforcement. At Morgan Lewis, he has represented broker-dealers, banks, credit unions, insurance agencies, and some of the nation's largest financial institutions in securities, regulatory, compliance and enforcement matters. He has been appointed by the SEC as the independent review of firms including Drexel Burnham Lambert. He is a frequent lecturer, panelist and author.

Active in professional organizations, Mr. Hartigan is the President of the Association of Securities and Exchange Commission Alumni (ASECA), the General Counsel of the Bank Insurance & Securities Association (BISA), and on the Board of Georgetown University Law Center. He has been Vice Chair and a member of the Executive Committee of the Business Law Section of the State Bar of California, and former Chair of the Education Committee of the Business Section of the State Bar of California. He is also a member of the Executive Committee of the Business and Corporations Section of the Los Angeles County Bar Association and Chair of the Broker-Dealer Committee of that bar association. Mr. Hartigan has been recognized in Chambers USA and other publications for his expertise and accomplishments.

Following graduation with a degree in Finance with honors in 1972 from the University of Illinois, Mr. Hartigan received his J.D. from Georgetown University Law Center in 1975, where he was case and notes editor and a member of the executive board of the law journal, The Tax Lawyer.

Timothy E. Hill, FSA, MAAA, Consulting Actuary and Principal, Milliman, Inc. 

Timothy E. Hill is a consulting actuary with Milliman's Chicago office. He has been with the firm since 1998.

Tim primarily works with clients to help design and price a wide variety of annuity and life insurance products. Recent projects include extensive work on variable annuity guarantees (death benefits, income benefits, withdrawal benefits, and account value guarantees), immediate variable annuities (including payout floors), variable life insurance, universal life with secondary guarantees, and survivorship life insurance.

Prior to joining Milliman, Tim worked at a major stock life insurance company for four years. His responsibilities included equity index annuity product development, cash flow testing, corporate planning, valuation, and financial reporting.

Thomas Howe, President, Webster Investment Services

Thomas Howe joined Webster Bank in 1998 as executive vice president of Webster Investment Services and president and CEO of Webster Trust Company. He has more than 30 years ofexperience in the financial services industry. During Howe’s 24-year career at Fleet Financial Group, he held various positions ranging from senior trust officer to marketing product manager to managing director of Fleet’s Proprietary Mutual Fund program. Howe has a BA from Holy Cross College and an MBA from the University of Rhode Island and holds FINRA Series 7,
24 and 66 licenses. He is also a CFP® certificant.

Craig Kamis, Senior Vice President, Business Development & Advisor Recruiting, LPL Financial Institution Services

Craig Kamis has been a part of LPL Financial Institution Services since 2001, leading a team that has steadily increased the company's number of strategic relationships with financial institutions. In addition, he is responsible for LPL's Institution Services Advisor Recruiting Team. This groupfocuses on the sourcing and placement of advisors within LPL's financial institution partners. He has done so using nearly 25 years of experience in the financial services industry, virtually all of that time in the bank space. Craig earned a BA degree from Bradley University in Peoria, IL, and is FINRA Series 7, 63 and 6 registered through LPL Financial.

Thomas C. Kane, Managing Director, KaneCarlton, LLC

Tom Kane is the founder and Managing Director of KaneCarlton, LLC. Mr. Kane has 32 years of financial services experience specializing in helping clients review and revise business models for the distribution of wealth management services. His focus is optimizing results for financial institutions within the brokerage, asset management and trust business lines. He helps executive managers make informed decisions by providing them with research, competitive intelligence, best practices and innovative, objective solutions to reduce costs, increase revenue and gain competitive advantage.

Before entering consulting, Mr. Kane founded, and was the President and CEO of Cardinal Wealth Services, the wealth management subsidiary of Cardinal Bank (a de novo community bank in Northern VA). Within three years the subsidiary generated $2 million of annual revenues with assets under management of $200 million. Cardinal's deposits were $150 million.

Previously, Mr. Kane was the Senior Vice President and Director of Investment Sales for Crestar Securities Corporation and Crestar Bank, a large Mid-Atlantic regional bank. During his tenure, his responsibilities included full-service brokerage, insurance, commercial securities sales, and, personal and institutional trust business development. During his six year tenure, Mr. Kane grew his staff from five to 100 and annual revenues from $600,000 to $17 million.

From 1979 to 1991, Mr. Kane held a variety of different positions with National Permanent, FSB, Citibank Investment Services and Invest Financial Services. Mr. Kane was a retail banker, a financial consultant and regional sales manager.

Mr. Kane is a frequent contributor to Bank Investment Consultant Magazine, BISA OneSource and speaks at many industry events. He is the author of Wealth Biz Buzz an informative and thought-provoking blog. He is the manager of the LinkedIn Group, Bank Investment Advisors, Managers and Executives. Most recently he addressed the North Dakota, South Dakota, Minnesota, New York and Virginia Bankers Associations on ways to improve the client experience, organizational efficiencies and profits through the integration of trust, brokerage and RIA business lines.

Denis Kaplan, Chairman and Chief Executive Officer, P2 International

Denis Kaplan is the Chairman and Chief Executive Officer of P2international USA, Ltd.

P2USA provides technology, sales and marketing support services to broker/dealers and insurance companies that offer the P2Strategies to its clients. While P2USA is a new venture, Mr. Kaplan has been in the investment and banking business for the last 30 years. Through his insight and professionalism, Mr. Kaplan has enabled P2USA to partner with some of the leading companies in the financial services industry.

Prior to joining P2USA, Mr. Kaplan had been the Deputy Chairman and Chief Marketing Officer of Old Mutual (Bermuda) Ltd., an international insurance company and subsidiary of Old Mutual plc.

While at Old Mutual, Mr. Kaplan was instrumental in creating a sales program that reached over $8 Billion in assets under management in 5 years.

Prior to joining Old Mutual, Mr. Kaplan was one of the founders of Independent Financial Marketing Group (IFMG), a U.S. based third party marketer. During his tenure as IFMG's Chairman and CEO, IFMG became the largest third party distributor of annuities and securities through banks in the U.S. Mr. Kaplan was the driving force in obtaining new business and fostering client relationships at IFMG, with annual sales reaching $3 Billion.

Prior to joining IFMG, Mr. Kaplan was CEO of Financial Planning Services in South Africa, a subsidiary of Sage Life South Africa, distributing financial products through banks. Mr. Kaplan gained significant experience working on the Johannesburg Stock Exchange and was involved with selling the 1st mutual fund through South Africa - the "Sage Fund”.

Mark Kaplan, President and Chief Distribution Officer, P2 International

Mark Kaplan is President and Chief Distribution Officer of P2international USA, Ltd. P2USA provides technology, sales and marketing support services to broker/dealers and insurance companies (i.e., distributors) that offer the P2Strategies to its clients. Mr. Kaplan is responsible for overseeing the Sales, Marketing and Operations functions for the P2USA business. P2USA has regional sales teams throughout the U.S. that support the business.

Prior to joining P2USA, Mr. Kaplan was Head of Global Sales and Marketing for Old Mutual

(Bermuda) Ltd. for 6 years from 2003 through 2009, and was responsible for raising $8 Billion in global assets under management. During this period, Mr. Kaplan expanded distribution relationships in Latin America, Middle East, Europe and Africa as the business evolved internationally, and local sales teams were established in-country. The top 50 of the largest banking institutions in the world became clients of Old Mutual through the global sales team relationships.

Joseph R. Kelly, Head of Sales, National Financial

Joe Kelly is head of Sales for National Financial (NF), a Fidelity Investments company, and a leading provider clearing and custody solutions to approximately 300 broker-dealers nationwide. National Financial offers broker-dealers access to a dedicated service model, a powerful global trading platform and leading investment solutions.

Fidelity Investments is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing and other financial products and services to more than 20 million individuals, institutions and financial intermediaries.

Mr. Kelly assumed his current position in December 2010 and is responsible for driving new business development efforts and overseeing the company's national sales team. He most recently served as senior vice president, Self- Clearing Sales, where he was responsible for the strategy, product and sales of the Self-Clearing Outsourcing Solutions for NF beginning in January 2010.

Mr. Kelly joined Fidelity Investments in 1983 as manager of the implementation and conversion departments for NF's correspondent business. From 1988 to 1989, Mr. Kelly served as vice president, Regional Sales for NF and was responsible for new client sales in the Midwest Region.

He was senior vice president and national sales manager for the correspondent sales group from 1990 to 1998 and senior vice president, Relationship Management for National Financial Correspondent Services (NFCS) from 1998 to 2001. That year, Mr. Kelly took on a new role leading NF's large segment sales and relationship management client efforts and in 2003 he was promoted to regional senior vice president, Relationship Management & Sales.

In 2008, Mr. Kelly briefly left Fidelity to act as a self employed consultant working for Broadridge Financial Solutions, Inc. and various introducing broker dealers.

Prior to joining Fidelity Investments, Mr. Kelly was a registered representative for Paine Webber from 1981 to 1982. He also held several operational positions for Merrill Lynch from 1979 to 1981.

Mr. Kelly received his bachelor of science degree in business management from Curry College in 1978. Mr. Kelly is a graduate of the SIFMA Wharton Securities Industry Institute and was the past chairman of the SIFMA's Membership committee from 1999 to 2001. He currently holds his FINRA Series 4, 7, 24 and 63 licenses.

Melinda Koosman: Forethought Distributors, LLC Director of Training, National Accounts

Melinda Koosman—Director of Training, National Accounts for Forethought Distributors—provides value training and coaching as part of her role as an insurance wholesaler within the financial institutions channel.

With nearly two decades of experience in the financial industry, Melinda has built a reputation as a skilled and resourceful presenter. Whether she is a keynote speaker, facilitating a workshop or training new recruits, Melinda develops and delivers product and sales training that helps financial professionals build their competence and confidence.

Prior to joining Forethought in 2010, Melinda was a Managing Partner for RiverSource University, a training unit at Ameriprise Financial. She provided professional development training and practice management coaching to financial advisors. Before Ameriprise, Melinda held sales and leadership positions at insurance industry leaders Transamerica and Wells Fargo.

Melinda holds her insurance license as well as FINRA 6, 7 and 63 licenses. She enjoys travel, the outdoors and lives in Minnesota with her husband Greg.


Michael McGowan, Vice President, Albridge, an affiliate of Pershing, a BNY Mellon company and Vice President, Pershing, a BNY Mellon company

Michael McGowan is a Vice President of Strategic Product Development at Albridge, an affiliate of Pershing, a BNY Mellon company. Mr. McGowan is responsible for the on-going development of the Albridge Wealth Reporting application, with an emphasis on advisor features and functionality. He also oversees the prioritization of the Albridge Wealth Reporting Enhancements list, and guides all strategic development projects through the firm's software development lifecycle. In addition, Mr. McGowan is involved in several initiatives related to the platform's strategic development.

Prior to joining Albridge in 2007, Mr. McGowan worked at ADVISORport, a managed account solution provider. His three-year career at ADVISORport included responsibilities as a sales manager for managed accounts and as subject matter expert on asset allocation, proposal generation and performance reporting. Mr. McGowan also worked at Lockwood Financial, one of the pioneers in the managed accounts industry, in business development, portfolio design, training and performance reporting.

He earned a Bachelor of Science degree in Marketing from West Chester University.

Sanjiv Mirchandani, President, National Financial

Sanjiv Mirchandani is president of National Financial, a unit of Fidelity Investments, the largest mutual fund company in the United States, the No. 1 provider of workplace retirement savings plans and a leading online brokerage firm. National Financial is a leading provider of clearing, custody and brokerage solutions to more than 300 broker-dealer firms. Mr. Mirchandani acquired his current position in March 2009 and is responsible for leading a management team to further National Financial's retail brokerage operations.

Previously with Fidelity, Mr. Mirchandani was president of Products and Marketing for Personal and Workplace Investing, where he was responsible for the management, growth and profitability of Fidelity's consumer products and services for Personal and Workplace investors. Prior to that role, he acted as executive vice president of Brokerage and Asset Management Products within the personal investments business, including Fidelity's retail mutual funds, FundsNetwork, Portfolio Advisory Services, brokerage accounts and retirement, education and healthcare savings products. Before that, he was general manager for the retail retirement business, including contributory IRAs, Rollover IRAs, self-employment plans and pre-retiree services. Prior to being named general manager, he was senior vice president of Customer Segment Management, where he was responsible for marketing and improving customer profitability for all of Fidelity's retail customer segments. Mr. Mirchandani began his career at Fidelity as senior vice president of Retail Market Planning, overseeing retail strategy with functional responsibility for market research, database marketing and industry analysis.

Prior to joining Fidelity in 1994, Mr. Mirchandani spent six years at the American Express Company as a director of marketing in the consumer card business. He began his career at the Citibank consumer bank, where he worked for three years.

Born in 1961, Mr. Mirchandani received a bachelor of commerce degree from the University of Bombay, in India, in 1982 and an MBA from Cornell University in 1984.


Robert J. Mittel, Vice President and Financial Institution Channel Leader, Prudential Financial

Bob Mittel joined Prudential Financial in March 2007 to lead the then newly formed Financial Institutions Channel Division for Individual Life Insurance Products. In this role Bob is responsible for the oversight, distribution and marketing of simple issue life products designed for the Financial Institution Channel.

Prior to that Bob was with Independence Community Bank in April 2004 as President of Independence Community Insurance Agency and Invest Program Manager for Independence Community Bank. He is responsible for leading and building the insurance and brokerage business with responsibilities for all insurance and investment product lines, and all business channels at Independence. Bob left Independence after integrating his program with that of the acquiring Sovereign Bank.

Prior to Independence, Bob was with Inviva, Inc. (holding company for American Life Insurance Company of NY and Jefferson National Life) for 18 months as Director of Business Development, a new position at the company. He was responsible for building a client base of partners to expand the business growth plans of the company. During his tenure, he was instrumental in building a new product line under Inviva's Jefferson National brand and growing the life insurance business threefold.

Prior to Inviva, Bob was Senior Vice President and Insurance Manager for WM-Financial Services (the Former WAMU Bank), which acquired Dime Savings Bank of NY in January 2002. In his role at Dime, Bob was responsible for the nationwide marketing and sales strategy for all insurance lines/products sold in the bank and through North American Mortgage Company, the Dime's mortgage subsidiary. On the bank side of the business, Bob was responsible for building a best practice Licensed Bank Employee (LBE) insurance distribution program in the Dime's 123 branches that disbursed life insurance products via 400 bankers.

Mr. Mittel was associated with Dime, now JP Morgan Chase since 1985, initially working in the Retail Bank Division as a Branch Manager. He was appointed Director of Sales for the Retail Bank in 1993 before assuming responsibility for Dime Insurance in 1996. Prior to joining Dime, he spent five years with East River Savings Bank (now part of HSBC Bank) in the Retail Branch System. Bob has been a speaker at frequent Financial Institutions Insurance Association Conferences, Bank Insurance and Securities Association, ABIA, and various other conferences and seminars and has been often cited in trade publications. He is also a board member of the Bank Insurance and Securities Association (since 2000) and The Insuring Pride Foundation, a not for profit association focused on financial literacy

Bob has a B.B.A. in Management from Hofstra University and an M.B.A. in Finance from Long Island University.

Kevin Mummau, EVP Program Development, CUSO Financial Services, LP

Kevin Mummau is the EVP of Program Development at CUSO Financial Services, L.P. (CFS), member NASD/SIPC and registered investment adviser. CFS provides investment and financial planning services to credit union members. Operated exclusively for credit unions, CFS enables credit unions to maximize the opportunity for success in their investment program through strategies of integration, examples of "best practices” and enhanced efficiencies in the front and back office systems. As a senior executive at CFS, Mummau has more than 29 years of broad experience in the Brokerage Industry. His diverse background covers many facets of the securities industry including, trading, supervision, operations, compliance, retail, and branch management. Most notably, he spent five years as the Corporate OSJ and Regional Manager for a major independent broker dealer, responsible for supervising the production of 80–100 Branch Offices. Mummau is qualified as a general securities representative (Series 7), general securities principal (Series 24), registered options principal (Series 4), Equity Trader (Series 55), Uniform Investment Advisor (Series 65) and inter-state securities examination (Series 63). He graduated with a Bachelor of Science from Pennsylvania State University in 1981.

 

Will O'Rielly, CFA, CFP™, Senior Vice President; Investment Sales Consulting Group, SunTrust Banks, Inc.

Will O'Rielly is Senior Vice President and manages the Investment Consulting Group for SunTrust's Private Wealth Management division. The team supports product development, new account sales and client service initiatives for a Institutioanl and high net worth platforms within SunTrust. Mr. O'Rielly has experience counseling institutional investors in portfolio structure and in managing the product structure for high-net-worth advisory programs. He is a regular contributor and speaker within asset consulting venues. Mr. O'Rielly has managed teams of consulting analysts at Paine Webber, Wachovia Securities, and SEI investments. He joined SunTrust in 2002.

Mr. O'Rielly received mechanical engineering and economics degrees from the University of Notre Dame. He also received an MBA from Duke University. He is a Charted Financial Analyst, Certified Financial Planner, and a member of the CFA Institute.

Dan Overbey, President/CEO, BankUnited Investment Services

Dan Overbey serves as President/CEO for BankUnited Investment Services and also as Executive Vice President for BankUnited. Based in Miami, BankUnited is the largest Florida-headquartered bank with >100 locations situated across the state.

In his role, Dan directs the wealth management initiative for BankUnited. The program employs >125 FINRA-licensed financial advisors, private bankers, licensed bankers and CFP® professionals. He holds FINRA Series 7, Series 65, and Series 24 licenses.

Prior to joining BankUnited, Dan was President/CEO of Colonial Brokerage, the Wealth Management Group for Colonial Bank, a $26.0 billion banking institution. There, he was responsible for direction of the broker/dealer, RIA, and Private Banking unit. Colonial Brokerage employed >300 licensed advisors, private bankers, licensed bankers, and CFP® professionals across a five state market.

Formerly, Overbey was National Sales Manager/Senior Vice President for First Horizon National Corporation, $38.0 billion financial services firm based in Memphis, Tennessee. At First Horizon, the program was recognized in 2005 as the top regional bank program by the Bank Insurance & Securities Association.

Dan is a graduate of the Fogelman College of Business at the University of Memphis, and the Commercial Banking School at the University of Oklahoma. He serves on the Board of Directors for the Bank Insurance & Securities Association where he is a member of the Executive Committee. Dan chairs the BISA Leadership Advisory Board, a national council of investment product manufacturers, and has been frequent speaker at industry events.

In terms of civic activities, Dan is an alumnus of Leadership Germantown and Leadership Broward's Senior Executive Orientation Program. He is a member of the Board of Directors for Boys Town and the Children's Diagnostic & Treatment Center; and past Board member for the Youth Villages, Lifeblood Foundation, and the Memphis Runners Track Club. In addition, he was three-term president of Germantown (TN) Youth Athletic Association, and served in appointed metro government positions with the Parks & Recreation Commission and Design Review Committee for the City of Germantown. Dan's other civic affiliations have been as an Auxiliary Probation Officer with the Memphis & Shelby County Juvenile Court, and served as the Tennessee Regional Campaign Chairman for United Way.

Dan was also nominated for the Jefferson Award, a national award founded by Jacqueline Kennedy, recognizing top community volunteers in America. He resides in Ft. Lauderdale, Florida and has two sons.

Keith Pipes, Executive Vice President, Lending & Financial Services,Wescom Credit Union

Keith Pipes is executive vice president, Lending & Financial Services for Wescom Credit Union with responsibility for Consumer and Real Estate Lending, Credit Risk, Collections, Planning and CUSO operations. He serves as chairman of Wescom Financial Services, LLC (WFS), Wescom Insurance Services, LLC (WIS) and CUSO Mortgage Inc (CMI). WFS is a licensed broker dealer and registered investment advisor; WIS is a full-service insurance agency; and CMI is a mortgage origination and servicing company. The three CUSOs serve members of Wescom and other credit unions throughout the country. Pipes has more than 28 years of experience in the financial services industry. Prior to joining Wescom, Pipes served as president of Countrywide Investment Services where he started a retail broker dealer to offer investment products and services to Countrywide’s mortgage customer base. Before joining Countrywide, he co-founded a family of mutual funds after spending 15 years with Great Western/Washington Mutual. While at Great Western, Pipes served as president of Sierra Capital Management, overseeing the investment advisory services, operations and distribution of the company’s $3.5 billion family of mutual funds. Prior to that, Pipes served as CFO and COO of Great Western Financial Securities Corporation, a broker dealer that generated $110 million in revenue annually through more than 500 registered representatives.

Vance A. Richard, Senior Vice President and Program Manager, Iberia Financial Services, LLC

Vance A. Richard serves as senior vice president and program manager for Iberia Financial Services (IFS), a wholly-owned subsidiary of IBERIABANK Corporation in Lafayette, LA. With more than 23 years of experience in the financial service industry, Mr. Richard's role with IFS includes developing and managing 15 Senior Investment Representatives, 14 Junior Investment Representatives, and 65 Licensed Bank Employees (LBEs), in Louisiana, Arkansas, Tennessee and Florida.

Prior to joining IFS, Mr. Richard served as a financial consultant with Merrill Lynch and as an investment advisor with Premier Investment Center, a subsidiary of Premier Bank. Richard was named as one of the Top 20 Program Managers by Bank Investment Consultant (BIC) for 2010. Richard serves as a BISA Board Member.

He is also an active board member of the Evangeline Area Council for the Boy Scouts of America, executive board member of the Chitimacha Louisiana Open, former honorary chairman of the Louisiana Business Advisory Council, Leadership Giver for the United Way of Acadiana, and active member of St Anne Catholic Church. A native of Louisiana, Richard earned a Bachelor of Business Administration in Finance from the University of Louisiana at Louisiana (formerly USL) in Lafayette, LA. He and his family reside in Youngsville, Louisiana.

John S. Rolander, Partner, Booz & Company

John Rolander is a Partner in the New York office of Booz & Company.

John is a member of the Financial Services practice and leads the Wealth Management practice in North America. John's clients cover the spectrum of wealth management firms, including banks, brokerage firms, trust companies, RIAs and family offices. His project work for clients deals with issues ranging from strategy and organization to operations improvement and cost reduction. An area of particular focus is sales effectiveness.

In his 20+ years of consulting experience, John has lived and worked in London, Tokyo, and New York serving many of the world's leading global financial institutions. He was previously a Partner at Katzenbach Partners, which was acquired by Booz & Company in 2009.Prior tothat, he worked as an independent advisor to the chairman of Merrill Lynch International. From 1994 to 1998 he led the financial services business for Gemini Consulting.

John has five children, two grown sons and three daughters, ages10, 7 and 5. His passions, in addition to spending time with his wife and children, includerunning,yoga, skiing and mountain biking.

John holds a B.A. from Yale, an M.Div. from Harvard, and an MBA from Columbia Business School.

LeAnn Rummel, EVP, National Sales Manager, PrimeVest

LeAnn Rummel joined PrimeVest in 1992 and currently serves as national sales manager. In that capacity she oversees all sales functions including financial institution relationship management, sales support, product management, training, sales supervision, representative recruitment and strategic partner relations. In addition, she acts as president of PrimeVest' s insurance agencies and serves on the firm's Executive Committee.

LeAnn's tenure in the financial services industry spans more than 25 years. Prior to her current appointment, LeAnn served on PrimeVest' s Executive Committee and within the ING Advisors Network's Marketing Team as vice president–financial institution channel and product marketing. Before that, LeAnn served as vice president of product sales and marketing for PrimeVest, managing the firm's creative services team as well as the cash management, life insurance, retirement planning, financial planning and investment advisory departments.

She is qualified as a general securities representative (Series 7), as a general securities principal (Series 24) and as a uniformed securities agent (Series 63). She also possesses her insurance licenses. LeAnn received a Bachelor of Science degree in Business Administration with a marketing emphasis from Iowa State University.

Jeff Schwantz, Vice President, Pershing, a BNY Mellon company

Jeff Schwantz is a Vice President and Relationship Manager in Pershing's Global Customers Group, where his primary responsibilities include new business development and ongoing management of Pershing's strategic customer relationships. Mr. Schwantz is also a Co-Chair of Pershing's Bank Market Segment team, responsible for identifying, developing and leveraging emerging trends within the segment and competitive trends that are impacting segment firms, which includes executing on strategic market analysis that clearly defines growth opportunities within the segment.

With over 14 years of experience in the financial services industry, Mr. Schwantz's diverse background includes working with many business segments including independent, full service, fixed income, and banking institutions. Prior to joining Pershing, Mr. Schwantz was a Relationship Manager at Allstate Financial in both the retail and institutional asset management segments, having held positions in business development, operations, and distribution technology. Prior to joining Allstate Financial, Mr. Schwantz was with Wells Fargo.

Mr. Schwantz is active in many industry groups including Bank Insurance & Securities Association, Money Management Institute, Insured Retirement Institute and Kehrer-LIMRA. Mr. Schwantz has an MBA from Northern Illinois University's Graduate School of Business and a Bachelor of Science in Business Administration from the University of Illinois. He also holds FINRA® Series 7 and Series 63 licenses.

Ron Shevlin, Senior Analyst, Aite Group

Ron Shevlin is a senior analyst at Aite Group. He specializes in retail banking issues including sales and marketing technologies, customer and marketing analytics, loyalty management, P2P lending, personal financial management, social computing, online banking, customer experience and consumer behavior.

Mr. Shevlin is a recognized thought leader for his pioneering research on right-channeling consumer interactions, the impact of customer advocacy on future purchase intention, and developing sense-and-respond marketing capabilities to improve sales and marketing efforts. He has been widely quoted in press, in publications such as U.S. Banker and Credit Union Management, and has been a keynote speaker at numerous industry/client events including BAI Retail Delivery, CUES CEO Network, DMA Financial Services, NICSA Technology Forum and Forrester Finance Forum.

Prior to joining Aite Group, Mr. Shevlin was a vice president at Epsilon, where he led the database marketing firm's financial services consulting practice. He helped banks, brokerages, and credit card issuers assess their database marketing and analytics competencies, develop marketing strategies and plans, build marketing performance scorecards and measure customer engagement to improve their marketing effectiveness and efficiency.

Prior to his time with Epsilon, Mr. Shevlin was a vice president and principal analyst at Forrester Research, heading up Forrester's research efforts on customer loyalty, profitability and consumer channel use in the financial services industry. As part of his consulting work, he conducted consumer research studies, developed predictive buying and channel usage models, designed effective online marketing campaigns and Web sites, and helped financial services firms craft profitable online channel strategies.

Mr. Shevlin received an M.B.A. in Finance and Statistics from the University of Texas at Austin, and a B.A. in Economics from SUNY Binghamton. He is also the author of Everything They've Told You About Marketing Is Wrong, published in March 2008.

Peter W. Snyder, Chairman, Board of NACUSO

Since 1978 Mr. Snyder ("Pete”) has been actively involved in the financial services, investment brokerage and insurance industry. In 1989 his focus has been dedicated to the distribution of investment and insurance services within the financial institution channel – with a dedicated focus on the credit union channel.

Pete's first position in the credit union industry was with The Golden 1 Credit Union from 1989 to 1998 as the Chief Operating Officer of its wholly owned CUSO, Golden 1 Financial Services, Inc. during his tenure at The Golden 1 he was able to grow and expand upon the foundation of products and services that were initially incorporated into Golden 1's CUSO.

Following his work at The Golden 1, Pete was hired by the four (4) Hewlett-Packard & Co. credit unions as the President/CEO of the multi-credit union owned CUSO that they were forming. Once on board as the CUSO's 1st employee, he set out to build from the ground up this jointly owned CUSO that would soon open its doors to begin serving Hewlett-Packard & Co.employees and members of the four (4) HP credit unions. As President & CEO of Addison Avenue Financial Partners, LLC, the program rapidly grew under Pete's leadership to become the largest and most productive credit union investment services program.

In 2003 Pete was named Chief Operating Officer of the newly organized credit union, Addison Avenue FCU, following the merger of the four (4) HP credit unions into a single credit union. As Addison's COO, he was responsible for all of the lending and deposit operations of the credit union.

In 2005, Pete left Addison Avenue as their COO and founded SCS (Snyder Consulting Solutions, LLC) to provide to credit unions and the financial services companies that serve and support them with a wide range of services that focus on the effective distribution of financial services products and services within the credit union channel. The primary scope and focus of SCS's services is on the numerous aspects and dynamics related to the integration of investment and insurance services, property casualty insurance and other financial services within credit unions.

In 2006 the range of services provided to credit unions expanded to include the launching of a suite of productivity and performance benchmarking studies exclusively for the credit union channel. Pete reached out to Callahan & Associates to put in place an arrangement with them to launch what is now known as the Callahan/SCS Financial Services Benchmarking Studies for Credit Unions.

Pete has been named to the Board of Director (Manager) of Nor Cal Credit Union Strategies, LLC, a multi-credit union owned CUSO that was formed to develop collaborative business models to increase the operating efficiencies of and/or increase the non-interest fee income of its owner credit unions, as well as non-owner credit unions.

Pete is currently the sitting Chairman of the Board of NACUSO (National Association of CUSO's) and has previously served on the Board of Directors of the PROCU, FIIA, BSA and BISA. Having graduated from California State University at Fresno in 1975, he holds a BS Degree in Criminology. He is also a graduate of the Western CUNA Management School in Pomona, California.


Gavin Spitzner, SVP, Business Development, Prudential Wealth Management Solutions

Gavin Spitzner is a Senior Vice President of Business Development for Prudential Investments' Wealth Management Solutions group. This group provides bank wealth management and trust departments, independent broker-dealer networks and national full service firms with a flexible suite of private label wealth management solutions that enhance existing investment platforms.

In his role, Gavin is responsible for developing and expanding relationships with current and prospective institutional clients in the wealth management space.

Gavin has been involved with the managed accounts business for more than 15 years helping to introduce Merrill Lynch's Consults separate account consulting program to the marketplace in the early 90s and developing innovative, high-impact business development, practice management and consultative selling education and marketing programs more recently.

Since joining Prudential Investments in 1997, Gavin has held a variety of marketing, research, education and strategy roles including Brand, Advertising and Internet Marketing Strategy as well as Advisor Education.

Before joining Prudential Investments, Gavin served in a variety of account management and advertising strategy functions within Bozell Advertising and Lintas Advertising, managing accounts of a diverse array of financial services firms including Merrill Lynch and Swiss Bank Corporation.

Gavin graduated from Ohio State University in 1986 with a B.A. in behavioral sciences.


Richard D. Starr, Chairman, Financial Institutions Group, Inc.

FIGI provides consulting services to broker-dealers, registered investment advisors, depository institutions and insurance carriers. Dick has over 30 years' experience in all areas of securities and insurance distribution in the bank channel. He has managed and operated bank programs, provided strategic planning advice to institutions, and has formed broker-dealers for numerous entities. He has served on the boards of several financial services providers. Dick also assists financial product distribution entities with product development and distribution assistance.

Dick was a Founding Director of the Bank Securities Association, the Founding Chairman of the Financial Institutions Insurance Association, and a Founding Director of the Bank Insurance and Securities Association. He was most recently the BISA's Director of Government Affairs and chaired its Legislative, Regulatory and Compliance Committee for several years. He is a frequent speaker at securities and insurance meetings and an author of numerous articles for several publications including BISA's Bank Insurance & Securities Magazine.

His current work includes assisting financial institutions and product providers with solutions to limit the long-term, negative impact of volatility on retail investment portfolio performance.

Scott G. Stathis, Managing Director & COO, Kehrer-LIMRA

Scott G. Stathis has been in financial services since 1992. He joined forces with Dr. Kenneth Kehrer in 2008 and is currently the managing director and COO of Kehrer-LIMRA, a performance research and consulting organization focused on financial institutions. His early background in the industry includes new broker training, sales automation, and financial planning systems. Stathis’ more recent experience includes 12 years running his own financial services technology consulting and research company, as well as being president of Unger Software (a financial guidance technology provider now part of Scivantage). Stathis’ experience and insights have established him as a reliable source of information related to productivity in the financial services industry. He moderates more than 10 industry roundtables each year, his articles are published regularly in the trade journals, and he is a frequent speaker at numerous industry gatherings. He can be contacted at scott.stathis@kehrerlimra.com.

Christine M. Strickland, Managing Director, Timoleon Group, LLC and LBE Coach

Christine Strickland is the managing director of LBE Coach which specializes in consulting, coaching and training licensed branch employees. The firm maintains a business philosophy based on building mutually beneficial, lasting relationships. Instead of just being an "outside consultant”, Christine establishes partnerships by providing unbiased guidance, integrity, honesty, and uncompromising professionalism. She has over 25 years' experience working with financial institutions and their investment programs. During her career, she has held a variety of leadership roles in sales, training, marketing, and client service. Since 2001, Christine has specialized in structuring, managing, and training successful License Branch Employee (LBE) programs. She joined UVEST Financial Services/LPL Financial in 2003 to build and lead the LBE Sales team that supported over 3,500 Licensed Branch Employees in 100 financial institutions.

Christine is a sought after speaker and trainer delivering keynote addresses and interactive sales training to bank and credit union employees throughout the United States. Christine is President of The National Association of Professional Women Charlotte Chapter, serves on the professional development committee of Women in Insurance and Financial Services, and is on the Speaker's Bureau for LifeShare Of The Carolinas.

Serge Troyanovsky, Managing Director, Head of Retail Distribution North America, Global Equities & Commodity Derivatives Group, BNP Paribas

Serge Troyanovsky is a Managing Director at BNP Paribas in New York. He is in charge of Structured Products distribution to retail and high net-worth clients in North America. The clients include major Retail Banks, Private Banks, Broker-Dealers, Registered Investment Advisors and Family Offices.

He has been with BNP Paribas in New York for over 14 years, focusing on the building and development of the Structured Products business.

BNP Paribas has been recognized for its leadership and innovation in equity and commodity derivatives and has won some of the most prestigious industry awards. Most recently it has been named as the 2011 "Structured Products House of the Year” by Risk magazine.

Serge is a frequent speaker at industry events, has written a number of articles on structured products and has been quoted in the financial press.

Serge holds an MBA degree in Finance from NYU Stern School of Business, a Masters degree in Mathematics from Harvard University and a Bachelors degree in Mathematics (Magna Cum Laude) from SUNY at Stony Brook.

Stephen Truso, Senior Vice President, U.S. Bancorp Investments, Inc. and U.S. Bancorp Insurance Services, LLC

Stephen Truso is responsible for the annuity product set and brokered certificates of deposit. He joined U.S. Bancorp Investments Inc. and U.S. Bancorp Insurance Services LLC in January 2003. Prior to his current role, Truso held numerous leadership positions during 17 years with a U.S. Bancorp legacy organization, First Bank System, including roles in metropolitan branch banking, branch operations, mortgage servicing, mortgage portfolio acquisition, correspondent banking, computer service sales, telephone sales, consumer deposit product management, Bank Secrecy Act implementation, escheat account management, finance division project management, accounting management, treasury management, and bank acquisitions. He honed his insurance and investment knowledge as the life insurance product development manager for a major mutual insurance company.

His outside activities include leadership roles in the Boy Scouts of America organization, music ministry leadership responsibilities, volunteer activities at his school district's elementary, middle, and high schools, service to his church and community in various capacities, and carrying out his role as a dad and husband.

Stephen earned his B.A. in Business Administration with an emphasis in Economics, Management, and Public Relations, from the University of Saint Thomas, Saint Paul, Minnesota.

 

Keith J. Weber, CFP®, CPRC, President, Weber Consulting Group, LLC

Keith J. Weber, CFP®, CPRC, is a speaker, author and founder of Weber Consulting Group, LLC, a financial advisor training, coaching and consulting firm focused on helping advisors build stronger client relationships and financial institutions create more profitable investment services programs. Keith has been in the financial services industry for over 20 years as a nationally recognized financial advisor as well as in financial institution investment program management with the Addison Avenue (now First Tech) Credit Union Investment Services program and in broker-dealer executive management as Managing Director of Sales and Marketing with a third-party broker-dealer.

Keith maintains the CFP® designation and is author of a book entitled Rethinking Retirement (www.Rethinking-Retirement.com). He is a frequent contributor to Bank Investment Consultant magazine, OnWallStreet.com and Financial-Planning.com. He is also author of the Retirement20/20® blog on Financial-Planning.com and publisher of www.Retirement2020.com.

Paul A. Werlin, President, Human Capital Resources, Inc.

Paul A. Werlin founded Human Capital Resources, Inc. in 1995 to provide recruiting, consulting, training, and employee selection services specifically for the financial institution investment program marketplace. HCR has worked with more than 200 banks, credit unions, broker/dealers, third-party marketing firms, mutual fund and insurance companies, helping them recruit key personnel for sales, marketing, technology, compliance and senior management positions. HCR also provides extensive consulting services, expert witness work, and conducts original industry research covering such critical areas as, b/d due diligence, strategic business planning, hiring/recruiting strategies and compensation trends. Mr. Werlin has spent more than 25 years in various senior management positions in the financial services industry. He is a frequent author and public speaker on the distribution of financial products and services. His articles have been published by Bank Investment Representative, Bank Investment Marketing, Community Banker, Bank Securities Journal, American Banker, and Registered Representative Magazine. He is also the publisher of Bank Investment Program Hiring and Compensation Report, a quarterly newsletter with more than 200 paid subscribers.
Mr. Werlin received his BS from University of Massachusetts and his MBA in Finance from New York University. He holds FINRA series 4, 7, 24, 53, and 63.

John White, Vice President of Sales, Retirement Solutions Division, Pacific Life Insurance Company

John began his career with Pacific Life as an internal wholesaler in the Annuities Division in 1994. He was promoted to assistant vice president, Internal Wholesaling in 1999, and in 2006, promoted to vice president, Internal Wholesaling, and given responsibility for managing all aspects associated with the Internal Wholesaling department, sales training, and strategic sales initiatives. During this period of time the department grew from 6 to 120 internal wholesalers, and John successfully transitioned the department to Omaha, NE. During his tenure, the internal wholesaling department received superior sales support awards from DALBAR, and was recognized by Market Metrics as an industry leader based on FA surveys.

John was promoted to vice president of Sales in January 2009. In this role, he manages all aspects of new and existing Broker Dealer relationships across the division's distribution channels and is tasked with growing distribution relationships. He also manages the Conference Planning department and retains oversight of the Internal Wholesaling and Sales Training & Strategic Initiatives departments.

Prior to joining Pacific Life, John served as an officer in the United States Marine Corps. In addition, he worked as an FC for 3 years at Merrill Lynch and a Regional Sales Representative for MAACO Enterprises.

Bruce E. Wolfe, CFA, Managing Director and Chair of Allianz U.S. Retirement Market Executive Committee, Allianz Global Investors

Bruce Wolfe has responsibility for various global strategic and M&A-related activities for Allianz Global Investors. In this role, Bruce supports the CEO and COO on global partnerships, acquisitions and strategic initiatives. As a part of those responsibilities, Bruce has been leading Allianz's U.S. efforts to deliver Retirement Solutions based on the combined expertise of the firm's investment management and insurance affiliates.

Prior to joining AGI, Mr. Wolfe was the Founder and Principal of C.S. Wolfe & Associates, LLC – an advisory firm focused on M&A, business strategy, organizational restructuring, and change management services for Asset / Wealth Management firms.

Prior to C.S. Wolfe & Associates, Mr. Wolfe was an Executive Vice President at Webster Financial Corporation. Bruce was responsible for leading all of Webster's personal and institutional investment advisory, private banking, trust and brokerage business areas. Bruce served on Webster's Executive Management Committee.

Before joining Webster, Mr. Wolfe was a Managing Director responsible for global strategy at Merrill Lynch Investment Managers in New York. Immediately before Merrill Lynch, Bruce was a Principal with Morgan Stanley & Company in New York holding several Corporate and business line positions including Head of Global Strategy and Product Development for Morgan Stanley Institutional Investment Management.

Before working in the Financial Services industry, Bruce was a Management Consultant with Price Waterhouse Coopers and an advisor to the Air Force's Ballistic Missile Office.

Mr. Wolfe, a resident of Chappaqua, NY, has an M.B.A. from Columbia Business School and a B.S. degree in Materials Science Engineering from Johns Hopkins University.

 

 

 

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