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2019 Annual Convention Speakers & Education

 

REGISTRATION SCHEDULE EXHIBIT & SPONSORSHIP EDUCATION 
ACCOMMODATION KEYNOTES SPECIAL EVENTS RISING STAR

 

Wednesday, March 6
1:45-3:45 PM
Peer Group Discussions

 

These interactive discussions will allow program heads, managers and chief compliance officers an opportunity to dive deep into relevant and pressing industry topics and will be moderated by BISA Board members, industry consultants and the Regulatory & Compliance Education Committee. RSVP for a Peer Group Discussion here.

Discussion topics and facilitators:

Rhomes Aur, CEO, FTB Advisors; Rob Blenis, Compliance Officer, Raymond James;  Kendra Cain, Vice President, Compliance Officer Iberia Financial Services, LLC; Kenneth Cherrier, Chief Compliance Officer, Comerica Securities; Tom Deck, Chief Compliance Officer, M&T Securities; Carol Goulding, Group Vice President, M&T Securities, Kevin Larson, Risk Management, Cetera Investment Services, LLC; Kate Ring, SVP, Advisory CCO and Head of Product & Platform Compliance, LPL Financial; Jeffrey Walter, Chief Compliance Officer, US Bancorp Investments Inc

 

Room 314

Chris Radzom, Vice President of Investments, LGE Investment & Retirement Services; Scott Stathis, Managing Partner, Stathis Partners; Vance Richard, Sr. V.P., Program Manager, Iberia Financial Services, LLC

 

Room 316

Peter Bielan, Principal, Kehrer Bielan Research & Consulting LLC; Frank Consalo, National Sales Director, Citi Personal Wealth; Frank Drago, National Business Director, Santander Investments

 

Room 305

 

 

Thursday, March 7
9:00-10:00 AM

 

Diversity & Inclusion

Boldly challenging the status quo and decades of diversity and inclusion practices, Dr. Tony Byers is transforming D&I from “the right thing to do” to the business imperative of our time. Dr. Byers shows you how to build an inclusive culture through a breakthrough behavioral approach that overcomes biases and creates buy-in. You’ll also learn how to set in motion a multiplier effect of inclusion that more than doubles employee productivity while positively impacting every aspect of your organization.

 

Speaker: Tony Byers, Ph.D.

 

Sponsored by LPL Financial

 

10:15-11:00 AM

 

Household Dynamics:  The Female Force

Women continue to be an influential force in financial decision-making and continue to play a significant role. It’s never been more important for financial advisors to understand that monetary decisions are no longer a man’s sole responsibility. We’ll share multi-decade, proprietary research that looks at how household roles have changed when it comes to finances and retirement planning, to help you optimize your client experiences.

 

Moderator: Simeon Hernandez, Head of Business Development, Global Atlantic

As Head of Business Development, Simeon Hernandez leads a team of Advisor Practice Consultants who are experts in providing actionable and innovative ideas for business growth. He is also responsible for the production of educational meetings for Global Atlantic’s Strategic Partners and the Global Atlantic Team.

 

In the financial services industry since 1993, Simeon brings a wealth of experience to this role. His 10 years of success as a financial advisor and a history of achievement as a Senior Manager at ABN AMRO, Sun Life and Global Atlantic enables him to understand the needs of advisors and their managers.

 

Panelists:

Patti Hausherr, Advisor Practice Consultant, Global Atlantic

As an Advisor Practice Consultant (APC) for Global Atlantic, Patti Hausherr travels throughout the Southeast serving as a strategic consultant and partners with external wholesalers to help drive advisor sales through group meetings and special events. APCs deliver impactful and inspiring trainings, presentations and seminars, as well as workshops and branch meetings at company-sponsored events with current and prospective brokers.

With more than 25 years in financial services and more than 20 years in sales, Patti brings a wealth of knowledge to her business partners. She holds FINRA Series 7, 26 and 63 registrations, as well as a bachelor’s in Marketing.

 

Evan J. Farrell

 Evan J. Farrell is a Senior Vice President and Private Financial Advisor with SunTrust Private Wealth Management. He offers clients more than 25 years of comprehensive wealth management experience, with a team approach that brings together specialists in investments, financial planning, credit, and estate strategies. Evan is a native of Upstate New York and is a graduate of Niagara University. 

 

 

Jacinda Norvell, Senior Vice President & National Sales Manager, SunTrust Investment Services

Jacinda Norvell is a Senior Vice President and the National Sales Manager for Private Wealth Management (PWM) and SunTrust Investment Services (STIS), Inc. Jacinda currently develops and implements corporate sales-related strategy for managers and advisors within PWM and STIS.
She has previously served as the President of the Atlanta Association of Women in Securities and as a board member of the Georgia Securities Association. Jacinda also serves as a SunTrust Purpose Ambassador and chairs the Bank Insurance and Securities Association Diversity Committee.

 

Be Future Ready: Digitally Transform the Advisor Experience and Increase Client Engagement

We are seeing profound change in the wealth management industry, including the changing demographics and expectations in both advisors and the clients they serve. In this session, we will explore key trends that are impacting the way firms serve their clients, the challenges they are facing to adapt and evolve with the changing landscape, and how leading firms are managing to change and remaining relevant.  In addition, we will explore the correlation between the use of technology and AUM growth of a client at your firm. Whether its self-service tools, call center service delivery models, social media, or retail integration, how do we move forward to meet the client experience demands in a digital world?

 

Moderator: Marissa Herr, Vice President, Technology Client Engagement, BNY Mellon | Pershing

Marissa Herr brings over 11 years of experience in the financial services industry.  She rejoined the BNY Mellon enterprise in September 2017 as a Vice President, Senior Specialist Product Manager for BNY Pershing. Marissa is a part of the Technology Client Engagement Team, responsible for communicating Pershing's digital wealth strategy, acting as a SME on all of our technology solutions for firms, advisors, investors and home office users.

She previously worked for BNY Albridge from 2011 to 2015 as a Vice President, Product Manager supporting the utilization, adoption and product marketing efforts for Albridge Wealth Reporting. Also, prior to joining BNY Pershing, she worked as a Senior Portfolio Consultant for Fiserv, supporting the growth and adoption initiatives for CardValet, their card management and fraud mitigation app.

Marissa graduated from Penn State University in 2007 with a Bachelors in Marketing. She previously held her Series 6 and 63 licenses in her prior roles with Vanguard & Merrill Lynch between 2007 to 2010.

 

Panelists:

John Berglowe, Director, Digital Investor Experience, BNY | Pershing

Kevin Hughes, Chief Growth Officer, MoneyGuide, Created by PIEtech®

Jim King, President and CEO, Arvest Wealth Management

 

 

The Transformation to Holistic Advice

The role of the Advisor is changing.  Competitive pressures and the need to offer value beyond investment selection has firms recognizing that financial planning should be a requirement. While firms promote planning, they struggle with Advisors adopting the approach.  This session explores the changing role of the advisor, the benefits of holistic advice, and the progress some firms are making towards a holistic advisory platform driven through quality financial planning.

 

Moderator:

Leigh Van Heule CFP, AWMA, CRPC, CRC, Director of Financial Planning Consulting at Kehrer Bielan Research & Consulting

leigh.vanheule@kehrerbielan.com

After nearly 20 years in the financial services industry, Leigh has an intimate understanding of the power of financial planning.  She spent the first decade as an Advisor, providing holistic advice through planning, and the last decade coaching and directing financial planning at JPMorgan Chase, PNC Investments and most recently at BMO Harris Financial Advisors where she transformed its financial planning program. Leigh is now helping firms take financial planning to the next level; enhancing the development, training, and management of advisors while improving firm’s financial planning penetration and the quality of fiduciary-focused advice. 

 

Panelists:

Mike Miroballi, CFA, President, Huntington Financial Advisors

Michael.miroballi@huntington.com       


Steve Williams, CFP, CIMA, Financial Planning Strategy, BMO Private Bank

stevel.williams@bmo.com


Steve Kruchten, Program Manager, Raymond James Financial Services, Inc., President, BIS Bremer Investment Services

sekruchten@bremer.com

 

 

Alternative Fee Structures and the Future of Financial Advice
Disruptive forces are compelling advisors to rethink the way they charge for wealth management services. In this session we discuss alternative fee structures in wealth management, the impact of new pricing on firm profitability. We will also discuss a client-centric approach to offer-presentment, intelligent research, and the critical drivers that influence pricing sensitivity and value perception of financial products and services. 

Speaker:  Wei Ke, PhD, Managing Partner, Simon-Kucher & Partners

Wei Kei, PhD is a managing partner at Simon-Kucher & Partners, a global strategy consultancy with more than 1,200 employees in 25 countries. Wei is a behavioral economist and pricing expert who advises big banks and leading financial institutions on their pricing and marketing strategies. He is widely quoted in industry leading publications including American Banker, Barron’s, Forbes, and The Wall Street Journal. Wei received a Ph.D. in Decision, Risk, and Operations from Columbia Business School, and a BSc in Electrical Engineering & Applied Mathematics, summa cum laude, from Columbia University. 

 

SEC and FINRA: 2019 Regulatory Priorities and Enforcement Trends (Room 303)

This panel will examine enforcement and examination priorities at the SEC, FINRA and NASAA.  It will also discuss activity trends from 2018 as well as the regulators’ public pronouncements of where their focus will be for the coming year. Significant regulatory actions from the past year will also be examined to provide guidance to the audience about what to expect in 2019.

Scott Matasar, Matasar Jacobs LLC

Formerly a litigation partner in one of the largest and most highly esteemed law firms in the region, Scott has been repeatedly recognized by Super Lawyer Magazine as one of the “Top 50 Lawyers in Cleveland” and the “Top 100 Lawyers in Ohio,” and has received numerous other professional accolades.
Scott’s practice focuses exclusively on representing broker/dealers, life insurance carriers and other financial institutions and professionals in litigation, arbitration, regulatory enforcement defense, recruiting matters and structuring practice buy/sell transactions across the country.

Issa Hanna, Counsel, Eversheds Sutherland

Issa Hanna counsels investment advisers, broker-dealers and investment funds on compliance with federal and state securities laws and regulations and self- regulatory organization rules governing the sale and distribution of investment products and services, compliance and supervisory procedures, and disclosures to investors.  Issa also works closely with insurance companies and distributors of life and annuity products on regulatory issues under the state insurance laws, including compliance with the evolving standards of care applicable to the distribution of these products.
Before joining the firm, Issa participated in Eversheds Sutherland (US)'s Summer Associate Program in 2008, where he assisted primarily with matters relating to investment advisers, broker-dealers and investment funds. During law school, he also served as a law clerk in the Civil Division of the Office of the United States Attorney for the Middle District of Florida.

Matthew Girandola, Principal Consultant, ACA Compliance Group

Matt Girandola joined ACA Compliance Group in 2015. As a Principal Consultant, he conducts mock SEC examinations and provides regulatory consulting services to registered investment advisers, including hedge fund, private equity fund, and traditional SMA managers.
Prior to joining ACA, he attended Villanova University, where he earned his joint JD/MBA degree.

 
Thursday, March 7
11:15 AM - 12:00 PM

 

Developing a Second Story Advisor Model

Dwindling branch traffic and an increasingly competitive recruiting environment have led many financial institutions to experiment with graduating their most successful advisers to "second-story" status. Typically, second story advisors work outside of the traditional branch environment and don’t rely branch referrals. They give up their lower-tier clients, allowing them to focus on their existing books and deepen relationships with their most engaged clients. There are many benefits to offering second story advisor programs, including providing financial institutions with a way to retain top advisors. Join this session for an examination of best practices for developing second story advisor programs. 

 

Moderator: Peter Bielan, Kehrer Bielan Research & Consulting

 

Mr. Bielan has been an active participant in the bank-owned retail investment and insurance industry since 1985. His roles have encompassed advisor, sales manager, and president of the retail broker/dealer for two of the 15 largest U.S. banks.

 

As part of Kehrer Bielan Research & Consulting, Mr. Bielan's focuses on growing investment, wealth management, and insurance business within banks. This includes everything from complete program reviews, to executing specific projects, to moderating industry conferences.

 

Throughout his career he has strategically focused on profitably growing sales, developing the infrastructure needed for expansion, and leveraging the partnership between the investment area and the other departments within the bank. In recent years, he has personally championed the transformation to fee-based business, established non-branch based advisors, incorporated insurance offerings, expanded licensed banker platform programs, and developed advisor recruiting programs. He has also performed leadership roles in for retail banks, providing a first hand understanding of the significance of deposits and loans.

 

Mr. Bielan has served multiple terms on the Bank Insurance Securities Association (BISA) Board Member and has been a presenter at multiple industry events and  BISA conferences. He works from the firm's Atlanta, GA office.

 

Panelists:

Claire McCarthy, Senior Vice President, LPL Financial Institution Services

John Olerio, Senior Vice President, Director, Webster Investments

Peter Bielan, Managing Principal, Kehrer Bielan Research & Consulting

 

 

The More Things Change, The More They Stay the Same: Why Your Process Matters.

Moderated by Cetera President, LeAnn Rummel, this panel will discuss how forward-thinking firms are preparing for the next chapter of the Best Interest story. Topics will include:

  • The client profile, the quarterback, and the team approach.
  • Holistic financial planning and product selection, what’s the connection?
  • Systematizing your process to generate more. 

Moderator: LeAnn Rummel, President, Cetera Financial Institutions

LeAnn Rummel joined Cetera® Financial Institutions (formerly PrimeVest) in 1992 and currently serves as president, focusing on all aspects of the business.  She also acts as president of Cetera’s insurance agencies.

 

LeAnn’s tenure in the financial services industry spans more than 30 years.  Prior to her current role, she served as national sales director and vice president of product sales and marketing.

 

She is a Bank Insurance Securities Association (BISA) board member and was inducted into BISA’s Circle of Excellence in 2014.

 

LeAnn received a bachelor’s degree in business administration with a marketing and economics emphasis from Iowa State University.

 

Panelists:

Paul Haines, SVP, Director of BOK Financial Advisors

John Hyde, President and CEO of CapitalRock

jhyde@capitalrock.com 

 

Leigh Van Heule CFP®, AWMA®, CRPC®, CRC®, Director of Financial Planning Consulting & Research at Kehrer Bielan

leigh.vanheule@kehrerbielan.com

 

 

The Value of an Investment Program to the Institution

The future of banking is not just banking. If stickiness is important, a checking account isn’t going to cut it. Our institutions are in a race to gather assets. Those institutions that gather the most assets win. It’s impossible to effectively gather assets without an investment and insurance program. This session will discuss the value an investment program brings to the institution and how to communicate that value to executive management of the institution to achieve maximum buy-in.

 

Moderator: Scott Stathis - Managing Partner, Stathis Partners

Scott G. Stathis has worked in the financial services industry since 1992. Scott led Kehrer-LIMRA starting in 2008 and subsequently partnered with BISA in 2012 to form Bank Insurance & Securities Research Associates, a performance research and consulting organization focused on financial institutions which was a collaboration between BISA and LIMRA International. Scott ran BISRA until 2015 when he founded Stathis Partners, LLC., an industry research and consulting practice that also hosts the “Industry Leadership Forum” series of executive roundtables.

 

Panelists:

 Jim Fujinaga, President & CEO, Hancock Whitney Investment Services

 David Zimmerman, President, First Citizens Investor Services

Philip Hurst, Director of Wealth Management, Cathay BankBritt Woods, National Sales Manager, Cetera Financial Institutions

 

 

The New Digital Wealth Frontier: How Digital Tools Are Enhancing the Client Experience and Role of the Advisor

According to CACI, by 2022, consumer visits to bank branches are set to drop to only four times a year. As mobile devices increasingly become a consumer's primary mode of interaction, banks are turning to digital tools to enable their consumers to bank wherever they want, whenever they want, and wealth management services are no exception. Trizic shares how wealth technology can enable banks to engage sooner with the emerging mass affluent, lower the cost of entry for a new wealth or trust account and enhance the consumer experience across a single pane of glass.  

 

Speaker: Drew Sievers, CEO

Drew drives Trizic’s vision to help the wealth industry prepare for and implement digital wealth solutions. Prior to Trizic, Drew was Co-Founder & CEO at mFoundry where he helped revolutionize customer access in the banking industry via mobile banking and payment technologies. As CEO, Drew led the company to an industry leadership position with more than 1,000 bank and credit union clients, before selling the company to FIS Global. Drew also serves as General Partner at early stage fintech investor, Operative Capital.

 

 

Variable Annuities: A Renaissance (Room 303)

 

Variable annuity sales have picked up and the future looks bright.  The panel will discuss the current generation of products, the impact of fiduciary standards, and how to avoid regulatory pitfalls in the current and future environment.

Louis Dempsey, President, Renaissance Regulatory Services, Inc.

 

 Louis Dempsey, is the founder and President of RRS. Mr. Dempsey has over thirty years of public/private sector regulatory, compliance and operations experience, which includes a unique combination of experience in advising and auditing broker-dealers, investment advisors and bank holding companies relative to federal, state, and self-regulatory rules and regulations.

 

Jeffrey Holik, Of Counsel, Matasar Jacobs

 

Jeffrey Holik, Of Counsel, Matasar Jacobs, is a seasoned and accomplished securities professional with 25 years of experience as the chief counsel of a bank-affiliated investment business, as a senior financial services regulator, and in private law practice.

Jeff served as chief legal officer for PNC Bank's retail broker-dealer and investment adviser from 2006-2015. He was responsible for all legal matters and he teamed with the firm’s compliance and risk officers to manage overall risk to the business.
Jeff also has extensive experience as a regulator. For almost 10 years, Jeff held senior leadership positions at NASD in the Office of the President, the Department of Member Regulation and the Office of the General Counsel.

 

 

Thursday, March 7
1:30-2:15 PM

 

Talent Crisis & Diversity as a Solution

Our industry is facing a looming talent crisis. 8,600 advisors will potentially be leaving the profession each year for the next 13 years, reducing the workforce by 1.7% annually. And new talent entering the industry is on the decline. Making the situation more critical are the changing investor demographics and a demand for advisors to re-establish their value. So what are some different ways that advisory firms can cultivate a talent pool in the current environment to help grow their business? 

In this session, we will share insights from two of Fidelity’s flag ship studies that explore diversity as a potential avenue to expand the talent pool and to bring a more diverse set of skill sets into the profession. The research also provides empirical evidence that focusing on diversity leads to stronger business metrics.

 Moderator: Ms. Sarita Bhagwat, Vice President of Customer Knowledge and Insights, Fidelity Investments

Sarita Bhagwat is Vice President of Customer Knowledge and Insights at Fidelity Investments. Fidelity Investments is a diversified financial services firm that makes financial expertise broadly accessible to people investing their life savings, businesses managing their employee benefits and advisors investing their clients’ money. Since 1946, Fidelity has been helping people live the lives they want through its customer-centered approach, innovative technology and investment solutions.

 

In her role, Sarita oversees Primary Research that feeds Fidelity’s innovation efforts as well as well as Thought Leadership Content. Sarita has been at Fidelity since June 2013. Prior to joining Fidelity, Ms. Bhagwat was the head of the financial services sector at Affinnova, an optimization-technology based research company. At Affinnova she established the finance vertical for the company to help support innovation efforts for clients across banking, payment, investment and insurance sectors. Prior to joining Affinnova Ms. Bhagwat led the financial services sector for TNS, India. Previous to that Ms. Bhagwat spent 10 years at Abt Associates, a research-based consulting company in Cambridge, MA.

 

Ms. Bhagwat received a Bachelor of Science in physics from Fergusson College India and an MBA in Marketing from University of Pune. Ms. Bhagwat also holds a Master’s degree in Consumer Behavior from University of Florida, and is a member of the BISA Diversity Committee, a group comprised of industry leaders who are actively cultivating conversations around diversity in the wealth management industry.

 

 

Where Will the Next Generation of Advisors Come From

Financial institutions continue to churn advisors, losing 12-20% every year and replacing them, only to lose a similar number the following year.  The advisor population is aging, traditional sources of advisor training have dried up, and the younger generations aren’t attracted to the profession.  This session reports on research on where 60 financial institutions are finding new advisors, and showcases examples of success in recruiting millennials, second career advisors, and growing your own.

 

Moderator: Britt Woods, SVP National Head of Relationship Management, Cetera Financial Institutions

Britt.Woods@ceterafi.com

As national head of relationship management Cetera® Financial Institutions, Britt Woods oversees advisor recruiting, relationship management, and business consulting activities to help partner financial institutions advance the advice-centric experience.

 

Britt’s tenure in the financial services industry spans over 15 years.  He started his career in banking and investments for National City Bank, where he was named top financial advisor for seven consecutive years, personally producing over $10 million in revenue. He then became a Regional Manager for Fifth Third Bank and was ranked the #1 program manager in the country by Bank Investment Consultant in 2013.

Panelists:

Tim Kehrer, Research Director, Kehrer Bielan Research & Consulting
tim.kehrer@kehrerbielan.com

Brett Fisher, Director Investment Services, First Merchants Private Wealth Advisors
BFisher@firstmerchants.com

Dan McCormack, SVP, Division Manager, U.S. Bancorp Investments
dan.mccormack@usbank.com

 

 

Trends and best practices for growing your advisory business

Ask yourself: Are your clients reaching out just for investment help or are they increasingly looking for long-term planning? For more and more advisors, adopting a fee-based model may better align with the holistic approach and added value their clients are increasingly asking for – help in reaching their long-term goals. Panelists will share their insights, experiences, tools, successes and challenges as their firms wove advisory business more deeply into their offering.

 

Moderator: Dan O’Brien, Senior Sales Vice President, Fidelity Clearing & Custody Solutions

Panelists:

Will O’Rielly, Senior Vice President, Private Wealth Management Investment Consulting Group, SunTrust Investment Services, Inc.

Michael Miroballi, President, Huntington Investment Company

Michelle Garrett, Senior Vice President, Director of Enterprise Strategic Networks, Envestnet, Inc.

 

Client Experience: Measuring What Matters

Adopting a client experience satisfaction metric helps an organization gauge the quality of service they offer their clients. Client satisfaction as well as employee engagement have a positive impact on shareholders and is essential to a company’s success. Is there a silver bullet? This presenter will outline the areas that have helped drive this score. Our primary objective is to ensure that our clients get a great client experience every time they engage with us.

 

Speaker: Vince Sperduto, PhD, MBA, Vice President, Strategic Initiatives & Premier Program Management, BMO Harris Financial Advisors, Inc

vincent.sperduto@bmo.com

Vince Sperduto has 34 years of industry experience. He joined BMO in 2008 as a Regional Manager and currently works on strategic initiatives within the line of business. Prior to joining BMO, he was a Senior VP Regional Retail Director for Associated Bank. He began his career with 16 years at St. Paul Federal Bank (now US Bank), where he served as the Illinois Division Manager for the broker-dealer. He also served as President/COO of Financial Assurance (Bank Financial). Vince holds a Ph.D. in Organization Development, a MBA in Finance, a Masters in Counseling Psychology, and a B.S. degree in Psychology.

 

 

The New CCD Rule and Examination Expectations (Room 303)

 

What obstacles await financial institutions amidst the new CDD rule that took in effect late last year?

Banks will have a larger set of data on the beneficial owners of legal entities to screen as regulators begin to enforce the Treasury Department’s customer due-diligence rule in earnest. How should bankers better prepare for 2019 examination.

Viet (Jason) Tran, Director, ACA Telavance
vtran@acatelavance.com


Louis Dempsey, President, Renaissance Regulatory Services, Inc.

 

 Louis Dempsey, is the founder and President of RRS. Mr. Dempsey has over thirty years of public/private sector regulatory, compliance and operations experience, which includes a unique combination of experience in advising and auditing broker-dealers, investment advisors and bank holding companies relative to federal, state, and self-regulatory rules and regulations.

 

David W. Porteous, Partner, Faegre Baker Daniels

 

David Porteous routinely counsels clients in the investment management, broker-dealer and financial services industries on regulatory matters including examinations, investigations and enforcement proceedings as well as complex civil and securities-related litigation. In addition, he assists clients in developing and implementing compliance and regulatory risk management plans and represents clients in complex civil and securities litigation.

 

David Sewell, Counsel, Debevoise & Plimpton

 

David Sewell is counsel and a member of the Financial Institutions and Banking Groups at Debevoise & Plimpton LLP. His practice focuses on financial regulatory and enforcement matters with special emphasis on anti-money laundering, sanctions and financial crime compliance issues. Prior to joining Debevoise, he was Counsel and Assistant Vice President at the Federal Reserve Bank of New York where he advised on a wide variety of bank regulatory issues, supervisory matters and enforcement actions.  In the context of his enforcement activities, Mr. Sewell was involved in many of the enforcement actions the Federal Reserve brought against bank holding companies and foreign banking organizations with respect to BSA/AML and U.S. sanctions violations. He also worked in a senior role within the regulatory relations organization of J.P.Morgan Chase and, earlier in his career, as a litigation associate at Patterson Belknap Webb & Tyler LLP. 

Mr. Sewell earned his J.D., magna cum laude, from the Georgetown University Law Center, where he was an editor of the Georgetown Law Journal. He received an M.A. from Columbia University and a B.A., Phi Beta Kappa, from Wesleyan University. 

 

 

Thursday, March 7
2:30-3:15 PM

Segmenting Delivery of Financial Advice: Leveraging Mystery Shopping and Consumer Research

 

Moderator: Frank Consalo, Citi Personal Wealth

Frank Consalo has worked since 1984 in the financial services industry. Previous roles include 11 years as a successful and top performing Financial Advisor, producing Manager in Southern California for Citigroup, and Sales Director for the Southern California market. He moved to the East for Wachovia Securities in 2000, achieving Regional President of the year in 2007. He served as President of the brokerage company within Fulton Financial Corporation, and then led the Northeast brokerage business within PNC Corporation. He now has the privilege of returning to Citibank as the head of investment sales for Citi Personal Wealth Management.

frank.a.consalo@citi.com

Panelists:

Jim Fujinaga, Hancock Whitney Investment Services

Tim Kehrer, Kehrer Bielan Research & Consulting
tim.kehrer@kehrerbielan.com

Jim Rensel, Sales Quality Research Group, Inc.
jim@salesqualitygroup.com

 

Digitally Transforming the Customer Journey
The only thing changing faster than technology are the expectations of the customer. Fast growing competition from tech savvy challengers are driving fundamental change, leading the financial services industry to the brink of the largest digital evolution ever. This panel of Subject Matter Experts will share information on how they developed a platform for integrating applications, data services, mobile applications, social networks, and business partners to accomplish their Digital Transformation and Growth Strategy. They will provide insights into the Customer facing Technology and Innovative “edge” tools for fostering Client Engagement, Relationship Management, and Improving Operational Efficiency.

Moderators:

Keena B. Pettijohn, Strategic Partner-Innovations Advisor

Accomplished Wealth Management Executive with over 25 years in Financial Services, Private Banking, Financial Planning and Trust Solutions in the Bank, Credit Union, and RIA distribution Channels. Solid Wealth Leader and Innovations Pioneer with experience in FinTech Solutions, Partner Integrations, CRM, Social Media Marketing, Financial Planning Software and Saas. A thought leader that has leveraged technology for Advisor Branding as well as evaluating tech offerings to provideI investment, Insurance and Banking solutions. Coordinated Enterprise strategic initiatives that incorporated the automation of Social Media Marketing, Financial Planning, and CRM software.  Uniquely positioned on the Corner of Partnership and Integration, my focus is identifying Next Gen tools to provide Technology solutions for driving a better Customer and User Experience. A self-proclaimed “Born Again Millennial” is currently introducing a network and of Innovative technology thought-leaders to become known as “!ntandem”.

A graduate with Honors from The Ohio State University (OSU) with concentration in Marketing and Finance, Keena is currently a full-time resident of Southeast Florida, having been based in Manhattan and the Northeast market for most of her professional life.

An active supporter and Advocate for Women’s Development programs to attract female Planners and Advisors into the industry firmly believing in “Need More Pink Boots on the Ground”.

 

Maree Moscati, CEO, CopyTalk

Maree is the CEO of Copytalk, the leading transcription service engineered to meet the financial-service industry’s rigorous standards of accuracy, privacy, and efficiency in the recording of dictated client-meeting notes and the preparation & delivery of transcriptions.

Holder of FINRA Series 24, 7 & 63 licenses, she formerly served as a CEO in Wealth Management and is the 2018 recipient of the prestigious Lifetime Achievement Award from the Bank Insurance and Securities Association.

Maree also carries Third-Party Risk Professional Certification from Shared Assessments – a unique distinction in the transcription business that is rare for CEO’s and even rarer for female CEO’s.

Panelists:

Mark Butler, Chief Operating Officer, BNY Mellon-Albridge
mbutler@albridge.com

 Cheryl Nash, President Investment Services Fiserv
Cheryl.nash@fiserv.com

 Michael Kerins CFA, FRM, CEO & Founder of RobustWealth
mike@robustwealth.com

Todd Purcell SVP, Digital Banking, Marketing & Experience at Webster Bank
tpurcell@websterbank.com

 

Tax-efficient Planning Opportunities
Most investors saving for retirement do so by saving through 401ks, 403bs and other tax-deferred accounts – though a lucky few still have pensions. With all this tax-deferred income, clients may find themselves with a hefty tax bill or in a higher tax bracket when they withdraw income, especially at age 70 ½.  We’ll talk about planning opportunities to reduce the impact of taxes on your client’s retirement income, like Net Unrealized Appreciation, HSAs, Roth Conversion and Qualified Charitable Deductions and sequencing case studies that demonstrate how the order of withdrawals can impact the longevity of a retirement income plan.

Speaker: Carlo Cordasco, Vice President, Nationwide Retirement Institute

As a Vice President for the Nationwide Retirement Institute, Carlo has more than 25 years of experience implementing comprehensive retirement income solutions. He is dedicated to educating advisors, agents, clients, plan sponsors and plan participants on the latest in retirement income planning strategies. In addition to his MSM, RICP, CRPS and CLTC designations, Carlo earned a Masters in Management and Leadership and is FINRA Series 6, 63 and 26 licensed. Carlo’s specializations in retirement incoming planning strategies include heath care costs, long-term care costs and determining optimal Social Security filing strategies.

 

Personal Alpha: Immediate Strategies for Differentiating Your Practice
There is a growing attack on the value of Financial Advisors given the explosive use of Robo Advisor services and the continuous war on fees. In this session, Incapital will discuss:

  • Significant threats affecting Advisors’ businesses today
  • How Advisors distinguish themselves and build a business that gives investors what they want
  • How successful high-net-worth practices have applied their value successfully

We’ll share proven strategies and post-session tools that Advisors can use to convey their value, or Personal Alpha, to investors in order to uphold their fee model and grow assets in an increasingly competitive environment

 

Speaker: Chris Mee, Managing Director, Head of Wealth Management Solutions Distribution

A 30-year veteran of the financial services industry, Chris Mee is responsible for Incapital’s Wealth Management Solutions wholesale distribution force. Prior to joining Incapital in 2015, Mr. Mee led RCS Capital Corporation’s liquid alternative distribution as Executive Vice President and National Sales Director. Previously, he was with John Hancock/Wood Logan, leading multiple distribution teams across a variety of product lines, including mutual funds, retirement plan services and variable annuities. Mr. Mee is licensed for life, health and variable annuity products and holds Series 7, 24 and 63 registrations.

 

 

The SEC's Best Interest Standard: How We Got Here? And Where We're Going? (Room 303)

 

Ben Marzouk, Counsel, Eversheds Sutherland

 

Ben Marzouk is a financial services attorney who advises broker-dealers and investment advisers on compliance with federal and state securities laws, including Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules and regulations. Ben represents registered investment companies and investment funds in regulatory matters and helps clients navigate the complex rules governing capital-raising activities, as well as public and private securities offerings.

 

 

Thursday, March 7
3:30-4:30 PM

An Afternoon with Liz Claman
Emmy Award-winning journalist Liz Claman got her start in business news by taking a leap of faith to co-anchor one of the pioneering business shows at CNBC. Now at Fox Business Network where she anchors Countdown to the Closing Bell, Claman has consistently led the network to the highest ratings in business programs. 

Speaker: Liz Claman, Fox Business Network

 

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