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2013 Annual Convention Speakers

Speakers

Paul G. Ahern, President & Principal, Winslow Capital Group, LLC

Gary Baker, President, CANNEX USA

Andrew Barber, Chief Executive Officer and Founder, Waverly Advisors

Nathan Bergeland, CFP, MS, CEO, USAdvisors & SuccessQuest

Craig Brede, Vice President, Private Investors Product Group, Goldman Sachs

Andrew J. Bucklee, Head of MoneyGuard Reserve Solutions Distribution, Lincoln Financial Distributors

Gail Buckner, CFP Professional, CRPS, AIF, Financial Planning Spokesperson, Franklin Templeton Investments

Dawn Calonge, Risk and Examination Manager, FINRA

Janet Cappelletti, Head of Research, BISRA

Sean Carter, Insurance Program Manager, Huntington Investment Company

Tony Cole, President & CEO, Anthony Cole Training Group

Kathleen Collins, Partner, Morgan Lewis & Bockius LLP

Frank Consalo, EVP, Citi Wealth Management

Jack Cramer, President, Cramer + Associates, Inc.

James T. Crowley, Chief Relationship Officer, Pershing LLC, a BNY Mellon company

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

Thomas DeSanto, Regional Vice President, Allianz

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

Wes Egan, Director National Sales, Wealth Brokerage Services, Wells Fargo

Paul Field, Senior Consulting Associate, Kehrer Saltzman & Associates, Inc.

Juan Garcia, Head of Insurance, Retail Banking and Wealth Management, HSBC

Carol Goetsch, Sr. Group Insurance Product Manager, US Bancorp Investments and Insurance

Jim Goodwin, President, Riperian

David Greene, Managing Partner, Greene Consulting Associates

Sam Guerrieri, Jr., Chief Executive Officer, M&T Securities, Inc.

Rich Guerrini, President & CEO, PNC Investments

Thomas L. Hall, Executive Vice President, Wealth Management and The Private Bank, Seacoast National Bank

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

Simeon Hernandez, National Sales Manager, Retirement Care Sales, Forethought Financial

Keith E. Hickerson, MSM, Senior Strategy Consultant, The American College

Thomas C. Kane, Managing Director, KaneCarlton, LLC

Christine Kehrer, Research Director, Kehrer Saltzman & Associates, Inc.

Richard J. Koll, Managing Director, Business Development and Client Relationships, ENSI

Erick G. R. Kuebler, Managing Director, JP Morgan Securities

Jack LaSalle, Principal, Spinnaker One Consulting

Richard LaVoice, EVP of Retirement Sales, Symetra Life Insurance Company

Gonzalo M. Luchetti, Global Head, Wealth Management, Global Consumer Banking, Citi

Kevin McGarry, Director of Retirement Income Strategies, Nationwide Financial

Lorin McMurray, EVP/National Investment Sales Manager, BBVA Compass

Jeff McTague, President, Active Fund Strategies

Michael Miroballi, President, BMO Harris Financial Advisors, Inc.

Jerry Mladenik, Vice President, Licensed Banker Program Manager, Union Bank

Joe Montminy, LIMRA

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

Larry Orsini, Director, First Niagara Investment Services

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

Alois Pirker, Research Director, Wealth Management, Aite Group

Chris Psaltos, Vice President, Product Management, Scivantage

Stephen Rathford, Regional Vice President, New York Life and MainStay Investments

Lori Reidy, Senior Vice President, National Sales Manager, Popular Investments

Deryk Rhodes, Vice President, Structured Investments Group, Incapital

Jeff Salaway, Senior Vice President, Business Development, Crump Life Insurance Services

Steven Saltzman, Managing Principal, Kehrer Saltzman & Associates

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

Scott G. Stathis, Managing Director, BISRA

Bruce Stava, Program Manager, First Brokerage America LLC

Adam Stockton, Principal, Novantas, LLC

Alexandra Taussig, Senior Vice President, Marketing, National Financial

Serge Troyanovsky, Managing Director - Head of Retail Distribution, BNP Paribas

Christian M. Wagner, Chief Executive Officer and Chief Investment Officer, Longview Capital Management, LLC

Gary A. Weuve, CLU, ChFC, CFP, National Sales Director, CUNA Mutual Group

Larry Wilson, Executive Director, Structured Investments, JPMorgan

 

Biographies

Paul G. Ahern, President & Principal, Winslow Capital Group, LLC

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.

Mr. Ahern’s experience includes serving a hands on CIO for 12 years; CEO of a bank affiliated holding company that included a trust company, broker-dealer, and RIA; VP and board member of a public bank holding company; president of an RIA. Mr. Ahern is regularly quoted by industry publications regarding the evolution of UMA, and is a featured speaker on the impact of overlay technology on affiliated bank wealth channels.

Gary Baker, President, CANNEX USA

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.

His experience in the retirement market has broadly covered retail and institutional businesses as well as insurance and money management. Prior to joining CANNEX, Gary led product development and marketing for MassMutual’s Retirement Income business. Prior to that, he was with GE Capital where held a variety of senior positions in business development, product development and marketing both domestically and internationally.

Gary holds a B.S. in Finance from Pennsylvania State University.

Andrew Barber, Chief Executive Officer and Founder, Waverly Advisors

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.

Andrew oversees the firm's macroeconomic research and co-directs asset management.


Nathan Bergeland, CFP, MS, CEO, USAdvisors & SuccessQuest

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.
Nathan has been featured in numerous national magazines including "Financial Planning", "Credit Union Times", "Financial Services Week", "Investment News”, "On Wall Street”, "Bank Investment Consultant”, "Bankers News", "BISA One Source” and more. He co-authored Sheshunoff's "Community Banker's Guide to Non-Traditional Banking Services."

Craig Brede, Vice President, Private Investors Product Group, Goldman Sachs

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, Head of MoneyGuard Reserve Solutions Distribution, Lincoln Financial Distributors

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, CFP Professional, CRPS, AIF, Financial Planning Spokesperson, Franklin Templeton Investments

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.

Ms. Buckner's background includes 30 years in television journalism and two decades speaking on financial and securities industry topics. She has extensive experience working directly with financial advisors and shareholders, providing expertise on a wide range of topics including Retirement Planning, IRAs, Social Security, Estate Planning, 529 College Savings Plans, and Women and Money.

Ms. Buckner has received two Emmy Nominations for her work in broadcasting, which includes hosting "Fox on Money" on the Fox News Channel and anchoring CNBC's "This Morning's Business" and "World Business." She currently writes the personal finance column, "Your Money Matters," at foxbusiness.com, which is read by more than 100,000 people each week.

Ms. Buckner is a CERTIFIED FINANCIAL PLANNER, a Chartered Retirement Plans Specialist, an ACCREDITED INVESTMENT FIDUCIARY, and holds NASD Series 7 and 63 licenses. She earned a B.A. in English from the University of California at Santa Barbara and an M.S. in financial planning from the College of Financial Planning.

Dawn Calonge, Risk and Examination Manager, FINRA

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, Head of Research, BISRA

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, janet.cappelletti@bisra.com).


Sean Carter, Insurance Program Manager, Huntington Investment Company

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, President & CEO, Anthony Cole Training Group

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, Partner, Morgan Lewis & Bockius LLP

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 also serves as Washington counsel for the Bank Insurance & Securities Association, a trade group composed of bank holding companies, national and state-chartered banks, thrifts, credit unions and finance companies which sell securities and insurance. She also represents a number of financial institutions establishing and expanding insurance sales programs and in regard to ongoing compliance with insurance, banking and securities requirements on the state and federal levels.

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, EVP, Citi Wealth Management

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.

Previously, Frank was an SVP Sales Executive for PNC Investments based in Philadelphia, PA. His responsibilities included the Sales Management of the Northeast and Southern markets for PNC.

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.

Frank started as a Financial Advisor in 1985 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.

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 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 + Associates, Inc.

Jack Cramer is the President and Founder of Cramer + Associates, Inc., a wealth management best practices firm.

Mr. Cramer works with bank investment programs, independent broker-dealers and wirehouses to define and refine their sales, marketing and training strategies as they try to more effectively reach existing and new clients.

Additionally, Cramer helps Advisors and Firms realize the promise of a planning-focused practice by giving them step-by-step processes and industry best practices that ensure they see an immediate impact in their business.

Jack and his team are fortunate to work with some of the industry’s most successful firms and most productive planning-focused Advisors, so they can stay on the leading edge.

The techniques, tools, processes and exercises that Cramer & Associates shares with Advisors are often the missing link that catapults Advisors and Firms to the next level in the evolution of their wealth management practice.

James T. Crowley, Chief Relationship Officer, Pershing LLC, a BNY Mellon company

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.

Mr. Crowley earned a Bachelor of Science degree in Management from Florida State University.

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

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, Regional Vice President, Allianz

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.

Prior to joining Allianz, Tom was employed by Merrill Lynch as their annuity specialist. Tom started his career in the financial services industry with JC Bradford & Co. He then worked with AETNA Financial Services, which was soon acquired by ING USA, where he developed his successful variable annuity sales career.

Tom earned his BA degree in communications and marketing and his MA degree in theater with a concentration in directing from Villanova University. He has completed the Sequoia Presentation and the FUSION Presentation Training. Tom holds his CRPC designation, as well as his Series 6 and 63 securities registrations.


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

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.

Casi started her career in financial services as an investment advisor over 20 years ago. Her life’s passion is helping people grow and protect their assets. She has held positions at Sanwa Bank, Nationwide, Allstate and AIG managing five state regions and mentoring her sales staff. Her credentials include Series 6, 7, 63, and 24 securities licenses, as well as California State Life and Health Insurance licenses.

Community involvement is very important to Casi as she has been active with the Cystic Fibrosis Foundation, Aids Services Orange County, and Catholic Charities over the past 25 years. Casi has also served on the Adult Day services of Orange County, as she feels compelled to give back to the retired and challenged in the community.

She also enjoys raising her two sons to be strong, loving and valuable contributors to this great country.

Wes Egan, Director National Sales, Wealth Brokerage Services, Wells Fargo

Wes Egan, Senior Vice President of Wells Fargo Wealth Management, is the Director of National Sales for Wealth Brokerage Services.

Wes started in the financial services business as a Financial Advisor in 1989. He moved his practice from Smith Barney to what was then First Union Brokerage Services in 1994. After 10 years as a Financial Advisor, Wes became the Regional Sales Manager for the Charlotte Region in 1999. Over the next eight years, in collaboration with partners in the Retail Bank and the Wealth Management Group, the Charlotte region became one of the fastest growing and most profitable regions in the firm.

In 2007 Wes became the Director of National Sales, reporting to Mary Mack, the head of Wealth Brokerage Services. He is responsible for FA growth and productivity initiatives, FA Recruiting and onboarding, FA compensation design, field communications, and coordinating with the Wells Fargo Advisors home office in St. Louis on field related issues.

Wes is a native of Chapel Hill, NC and is a graduate of UNC Chapel Hill where he earned a BA in Economics and International Studies.

Wes and his wife, Kim, live in Charlotte, NC and have three children: Katherine age 15, Will age 13, and Sophie age 9.


Paul Field, Senior Consulting Associate, Kehrer Saltzman & Associates, Inc.

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, Head of Insurance, Retail Banking and Wealth Management, HSBC

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, Sr. Group Insurance Product Manager, US Bancorp Investments and Insurance

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, President, Riperian

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.


David Greene, Managing Partner, Greene Consulting Associates

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.

Prior to joining Greene Consulting, Mr. Greene was a Research Assistant at Hill Samuel Investment Advisors in London and an Analyst at the pension consulting firm, Debatin Associates (Watson Wyatt Worldwide).

Mr. Greene received his B.A. degree in Economics from Furman University and his M.B.A. degree in Finance from Mercer University.


Sam Guerrieri, Jr., Chief Executive Officer, M&T Securities, Inc.

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.

He joined the organization in 1996 as a Regional Sales Manager, leading him to the role of National Sales Director in 1998, President of M&T Securities, Inc. in 2004, and Manager of the Retail Branch Network in 2006 where he was responsible for over 725 Retail Bank Branches and more than 5,000 employees. Guerrieri has seen M&T grow and develop into a financial institution that is in the Top 20 independent bank-holding companies in the nation. He has been involved in 14 acquisitions that have supported the growth and expansion that has helped M&T Bank prosper. Guerrieri is currently President of the Bank Insurance Securities Association.

Guerrieri holds the following FINRA licenses: Series 7 -General Securities Representative; Series 24 – General Securities Principal; Series 53 -Municipal Securities Principal; Series 63 -Uniform Securities Agent State Law, and Series -65 Uniform Investment Advisor, as well as his New York State Life, Accident and Health License. He is a 1987 graduate of the University of Rochester, earning a B.S. in Psychology.


Rich Guerrini, President & CEO, PNC Investments

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
Investments for PNC Investments. The alternative channels of PNC Investment’s include the PNC Investment Center and PNC Investments web based investment offering. These channels offer flexibility to clients to get advice, service and solutions in a way that is convenient for them. The PNC Investment Center provides clients with access to a team of licensed and dedicated investment service associates who are committed to helping find appropriate financial solutions for our customers.

Rich joined PNC Investments in February 1994 as a financial advisor in Erie, Pa. He became a Regional Sales Manager in 1999 and was appointed Territory Sales Director for Western Pennsylvania in 2004. In 2008 he led the National City Investments/PNC Investments integration and then in 2010 was appointed to Territory Sales Executive responsible for PNC Investments Western territory.

Rich resides in Cranberry Township, Pennsylvania with his wife, Lisa and two children, Sam and Gabriella.

Thomas L. Hall, Executive Vice President, Wealth Management and The Private Bank, Seacoast National Bank

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 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.


Simeon Hernandez, National Sales Manager, Retirement Care Sales, Forethought Financial

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. 
 

Keith E. Hickerson, MSM, Senior Strategy Consultant, The American College

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.


Thomas C. Kane, Managing Director, KaneCarlton, LLC

Tom Kane is the founder and Managing Director of KaneCarlton, LLC, a Washington DC based consultancy dedicated to helping wealth management firms optimize performance.

Mr. Kane uses his 33 years of industry experience to help clients review and revise business models for the distribution of wealth management services. He helps executive managers make informed decisions by providing them with research, competitive intelligence, best practices and innovative, objective solutions for reducing costs, increasing profitability and gaining competitive advantage.

Tom authors the informative and thought-provoking blog, Wealth Biz Buzz. Learn more about Tom and KaneCarlton here.


Christine Kehrer, Research Director, Kehrer Saltzman & Associates, Inc.

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.


Richard J. Koll, Managing Director, Business Development and Client Relationships, ENSI

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.

Rich is a FINRA series 7 registered representative, series 24 registered principal and series 53 municipal securities principal. He has a great deal of experience in the delivery of financial products and services through financial institutions and has specifically served the bank and credit union channel for the past 17 years. Rich currently serves on the board of directors for the Bank Insurance Securities Association (BISA). In 2011, Rich was inducted into the exclusive BISA Circle of Excellence for his work within the industry.

Rich is an avid golfer and family man. He lives in Central Valley New York with his wife Mary of 23 years and his two children Samantha (18) and Jon (11).

Erick G. R. Kuebler, Managing Director, JP Morgan Securities

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.

Mr. Kuebler’s business focuses on Registered Investment Advisors, Banks, Family Offices, Hedge Funds, Broker Dealers and Non-Profits. As part of these relationships they have developed and executed a variety of trading, investment and lending strategies including 144 sales, 10B5-1 sales plan, options (listed and OTC), ETF’s (including creation and redemptions), portfolio trading and rebalancing, cash management, Fixed Income (including muni, corporate, high yield, bank loans, and foreign) and FX. He also has extensive experience with Prime Broker, Custody and design and implementation of custom platform design.


 

Jack LaSalle, Principal, Spinnaker One Consulting

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, EVP of Retirement Sales, Symetra Life Insurance Company

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 M. Luchetti, Global Head, Wealth Management, Global Consumer Banking, Citi

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.

Prior to joining Citi, he worked for JP Morgan Chase as VP of Business Optimization, and worked at Bain & Company in San Francisco, London, Stockholm and Madrid as a Management Consultant.

Gonzalo holds an MBA degree from Stanford University and a Bachelor’s degree in Computer Sciences from the Technological Institute of Buenos Aires.


Kevin McGarry, Director of Retirement Income Strategies, Nationwide Financial

As Director, Nationwide Institute for Nationwide Financial, Kevin McGarry leads a sales team dedicated to educating advisors about the latest retirement income-planning trends. He and his team work closely with firms, advisors, and clients to implement practical and comprehensive retirement income solutions. With more than 20
years experience in the financial services industry, Kevin currently holds the following designations: certified investment management consultant and chartered retirement planning counselor.


Lorin McMurray, EVP/National Investment Sales Manager, BBVA Compass

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, President, Active Fund Strategies

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, President, BMO Harris Financial Advisors, Inc.

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.

Prior to his current role, Mr. Miroballi was the head of Harris Private Bank’s Trading, Investment Consulting Services and Real Estate Management groups. He also served as chairman of the Outside Advisor Review Committee, which oversees selection and due diligence for mutual funds and third-party advisors employed by the bank on behalf of its clients. Mr. Miroballi began his career as an investment manager in 1986 with Merrill Lynch & Co. and spent five years with Citigroup before joining Harris in 2001.

Jerry Mladenik, Vice President, Licensed Banker Program Manager, Union Bank

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.
Mladenik has more than 25 years of financial services experience. Prior to joining Union Bank, Mladenik was a Senior Vice President at Bank of America/Merrill Lynch Wealth Management where he oversaw Financial Advising Operations in the three state areas of the Northwest.

Prior to joining BAC/Merrill Lynch Wealth Management, Mladenik was a Senior Vice President of Investments at J.P Morgan Chase where he supervised a team of 8 sales managers, 125 financial advisors and 700 licensed bankers.

 

Joe Montminy, LIMRA

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, 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 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 Orsini, Director, First Niagara Investment Services

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

Keith is Executive Vice President, Lending & Financial Services for Wescom Credit Union where he is responsible for Lending, Credit Risk, Collections, Strategic Planning and three CUSO’s: Wescom Financial Services, LLC, Wescom Insurance Services, LLC and CUSO Mortgage, Inc. He has over 28 years of experience in the financial services industry holding senior management positions in the investment services areas of Countrywide, Washington Mutual and Great Western.

Keith holds a number of securities licenses. He has an M.B.A. and a B.A. in Economics both from UCLA.


Alois Pirker, Research Director, Wealth Management, Aite Group

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.


Chris Psaltos, Vice President, Product Management, Scivantage

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, Regional Vice President, New York Life and MainStay Investments

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”.

Prior to joining New York Life & MainStay Investments, Steve was with Fidelity Investments, responsible for sales in their national Retail distribution system, and also worked with their Institutional Sales group. He previously held positions with Prudential-Bache and Drexel Burnham Lambert, which allowed him to develop a retirement planning roadmap to help retirees simultaneously address their essential expenses and grow savings.

Steve is a graduate of Northern Illinois University and is a member of the Financial Planning Association.


Lori Reidy, Senior Vice President, National Sales Manager, Popular Investments

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.


Lori can be reached at LReidy@Bpop.com or phone (815) 353-6635.



Deryk Rhodes, Vice President, Structured Investments Group, Incapital

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 Salaway, Senior Vice President, Business Development, Crump Life Insurance Services

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, Managing Principal, Kehrer Saltzman & Associates

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.

With 20 years in the financial services industry, Mr. Saltzman has held leadership positions at JPMorgan Chase, First Union, and domestic and offshore insurers with a focus on life insurance, annuity and investment products.

A graduate of University of Southern Mississippi, Mr. Saltzman lives in the Charlotte, NC area.

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

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.

As an advisor to financial institutions on advisory best practices and business strategy for more than 20 years, Gavin helps firms modernize their investment platforms and lead role evolution and adoption. Since joining Prudential Investments in 1997, he has held a variety of marketing, research, education, and strategy roles, including brand, advertising, Internet marketing,, and advisor education.


Scott G. Stathis, Managing Director, BISRA

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 Stava, Program Manager, First Brokerage America LLC

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 Stockton, Principal, Novantas, LLC

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, Senior Vice President, Marketing, National Financial

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.

During her tenure at Fidelity, Ms. Taussig has served as vice president, Acquisition Marketing for Fidelity Retail, vice president, Online Brokerage Marketing, and vice president, Customer Segment Group. She began her career with Fidelity as a Distribution Channel Marketing manager in 1992.

Ms. Taussig received her BA degree in psychology from Cornell University and her MBA from the Anderson Graduate School of Management at UCLA.

Serge Troyanovsky, Managing Director - Head of Retail Distribution, BNP Paribas

Serge Troyanovsky is a Managing Director at BNP Paribas in New York. He is in charge of Structured Products distribution in North America.

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, BNP Paribas has been named as the 2012 "Structured Products House of the Year” by Risk magazine.

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.

Christian M. Wagner, Chief Executive Officer and Chief Investment Officer, Longview Capital Management, LLC 

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, CLU, ChFC, CFP, National Sales Director, CUNA Mutual Group

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™.

Currently he serves as the National Sales Manager for MEMBERS Insurance and Investments, a suite of products offered by the CUNA Mutual Group.

Larry Wilson, Executive Director, Structured Investments, JPMorgan

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.


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