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Annual Convention Session Descriptions

wePlease use the listing below to find the track or session that you are interested. You may then click the link to read a more detailed description. Session descriptions will continue to be posted as we receive them.


General Sessions

The Old Regime, The New Regime and the Next Regime

From Bonds to Baseball

2013 BISRA Industry Predictions

Understanding the Economy and Navigating the Markets

Selling Financial Services to Women and Couples

Money Rules To Help Your Clients Manage Retirement Income -- And The Other Financial Challenges They Face

Bringing on Tomorrow

Live Financially Sound, Physically Strong

The Business Model has Changed - Change with it

An Optimistic View of the Economy

Sales Management

Compensation, Beyond the Grid

Referral and Activity Management - "If You Can't Measure It, You Can't Manage It!"

Why Should Investors Choose Your Firm’s Advisors?

Precision Coaching

Product Management and Marketing

Implementing and Supporting a Structured Investments Program

Utilizing Market Linked CDs within Bank Channel

Life Insurance in the Bank Broker-Dealer: Who Is Buying and How to Engage Them

Facing the Challenges in the Individual Annuity Market

Linked Benefit Long-Term Care Rocks! Now What?

Income Annuities in Retirement Asset Allocation

Program Management

Legislative & Regulatory Update

Wealth Management in the Retail Bank: Fighting for Shelf Space

Connecting the Dots: How Will Washington and Client Trends Change Our Business?

How Bank B/D Programs Can Better Compete in the Advisory Business

Maximizing the Platform

Position Yourself Above the Competition - Branding Your Investment Program

Wealth Mangement/Retirement Income Planning

UMAs Across Multiple Channels (B/D, Trust and RIA)

BISRA Wealth Management Best Practices

Ensuring Advisor Effectiveness in Wealth Management

Bridging The Organizational Divide – Sharing Success Stories

Blurring The Lines: The Impact and Importance of Self-Directed Investing in Wealth Management

Advanced Social Security Strategies

Solutions Showcases

Emerging Best Practices for Cross-Channel Bank Wealth Advice Manufacturing and Distribution

Real World Income Planning

Strategies for Developing Successful Advisors

Modern Retirement Portfolio Theory - The Efficient Income Frontier

The 4 Cs: A Framework for Successful Retirement Income Strategies

Introduction to Tactical Investing

Ahead of the Curve: Innovation Through Incremental Change

Planning for Health Care in Retirement

General Sessions


The Old Regime, The New Regime and the Next Regime

David Blitzer, PhD, Managing Director and Chairman, Standard and Poor's Index Committee

It is much easier to see where you’re going if you start with where you’ve been and where you are. The economy of the old regime went from a three decade long bull market in just about everything only to plunge into financial crisis. For three years now it has been slowly crawling out. The new regime is more of the same – frustration about interest rates, employment and growth. While what happens in the next depends on the Fed, policy and luck, we can look at different scenarios for the next few years and issues investors must confront.

2013 BISRA Industry Predictions

Jim McNeil, BISA and Scott Stathis, BISRA

Jim McNeil and Scott Stathis will look at trends, data, and thoughts from BISRA data and they will discuss what Executives need to consider in their planning and execution for the coming year.

Understanding the Economy and Navigating the Markets

Dr. Quincy Krosby, Chief Market Strategist, Prudential Annuities (Sponsored by Prudential)

Insight and Understanding for Today's Markets:

  • The global macro-economic and political landscape
  • An analysis of monetary and fiscal policy in the U.S.
  • The role of leading indicators in understanding market performance

Selling Financial Services to Women and Couples

Holly Buchanan, CEO, Buchanan Marketing (Sponsored by Dividend Capital)

How you sell financial services to women is not the same as how you sell financial services to men. Holly Buchanan, author of Selling Financial Services to Women looks at proven techniques for selling financial products to women and their spouses. You’ll learn:

  • How to attract, retain and get more business from your existing female bank customers
  • The differences in how men and women make financial decisions
  • Biggest mistakes when selling to couples
  • Women-winning questions – ask these questions, close more business
  • Case study – How a regional bank created a successful women’s initiative

Money Rules To Help Your Clients Manage Retirement Income -- And The Other Financial Challenges They Face

Jean Chatzky, Financial Editor, NBC's TODAY Show (Sponsored by The Principal)

There is nothing that retirees -- and those who can see it coming down the pike -- fear more than running short of money in retirement. Helping these folks find solutions that work for them can be daunting. It always involves just understanding their particular needs and fitting solutions to those problems. But these days, Americans who have yet to recover the substantial chunk of their wealth lost during the financial crisis also have some catching up to do. They need guidance for that as well. In this address, financial expert and best-selling author Jean Chatzky will help you focus in on both challenges. She'll also share some exciting new research on selling than can help you make sure your clients are satisfied ones.

Bringing on Tomorrow

Robert Benmoshce, President and CEO, AIG (Sponsored by AIG Life and Retirement)

In his keynote speech, Mr. Benmosche will discuss the turnaround of AIG, the critical importance of strong connections between investment product manufacturers and their distribution partners, and the growth opportunities ahead.

Live Financially Sound, Physically Strong

Wendy Boglioli, Genworth National Spokesperson and Olympic Gold Medalist (Sponsored by Genworth)

Financially Sound, Physically Strong. These are Wendy Boglioli watchwords. As an Olympic Gold Medalist, Wendy believes in preparation. Throughout a distinguished 30 year speaking career, Wendy has educated people about the necessity of preparing for the future.

Through an engaging and motivational seminar, Wendy will provide you with techniques and strategies to help your clients:
• Develop a 4 x 4 plan for deciding how their future will look
• Coach (delete ‘ing’) on how to develop a plan and (delete how to) get the discussion started with their loved ones
• Provide specific examples of future needs they may not have considered and potential impacts on your client’s family or business

Wendy understands your clients’ needs and will provide tools and insights to help your clients prepare for their future, or that of a loved one helping make it simpler and more productive.

The Business Model has Changed - Change with it

Mark Zinder, President, Mark Zinder and Associates (Sponsored by AXA)

Only 29% of investors in America have all their investments with one advisor. The average investor today does business with six to eight different financial professionals: they have a banker, CPA, mortgage broker, life insurance agent, trust officer and two or three different financial advisers. When they retire, they go from working with six to eight, to one or two. Will you be the adviser that the money is being transferred to, or transferred from? In this presentation you will learn how to be the former.

An Optimistic View of the Economy

Jim Bowen, CEO, First Trust Portfolios (Sponsored by First Trust Portfolios)

Mr. Bowen will put the current investment climate into perspective drawing from his 30 years in the financial services industry.
 

Sales Management Sessions

Compensation, Beyond the Grid

Thomas C. Kane, KaneCarlton, LLC

Attracting, motivating and retaining top talent in a talent-driven industry is not easy, particularly since human capital is not only the largest expense of most programs, but also since the methods and amount of compensation earned by successful advisors is a point of contention for many bank executives.

Determine whether your plan is competitive and, if you can tweak it to optimize your ability to find and keep top talent, while bolstering margins.

Referral and Activity Management - "If You Can't Measure It, You Can't Manage It!"

Nathan Bergeland, CFP, MS, USAdvisors & SuccessQuest

Referrals account for up to 95% of new clients in wealth management! Knowing this statistic, it is staggering that over 70% of financial institutions do not have a comprehensive referral and activity management strategy in place.

Referrals are divided into three areas: Internal, Centers of Influence and Client. To harness the power of referrals across these areas, it is essential to have a system to effectively manage the communication, measuring, tracking and reporting processes. Additionally, the effectiveness of your wealth management integration can be measured by the intensity of referral flow between the involved departments. Learn strategies for successful referral and activity management that you can immediately employ to take control of your entire referral process.

Why Should Investors Choose Your Firm’s Advisors?

Jeff McTague, Active Fund Strategies

The decision is far too subjective. Do I like her? Do I trust him?

What would it do to the competition for clients if your advisors delivered a philosophy and process completely supported by fact, while your competitors continued to deliver unsupported opinion?

"Jeff McTague gave the best presentation I have seen in eighteen years in the business.” – Mark McCarthy, FA – UBS, Atlanta GA

Precision Coaching

Tony Cole, Anthony Cole Training Group

As a sales leader, do you have a systematic, intentional process for coaching your salespeople to success? Most sales managers have evolved from being a ‘player’ to being a ‘coach’. Tony Cole will help participants understand the fundamental shift in thinking that must occur to earn the followership of your team. In this session, coaches of the future will gain a proven and systematic process for more effectively and methodically coaching your people.

 

Product Management and Marketing Sessions

Implementing and Supporting a Structured Investments Program

Moderator: Deryk Rhodes, Incapital
Panelists: Craig Brede, Goldman Sachs and Larry Wilson, JPMorgan

Panel discussion with senior bank executives on best practices regarding Structured CDs and Notes, highlighting three critical areas:

  • Education (training, testing, tracking)
  • Sales Support (internal sales, external wholesaling, secondary markets)
  • Risk Management (issuer/product selection, ongoing due diligence, concentration risk monitoring) 
  • What’s working in the market today?
    • Equity Linked CDs
    • Principal Protected Notes
    • Partial/Non-Principal Protected Notes

Utilizing Market Linked CDs within Bank Channel

Serge Troyanovsky, BNP Paribas

Market Linked CDs have become increasingly popular among clients looking for a potential pick up in yield in the current low interest rate environment.

  • Overview of the market with a focus on the banking channel 
  • Who are the major players and what products are being offered 
  •  Investment objectives – income vs. growth 
  •  Targeting diversification across asset classes – equities, commodities, currencies

This session will provide an opportunity for a focused overview of the MLCD market.

Life Insurance in the Bank Broker-Dealer: Who Is Buying and How to Engage Them

Moderators: Paul Field and Christine Kehrer, Kehrer Saltzman & Associates, Inc

Panelists: Sean Carter, Huntington Investment Company; Carol Goetsch, US Bancorp Investments and Insurance; Jeff Salaway, Crump Life Insurance Services

The industry has been trying to crack the code for selling life insurance for 20 years. In this session, we turn to consumer research to explore why bank broker-dealers are still struggling to capture this opportunity. Drawing on a proprietary database and the experience of our panel, this session sheds some light on why banks have been challenged to meet consumer needs for life insurance, and how they can engage their customers proactively about these needs.

Facing the Challenges in the Individual Annuity Market

Moderator: Janet Cappelletti, BISRA
Panelists: Joe Montminy, LIMRA; Lori Reidy, Popular Investments; Richard Koll, ENSI

How is the industry reacting to the difficult annuity selling environment? This session will look at industry and bank channel trends for variable, indexed, and traditional fixed annuities. It will look at what’s working, what’s not, and what is changing as we move into 2013. Most importantly we will address how the changing annuity market dynamics can create opportunities going forward.

Linked Benefit Long-Term Care Rocks! Now What?

Moderator: Steven Saltzman, Kehrer Saltzman & Associates, Inc.
Panelists: Andrew Bucklee, Lincoln National; Simeon Hernandez, Forethought Financial; Lorin McMurray, BBVA Compass; Juan Garcia, HSBC

Clients and advisors are well aware of long term care risk and the devastating impact it can have on a financial plan. Linked benefit LTC solutions have been well received by Advisors, but it takes more than good product for sales success!

Join us for a panel discussion on what it takes to achieve success with Linked Benefit LTC. Panelists will include representatives from Lincoln National, Forethought Financial, HSBC and BBVA Compass.

Income Annuities in Retirement Asset Allocation

Gary Baker, CANNEX Financial Exchanges, LTD

Product allocation concepts for retirement income continue to evolve and often include the use of both investments and insurance products to support a client's cash flow plan. This session will review three basic types of allocation strategies available to advisors that include the use of income annuities within a portfolio. Also learn about recent operational improvements and trends in the industry that help integrate the planning and management of investment and income annuity products in a single portfolio.

Program Management

Legislative & Regulatory Update

John Hartigan, Morgan, Lewis & Bockius

This session will provide a legislative and regulatory update that will focus on FINRA's new suitability rule, Rule 2111 that became effective on July 9, 2012.

Wealth Management in the Retail Bank: Fighting for Shelf Space

Adam Stockton and Wayne Cutler, Novantas

Given the severe revenue pressures within the retail banking industry (sustained low rate environment and regulatory pressure on fees), banks are hungry for new sources of revenues. Retail banks are now looking toward wealth management to deepen customer relationships and produce new revenue streams. This session will focus on market trends – including the increasing customer shift toward multi-channel delivery preferences – and implications for building success on product lineup, channel delivery, sales process, and organizational integration.

Connecting the Dots: How Will Washington and Client Trends Change Our Business?

Keith E. Hickerson, MSM, The American College

From tax changes to Dodd-Frank, from the new healthcare law to the deficit reduction debates: what's ahead from Washington and how will our business be impacted? What changes will most affect clients? Customer trends are shifting at the same time, and "Connecting the Dots" will focus on the opportunities and risks for financial services in an environment of disruption and change.

How Bank B/D Programs Can Better Compete in the Advisory Business

Moderator: Jack Cramer, Cramer + Associates, Inc.
Panelists: Wes Egan, Wealth Brokerage Services, Wells Fargo; Rich Guerrini, PNC Investments; Frank Consalo, Citi Wealth Management  

In this highly interactive workshop we will explore some of the industry’s best practices around growing your fee-based business from some of the leaders who perfected them. We will explore the role of critical items such as the product platform, culture, incentives, training, recruiting, coaching, sales management, coaching and client segmentation.

While we will discuss some of these items at a high level so that everyone can take something useful back to their firms, we will also dive deep into some of the details that can turn a good idea into the blockbuster idea that changes the bank broker-dealer’s culture, the Advisor’s profitability and the Client’s experience.

Maximizing the Platform

Moderator: Casi DiLeva, UnionBanc Investment Services
Panelists: Howard Hammond, Fifth Third Bank; Lawrence M. Orsini, First Niagara Financial Group; Jerry Mladenik, Union Bank; Bruce Stava, First Brokerage America LLC

This session will focus on what Program Mangers are doing now and what they plan to do in the future to maximize the productivity and revenue generated from their platform programs. The panel will discuss issues such as deposit base penetration, segmenting the customer base, referrals to FAs and selection criteria for platform personnel.

Other topics covered will include: compensation; referral tracking approaches; product menu; training; sales supervision; management; motivation; and career track opportunities.

Position Yourself Above the Competition - Branding Your Investment Program

Gary Weuve, CUNA Mutual Group

In the commoditized financial services industry how does an investment program position itself in the minds of bank customers as unique and different? How do you create "pull” of the best customers? The answer to both questions lies in building and executing on a strong brand strategy.

We will discuss understanding how the investment program is perceived, review the elements of a successful brand and then cover the steps to building and launching a strong brand strategy.

Wealth Mangement/Retirement Income Planning

UMAs Across Multiple Channels (B/D, Trust and RIA)

Paul Ahern, Winslow Capital

Affiliated bank wealth channels are usually disjointed and often do not cooperate with each other leading to inefficiency, duplication of effort, and an inconsistent client experience. The presentation will discuss how a UMA business model can drive higher margins and achieve scale in manufacturing and delivery of a common, low cost, investment offering across affiliated trust-BD-RIA wealth channels under a common bank holding company.

BISRA Wealth Management Best Practices

Scott Stathis, BISRA and Jack LaSalle, Spinnaker One Consulting

Historically banks have been losing the game when competing for higher-end wealth management assets, but it should be ours to win since we have many significant advantages over the traditional brokerage and independent RIA channels. This session will cover our related research which shows that there are five key obstacles that are preventing us from dominating the wealth management space. Overcome these obstacles and we can own the field!

Ensuring Advisor Effectiveness in Wealth Management

David Greene, Greene Consulting Associates

Wealth Management delivery is an advice-centric proposition. As such, success is dependent on advisors being prepared to address the unique issues of each client in a dynamic regulatory, tax and investment environment. This session will use specific examples from industry leaders in wealth management that define how they have developed career paths, educational strategies and specific support resources that ensure advisors are prepared to fulfill the wealth management value proposition of your firm.

Bridging The Organizational Divide – Sharing Success Stories

Moderator: Wayne Cutler, Novantas
Panelists: Gonzalo Luchetti, Citi; Tom Hall, Seacoast National Bank; Sam Guerrieri, Jr., M&T Securities, Inc.

Banks are looking for alternative revenue streams to offset the decline from traditional retail businesses. Most bank executives believe the Wealth Business can significantly contribute to these new revenues but continue to have difficulty engineering the right operating model. Based on a joint survey by BISA and Novantas, executives cite several organizational impediments, including senior management commitment, shelf-space and product cannibalization, and compensation and incentives. Several banks have begun making inroads into these issues. The panel, comprised of four senior executives from both the Wealth and Retail side, will discuss their experiences and how they are addressing these organizational impediments.

Blurring The Lines: The Impact and Importance of Self-Directed Investing in Wealth Management

Chris Psaltos, Scivantage

As the self-directed investment channel continues to grow at a rapid pace, bank brokerages are being forced to reevaluate their wealth management strategy to support the increased demand among Investors for more investment self-service. Join Chris Psaltos, Vice President, Product Management at Scivantage and our panel of leading experts as they share the latest trends, technology and client requirements driving this dramatic market shift and discover the impact it will have on your business.

Advanced Social Security Strategies

Gail Buckner, CFP Professional, CRPS, AIF, Franklin Templeton Investments

"Advanced Social Security Strategies” walks advisors through common, but surprisingly complex situations including:

  • How being married, divorced or widowed impacts your benefits.
  • How to give your Social Security check a government-guaranteed boost.
  • How benefits for one spouse are affected based on when and how the other spouse files.

This presentation will educate you on the many decisions involved in claiming Social Security as well as their consequences and provide strategies to maximize the benefits received.

Solutions Showcases

Emerging Best Practices for Cross-Channel Bank Wealth Advice Manufacturing and Distribution

Moderator: Gavin Spitzer, Prudential Investments ® Wealth Management Solutions
Panelists: Michael Miroballi, BMO Harris Financial Advisors, Inc.; Roger Wilder Hobby, Wilmington Trust NE 

As banks increasingly break down the silos separating traditional Brokerage and Trust channels, there are significant implications for how firms need to assess and potentially reengineer how they both create and distribute their portfolio advice to maximize consistency, efficiency and effectiveness.

The session will address relevant topics including team structure and roles, technology and client segmentation.

Real World Income Planning

Rich LaVoice, Symetra Life Insurance Company

Today’s Advisors are confronted with the real world dilemma of a prevailing low interest rate environment and ongoing market volatility– making it increasingly challenging for them to find ‘right-fit’ solutions that can create consistent and reliable retirement income streams for their clients’ portfolios.

This will be a highly engaging and statistically packed presentation that offers insightful solutions and practical strategies that can help advisors smooth the ride of market volatility on their clients’ portfolio while creating higher, more reliable, retirement income streams.

Strategies for Developing Successful Advisors

Alexandra Taussig, National Financial

Join Fidelity as we share insights on the satisfaction and behaviors of advisors. In this session, you will:

  • Understand why advisor sentiment has returned to pre-crisis levels, 
  • Learn about the profile of today’s advisor and a new advisor profile that may be emerging, 
  • Identify key advisor segments likely to drive the future of the advice business, 
  • And uncover the traits of "valued advisors” who proved their worth to investors

Modern Retirement Portfolio Theory - The Efficient Income Frontier

Stephen Rathford, New York Life

The shift from defined benefit plans, increased life expectancy, and uncertainty surrounding Social Security benefits are fueling the need for more retirement guidance. As clients transition from accumulation to distribution, how will advisors help ensure they are meeting their clients' income needs while still growing their assets? While complex, the answer to this question may lie in The Efficient Income Frontier, a modern retirement portfolio theory that helps advisors address the risks associated with retirement.

The 4 Cs: A Framework for Successful Retirement Income Strategies

Thomas DeSanto, Allianz

Retirement today looks and feels different than it did for previous generations. As our financial landscape continues to shift, so must the way Americans and their financial professionals think about retirement income strategies. The 4 C’s uses a simple framework to help clients begin thinking about and preparing for the pre-retirement transition phase. The 4 C’s; clarity, comfort, cost of living, and certainty, will help guide clients through some of the complex decisions as they transition from accumulation to income strategies.

Introduction to Tactical Investing

Moderator: Christian M. Wagner, Longview Capital Management
Panelists: Andrew Barber, Waverly Advisors; Erick G. R. Kuebler, J.P. Morgan Securities

Tactical investing is becoming more popular for both clients and advisors, tactical investing is currently one of the biggest "buzz words” on the street, but what tactical investing, anyway? Our session will explore what tactical investing is, and the advantages and disadvantages of the strategy. We will explain the difference between tactical and strategic investing, why and when each strategy works and point out they work in better together than one strategy alone. Finally, we will explain how to position tactical investing strategies to your customers, which when implement correctly will help you increase assets, wallet share and fees.

Ahead of the Curve: Innovation Through Incremental Change

James T. Crowley, Pershing LLC, a BNY Mellon company

Jim Crowley, Chief Relationship Officer of Pershing, will share insight into incremental changes that can position firms for future growth and profitability by optimizing human capital, leveraging technology to reinforce brand, the importance of organizational alignment with customer lifecycle and profitability, revenue diversification and compliance considerations.

Planning for Health Care in Retirement

Kevin McGarry, Nationwide

Get insight to the challenges you face in helping clients solve for one of their biggest retirement concerns – paying for health care expenses – and discover ideas for making the planning discussion simpler.

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