|2013 Annual Convention Speakers|
Paul Ahern is President of Winslow Capital Group, LLC; the leading independent consultant for banks, investment advisers and broker-dealers seeking to determine the right business model and method of execution regarding open architecture including, SMA, UMA, Overlay and UMH across multiple bank affiliated wealth channels.
Gary Baker leads the U.S. operation of CANNEX Financial Exchanges. CANNEX provides a central exchange for guaranteed product data and calculations in the U.S. and Canada. The business also provides educational tools, product illustrations, transaction support and custom applications.
Andrew Barber has been in the industry for 18 years, holding positions at firms including Paine Webber, Prudential Securities, Jefferies & Co., and Fort Buford Advisors, working in a variety of roles including derivative strategist, trader and portfolio manager. As a contributing editor for Institutional Investor, Andrew writes on investment topics and is also the moderator of the Global Market Thought Leaders platform.
Nathan D. Bergeland is a securities Registered Principal and Advisory Supervisor. Nathan is the founder and CEO of the USAdvisors Financial Group (Network, Insurance Agency and Wealth Management, LLC’s) and SuccessQuest International, LLC. He holds a Bachelor of Arts degree in Economics from Saint Olaf College and earned the designation of CFP (’84) and a MS degree from the College for Financial Planning.
Craig Brede is a Vice President in the Private Investors Product Group where he has been for the last 6 years, a group which services retail investors. Craig spends a majority of his time structuring and selling structured products to the broker-dealer community, working very closely with Incapital. Craig graduated from Notre Dame in 2006
Andrew J. Bucklee is the head of MoneyGuard Reserve Solutions Distribution for Lincoln Financial Distributors. He is responsible for overseeing growth strategies for MoneyGuard Reserve solutions distribution and leading wholesaling teams to drive sales.Prior to joining Lincoln Financial Distributors, Andrew held various sales leadership positions at Merrill Lynch over an 18-year career, most recently as director of life sales. He began his 25-year career in life insurance sales at CIGNA Financial Services.Andrew graduated from Washington College and attained the CLU and ChFC from the American College and also holds the CFP designation.
Gail Buckner is the financial planning spokesperson for Franklin Templeton Investments. She is also an instructor for the Franklin Templeton Academy, Franklin Templeton's global financial advisor training program.
Dawn Calonge is Surveillance Director in FINRA’s Florida District Office located in Boca Raton, Florida. Dawn manages Regulatory Coordinator staff that are responsible for the ongoing financial monitoring and sales practice surveillance of member firms in the Florida and New Orleans District Offices. Prior to becoming a Surveillance Director, she served as an Examination Manager responsible for managing examination staff that conducted cycle and cause examinations. Dawn joined FINRA as a Staff Examiner, investigating a wide range of member firm activities.
Prior to joining FINRA, Dawn worked at the U.S. Securities and Exchange Commission and the New York Stock Exchange. Prior to her regulatory work, Dawn worked in the accounting field and received her Bachelor of Business Administration degree with a major in Accounting from the University of Miami in Coral Gables, Florida.
Janet Cappelletti is the Head of Research for BISRA. In this capacity, she is responsible for survey design and deployment as well as data analysis and interpretation. Cappelletti has an extensive background in business intelligence for the financial services industry.
Prior to joining BISRA (formerly Kehrer-LIMRA) in 2009, Cappelletti was the MIS Coordinator for Webster Investment Services, as well as Webster Financial Advisors, and was responsible for critical business line data management and reporting.
She holds a B.F.A. from Hood College. Cappelletti can be reached at 203-560-1660 (email, firstname.lastname@example.org).
Sean Carter is the Insurance Program Manager for The Huntington Investment Company and Huntington Wealth Advisors, based in Columbus Ohio. He has more than 16 years of professional experience in the insurance industry, including client sales, training, wholesaling, product development and management. He has worked in his own private practice, within banks, carriers and general agencies. Sean joined Huntington in 2003 and is responsible for overseeing and supporting insurance sales within the Broker Dealer, Private Banking and Trust channels. Before joining Huntington Sean was an advisor in private practice and an agent with New York Life. Sean is a graduate of The Ohio State University.
Tony Cole brings proven wisdom and expertise to companies nationwide, illustrating a parallel between army basic training, a no-excuses mentality and the accountability required for excellent performance in the corporate world. Tony graduated from the University of Connecticut with a degree in Education. A scholarship athlete, Tony then leveraged his experience to coach two collegiate athletic teams. He spent more than 15 years in sales and management positions in the exercise equipment and insurance industries. This unique combination of coaching and selling led him to launch ACTG in 1991, which builds sales cultures within organizations nationwide.
Kathleen Collins is a partner in Morgan Lewis's Business and Finance Practice. Ms. Collins represents a number of local, regional and national financial institutions in legislative, regulatory and transactional matters. She has represented banks and thrifts in all aspects of organization, merger and change-in-control situations as well as banks facing or operating under regulatory enforcement actions.
Ms. Collins has written and lectured on a variety of topics, including litigation affecting banks, federal preemption, privacy and banks-in-insurance. Before entering private practice in 1989, she was general counsel of The National Bank of Washington and its holding company. Ms. Collins is currently an adjunct professor of law at Penn State University's Dickinson School of Law, where she teaches Bank Regulation.
Ms. Collins is admitted to practice in the District of Columbia and Pennsylvania.
Frank Consalo is the head of field management for Citi’s personal wealth management business where he leads a team of 315 Financial Advisors. Citi expanded its in-branch Advisor sales force by 50 in 2012 and expects to add another 50 Advisors by the end of 2013.
Prior to joining PNC, Frank was President of Fulton Financial Advisors for their 5 state brokerage operation, and Regional President for Wachovia Securities for 9 years.
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.
Jack Cramer is the President and Founder of Cramer + Associates, Inc., a wealth management best practices firm.
James T. Crowley is the Chief Relationship Officer and a Managing Director for Pershing, a BNY Mellon company. Mr. Crowley is also a member of Pershing’s Executive Committee and the Operating Committee at BNY Mellon. As the Chief Relationship Officer, he provides senior leadership to all of Pershing’s relationship management teams, and to the delivery of all other BNY Mellon services to Pershing’s customers. He also oversees Pershing’s U.S. broker-dealer business including relationship, account management and customer service.
Wayne is a Partner and co-founder of Novantas LLC, a strategic management and information services firm focused on assisting financial services companies. Wayne’s leads the Wealth Management Practice for which he specializes in business portfolio strategies, M&A, customer marketing, customer experience design, pricing, and developing new customer operating models. Prior to Novantas, Wayne was a partner at Booz, Allen & Hamilton, and FMCG and an officer at JP Morgan. Wayne is also an adjunct professor at Columbia’s MBA school and regularly contributes to industry publications.
Thomas DeSanto of Allianz Life Financial Services, LLC has over 14 years of financial services industry experience. He guides financial professionals in creating retirement strategies that help their clients meet their long-term financial objectives, in a variety of market conditions.
Casi DiLeva was named Vice President and Program Manager overseeing UnionBanc Insurance Services’ Life Insurance Program and UnionBanc Investment Services’ Licensed Banker Program in 2009. Casi oversees over 400 licensed bankers and a team of Life Insurance specialists and support staff. Under her direction, both programs have consistently and substantially grown revenue.
Wes Egan, Senior Vice President of Wells Fargo Wealth Management, is the Director of National Sales for Wealth Brokerage Services.
Paul Field is a senior associate of Kehrer Saltzman & Associates, where he provides consulting services focused on marketing insurance and investment products effectively in the banking environment. He has more than 35 years of experience in the insurance, banking and investment industries, most recently as a Senior Vice President with SunTrust Banks, Inc., where he had a 20 year career, which included the development of the Bank's life insurance strategy in the affluent and wealthy markets. His experience includes extensive experience in insurance and investment strategy development, program design, product development, product and partner selection, marketing communications and marketing support.
Juan Garcia joined HSBC in 2006 and is Head of Insurance at HSBC Retail Banking and Wealth Management division. Mr. Garcia has over 26 years of financial services and investment experience and has held senior positions at Fidelity Investments and The Dreyfus Corporation.
Juan holds a Bachelor of Business Administration in Finance from St. Johns University. In addition, Juan holds Life and Health Insurance licenses and FINRA Series 7, 8, 24, 55, and 66 registrations.
Carol Goetsch is the Sr. Group Insurance Product Manager for U.S. Bancorp Investments and Insurance (USBII). Carol entered the insurance business in 1984 as an insurance sales representative where she concentrated on point-of-sale in the areas of personal retirement and business planning. Following her time as a sales representative, Carol transitioned to working at the home offices of two major insurance carriers, holding positions in underwriting, claims and marketing. Over the past 15 years, Carol has held senior level positions with major financial institutions, joining USBII in August of 2010. In her current role, Carol continues to focus on building both their insurance product and distribution platforms for the mass affluent, affluent, high net worth and ultra high net worth, as well as working with all areas of U.S. Bank driving awareness and support of Wealth Management Solutions.
Jim Goodwin is President of Riperian, Inc., an advisory and consulting firm providing strategic, tactical and operating support to financial institutions. Riperian is focused on the intersection of Banking and Brokerage, with particular emphasis on Online Channel strategies and implementations. Riperian delivers strategic plans, product and channel assessments, and program implementation services, supported by proprietary research. Prior to founding Riperian, Jim led Bank of America’s Online Investing business. In 2007, SmartMoney named the operation #4 among Premium Discount Brokers, ahead of many larger competitors.
A Managing Partner at Greene Consulting Associates, David has over 24 years of experience in the asset and wealth management industry working with both Institutional clients as well as those in the wealth management segment. David has been a speaker at many client and industry events on topics such as sales, high net worth client strategies and developing client loyalty and has worked with some of the leading wirehouses, banks and top mutual fund firms in the industry.
Guerrieri has been a Senior Vice President of M&T Bank Corporation since 2003. In January 2013 he was named Chief Executive Officer of M&T Securities and responsible for M&T Investment Group that includes the Brokerage, Property & Casualty, and Life Insurance businesses. He is also the President of the Wilmington Trust Mutual Fund Family.
Rich Guerrini is the President and CEO of PNC Investments based in Pittsburgh, PA. Previously, Mr. Guerrini was an Executive Vice President and Managing Director of Alternative
Tom is a senior executive at Seacoast with over 34 years of extensive broad-based banking and relationship management experience in retail and affluent markets. His role at Seacoast includes setting strategic direction, implementing major tactical initiatives and goal attainment for the bank’s Wealth Management Line and Private Bank. The tactical plan for The Private Bank is under development and will be closely aligned with Seacoast’s highly successful Retail Strategy. This build-out will enhance collaboration between the Wealth Channels of Trust, Investments, and Brokerage with Retail.
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.
As a National Sales Manager for Forethought’s Retirement Care Sales, Simeon travels throughout the United States working with his team to provide financial professionals simple and innovative strategies for getting results in less time.With more than 19 years in the financial services industry, Simeon has been a National Channel Director and Divisional Sales Manager for Sun Life and has been an advisor with Raymond James, Citibank, and ABN AMRO, where he also spent 3 years as a Regional Sales Manager. Simeon, his wife Meridith, and their three children reside in Clermont, Florida.
A nationally respected business strategist, Keith has more than 25 years’ experience in branding, marketing, public policy, and operational results. He currently teaches a graduate-level strategy course and serves as a senior strategy consultant for The American College in marketing and public policy. He is the recipient of PRSA's Silver Anvil Award for public relations excellence and is a graduate of Duke University. Keith has previously worked as an educator, a broadcast professional, and as head of corporate marketing for a Fortune 500 financial services firm and offers insights on emerging trends in financial services.
Tom Kane is the founder and Managing Director of KaneCarlton, LLC, a Washington DC based consultancy dedicated to helping wealth management firms optimize performance.
Christine Kehrer is responsible for a wide variety of research conducted by Kehrer Saltzman & Associates, including the implementation of various industry surveys and the firm’s consumer research using the MacroMonitor database, the gold standard of consumer financial surveys. Prior to the formation of Kehrer Saltzman, Ms. Kehrer directed the information services and survey business of Kenneth Kehrer Associates for almost 30 years. This research included the company’s hallmark information service, the Annual Kehrer Financial Institution Investment Program Benchmarking Survey. In addition, Ms. Kehrer was co-author with Dr. Kenneth Kehrer of BISA’s Quarterly Productivity and Performance Report and Annual Industry Trends Study.
Rich has over 25 years of experience in the financial services industry. He has held executive positions at AXA Advisors, Citigroup, Bankers Trust, Independent Financial Marketing Group (IFMG) and INVEST. Prior to working at INVEST, Rich was President of IFMG Securities, Inc. for eight years. Rich has a BA in Marketing and Finance from Manhattan College and an MBA in Managerial Finance from Iona's Hagan School of Business.
Erick Kuebler is a Managing Director at JP Morgan Securities. Prior to joining JP Morgan, Mr. Kuebler was a Managing Director at Bear Stearns & Co. and has been in the industry for over 20 years.
Jack LaSalle heads up Spinnaker One Consulting, a firm that helps banks develop, implement and optimize their wealth management strategy. He has over 20 years experience leading investment sales teams for both regional and national financial services organizations including Cal Fed Bank, Citibank and Smith Barney. He received a bachelor degree from the University of California at Berkeley and a master’s degree from Stanford University.Richard LaVoice is executive vice president of Retirement Sales and Distribution for Symetra Life Insurance Company. In this role, he is responsible for distribution strategy, sales production and sales operations relating to Symetra’s retirement products.
Before joining Symetra in 2010, LaVoice was corporate vice president and national sales manager of Retirement Income at MassMutual Financial Group. He has specialized in sales of life insurance and retirement products throughout his 28-year financial services career, holding sales leadership positions at UBS Financial Services, Inc., SunAmerica Retirement Markets, Inc., Bear Stearns & Co., Inc., and Shearson/Smith Barney. LaVoice earned a bachelor’s degree in legal studies from the University of Massachusetts at Amherst.
Gonzalo is currently the Global Head of Wealth Management, Consumer Banking. Prior to this role, he led the International Personal Banking business in Latin America. He joined Citi in April 2006 where he became the Head of Strategy and Chief Financial Officer for Citi Private Bank LATAM.
years experience in the financial services industry, Kevin currently holds the following designations: certified investment management consultant and chartered retirement planning counselor.
In 22 years with BBVA Compass, Lorin has ascended from the sales manager ranks to his current role as EVP/National Investment Sales Manager, doing so with a level of consistency and profitability that has made BBVA Compass’ investment program an integral aspect of BBVA. Lorin is responsible for sales/revenue objectives, budgets, compliance activities, incentive plans, partner relationships and vendor/product due diligence.Lorin holds a Bachelor of Business Administration in Finance from Texas State University in San Marcos, Texas. In addition, Lorin is a CFP® and holds FINRA Series 7, 24, 63 registrations.
Jeff McTague has been in the financial services industry for 29 years. Supported by his two websites ― ActiveFundStrategies.com and FundElert.com ― he uses his extensive background as a retailer, wholesaler, researcher and trainer to create and deliver an investment philosophy and process designed to raise the competence, confidence and production of new financial advisors and veterans alike. What makes Jeff’s program unique is that every facet of its presentation is supported by fact, rather than opinion. Over the years, his lectures and continuing education classes have been enthusiastically received by thousands of advisors across the country.
Michael Miroballi is President of BMO Harris Financial Advisors, Inc., which is an affiliate of BMO Harris N.A., a registered broker-dealer and registered investment advisor serving the wealth management needs of Harris Bank customers. He also serves as a member of Harris Private Bank’s Investment Policy Committee.
Jerry Mladenik was named Licensed Banker Program Manager for Retail Banking in 2009. In this capacity, he oversees more than 350 Licensed Bankers and the program has grown revenue substantially over the last 3 years.
Joe is responsible for LIMRA’s Individual Annuity research program. His team conducts monthly, quarterly, and annual annuity benchmarking surveys. He is responsible for LIMRA’s Annuity Committee, oversees its Annuity Research Study Group, and has published numerous articles and reports covering various aspects of the Individual Annuity market.
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 30 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.
Larry joined First Niagara on January 1, 2012, where he is the Managing Director of First Niagara Investment Services.
Larry transitioned over from HSBC Bank where he was the District Director of the WNY Region. His responsibilities included: oversight of all Retail, Wealth and Mortgage Sales.
Prior roles included, Sales Director and Regional Sales Manager for HSBC Securities. He has twenty years of experience in the financial services arena, including time spent at Smith Barney and Bank of America.
Larry grew up in Western NY, a graduated from St. Bonaventure University, spent the majority of his career in Metro New York area, relocating back to WNY in 2007 with his family.
Keith holds a number of securities licenses. He has an M.B.A. and a B.A. in Economics both from UCLA.
Alois Pirker is a research director at Aite Group, specializing in trends in the wealth management market. He has published extensively on topics including the registered investment advisor space, financial planning, separately managed accounts, and advisor-focused platforms and tools. Mr. Pirker has been quoted in various media outlets such as The Wall Street Journal, Bloomberg, Dow Jones, and Reuters. Mr. Pirker holds BS and MS degrees (Diplom-Ingenieur) in applied computer science from the University of Klagenfurt in Austria. He also studied at the École Polytechnique Fédérale de Lausanne in Switzerland, where he wrote his master's thesis on data management.Scivantage is an independent financial technology provider with proven expertise in online brokerage, tax and portfolio reporting, and wealth management applications. Chris Psaltos has been with Scivantage for nearly five years and is currently responsible for Scivantage Investor and Investor Mobile product lines. Chris has nearly 20 years of experience in the financial services industry having previously been with E*TRADE Financial and Reuters America Inc. He holds a MBA from the City University of New York Baruch College’s Zicklin School of Business and a Bachelors of Business Administration from Loyola University of Chicago.
Stephen Rathford is a Regional Vice President with New York Life & MainStay Investments, where he is responsible for helping third party National Brokerage firms and Banks build a well thought-out retirement distribution strategy for clients. With over thirty years experience in personal finance, Steve has been educating financial professionals and their clients about ways to build a solid retirement and overcome the challenges associated with transitioning from "saver” to "spender”.
Lori Reidy is the Senior Vice President, National Sales Manager of Popular Investments at Popular Community Bank, managing the investment team since 2009. Prior to joining Popular, in her 17 year tenure at Citibank she held several positions including Mortgage Rep, Financial Services Rep and Citigold Executive. Last year, Lori was named one of the Top 20 Program Managers in the country by Bank Investment Consultant magazine. She has a Series 7, 63 and 24 securities license along with her life and health licenses.
Deryk Rhodes is Vice President with Incapital LLC’s Structured Investments Group. Mr. Rhodes is responsible for the distribution of both new issue and secondary structured retail products globally across all asset classes.
Deryk joined Incapital in November 2010. Deryk was formerly with Newbridge Securities as head of structured products trading. Prior to joining Newbridge, Mr. Rhodes was a director at Citigroup focusing on structured products sales to third party dealers and institutional accounts. Previously, Deryk was vice president within the structured products structuring and trading group at Nomura Securities.
Mr. Rhodes has been a frequent speaker at industry conferences and is regularly quoted in investment journals.
Jeff is a 25 year veteran of the financial services industry and leads the Institutional business development efforts for Crump Life Insurance, with particular focus on life insurance sales development. Jeff and the rest of the Crump team work with institutions in developing effective distribution and operational support models while providing access to a broad selection of the industry’s leading carriers. Crump enjoys highly productive institutional relationships with the largest Banks, Wirehouses, and Broker/Dealers in the United States.
Steven Saltzman is the Managing Principal of Kehrer Saltzman & Associates. He is responsible for the overall management of the firm and its efforts to help banks and broker dealers grow their investment and insurance business by focusing on product and business development trends.
Gavin Spitzner is senior vice president of business development at Prudential Investments ® Wealth Management Solutions. In this role, he is responsible for developing and expanding relationships with current and prospective institutional clients that are focused on wealth management. He also is a frequent speaker at industry events related to banking, wealth management, brokerage, and advisory solution communities and topics.
Scott G. Stathis has been in financial services since 1992. He joined forces with Dr. Kenneth Kehrer in 2008 and subsequently aligned with BISA in 2012 to form Bank Insurance & Securities Research Associates (BISRA) - a collaboration between BISA and LIMRA International - where Scott is the Managing Director. His early background includes new broker training, sales automation, and financial planning systems. His more recent experience includes running his own financial services technology consulting and research company, as well as being president of a financial planning software company. Scott moderates ten industry executive summits each year and is a frequent speaker at industry gatherings.
Bruce has 30 years experience in the securities industry, including 20 years of bank brokerage sales management. He has developed and managed platform programs as from small to as large as 1500 licensed and registered bankers, and everything in between. The current market environment is a challenging one for platform program sales, and requires LBs to definitely move outside their traditional comfort zone of fixed annuities- today we’re going to share some ideas that work!
Adam is a Principal at Novantas LLC, a strategic management consulting and information services firm focused on assisting financial services companies. Adam leads consulting engagements in the Wealth Management and Retail Banking practice areas; he specializes in product design and pricing, customer segmentation, and value proposition development. Recent engagements include business unit strategies for branch-based retail wealth management organizations and product proposition development for retail investment services.
Alexandra Taussig is senior vice president, Marketing for National Financial, a Fidelity Investments company, and a leading provider of clearing and custody solutions. Since February 2009, Ms. Taussig has been responsible for developing and driving all marketing initiatives and overseeing all market research and competitor analysis efforts. Ms. Taussig served as vice president, Marketing for National Financial beginning in 2005.
Serge Troyanovsky, Managing Director - Head of Retail Distribution, BNP Paribas
Mr. Wagner serves as both the Chief Executive Officer and the Chief Investment Officer of Longview Capital Management, LLC. Prior to Longview, Mr. Wagner was a Senior Vice President and the Director of Investment Services for Commerce Capital Markets, Inc. and Commerce Wealth Advisors. While at Commerce (now TD Bank), Mr. Wagner was responsible for the investment services and products delivered by Commerce Capital Markets and Commerce Wealth Advisors. Mr. Wagner managed a staff of over 150 investment consultants, portfolio managers, and service personnel; growing assets under management from $400 million to over $4 billion. Prior to joining Commerce, Mr. Wagner was a Senior Vice President at the Bank of America Private Bank, where he was responsible for the sale of Asset Management and Alternative Investment Products from Delaware to New York. Prior to Bank of America, Mr. Wagner was a Managing Director at Fisher Investments in Woodside, California.
Gary A. Weuve is a recognized leader in the institutional financial services industry. As a trainer, author and business coach he has helped thousands of financial advisors and investment programs grow their business regardless of market conditions. Gary is a member of the Financial Planning Association, the International Association of Registered Financial Consultants and The Worldwide Association of Business Coaches™. His designations include CLU®, ChFC®, RFC®, CRPC®, and Registered Corporate Coach™.
Larry is a senior marketer with the Structured Investments team for JPMorgan, responsible for marketing cross-asset structured investments through registered investment advisors, regional broker/dealers, trust companies, and private banks in the United States. Larry is also responsible for managing the team’s distribution efforts in regards to Interest Rate linked products across the entire platform.
Larry holds a Bachelor of Science in Finance from Oakwood College in Huntsville, AL and a Masters of Business Administration from University of Chicago - Booth.