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2020 Annual Convention Keynotes & Concurrent Sessions





Keynotes & Concurrent Sessions


Wednesday, March 4

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; Kat Beddow, Vice President, Flagstar; Rob Blenis, Compliance Officer, Raymond James;  Kendra Cain, Vice President, Compliance Officer Iberia Financial Services, LLC; Kenneth Cherrier, Sr. RCA Manager - AML, US Bank; Connie Capco, Vice President, Northern Trust Securities; Frank Drago, National Business Director, Santander Investments; 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

Joelle Guymon, 6stride

Scott Stathis, Managing Partner, Stathis Partners; 

Frank Consalo, Director of Sales, Citi Personal Wealth 



4:00-5:30 PM

Keynote Session
Sponsored by  

Great Hall 5-6

Jesse Itzler
Entrepreneur and Author

Jesse Itzler only eats fruit 'til noon, loves Run-D.M.C., and enjoys living life "out of the box." In fact, he doesn't even have a box. The author of the New York Times bestseller, Living with a Seal, co-founded Marquis Jet, the world's largest private jet card company which he and his partner sold to Berkshire Hathaway/NetJets. Jesse then partnered with Zico coconut water, which he and his partner sold to The Coca-Cola Company.

He's a former rapper on MTV and wrote and performed the NBA's Emmy Award-winning "I Love This
Game" music campaign and the popular New York Knicks anthem "Go NY Go." When he's not running
ultra-marathons, eating vegan food or being a dad to his four kids, Jesse can be found at the NBA's Atlanta Hawks games, where he's an owner of the team. He is married to Spanx founder Sara Blakely.



Thursday, March 5

8:30-10:00 AM

Keynote Session
Sponsored by 

Great Hall 5-6

Key Trends in Wealth Management
Sanjiv Mirchandani
President, Fidelity Clearing & Custody Solutions, Fidelity Investments

Sanjiv Mirchandani will guide attendees through the “Future Map” – the macro environment around us all – where socioeconomic, customer, business and technology trends will impact every business. During this keynote you’ll hear how those trends are impacting our industry directly now, and how they will even more so in the future. You will also learn about things to consider when mapping a future-ready firm, such as segmentation, mergers and acquisitions, and the client journey.





10:15-11:00 AM

Concurrent Sessions

Maximizing ROI and ROA with Financial Planning

Atlantic 1

Track: Business Transformation
Moderator: Tim Killgoar, SVP, Head of Financial Institutions Division, Raymond James
Panelists: Leigh Van Heule CFP®, AWMA®, CRPC®, CRC®, Director of Financial Planning Consulting, Kehrer Bielan; Mike Miroballi, CFA®, President, The Huntington Investment Company; and Kelly Corah, SVP, Addison avenue Investment Services, Branch Manager, Raymond James, First Tech Federal Credit Union/Addison Avenue Investment Services

Financial planning has been an industry topic for many years, however, previous research and success stories didn’t quantify this question, “Is financial planning really worth it?”  In this session we will reveal a recent industry study on the ROI of financial planning and how peer institutions have adopted a planning approach to drive results and deepen client engagement.


The Bank Advisor of the Future

Atlantic 2

Track: Program Growth in Sales, AUM, and Revenue
Moderator: Gavin Spitzner, President, Wealth Consulting Partners, LLC
Panelists: Kendall Austin, Director of Digital Implementation Services, Jemstep / INVESCO; Jim King, President & CEO, ARVEST Wealth Management; Kari Kroll, CFP, Financial Advisor, M&T Secrutities, Inc.

The key to driving change in investment programs within bank broker-dealers and credit unions lies largely with having the right financial advisors with the skills needed to drive future success.


Navigating Increased Regulatory Scrutiny on Your Institution's Wealth Management Business

Atlantic 3

Track: Regulatory and Compliance
Moderator: Arthur Osman, Executive Vice President, LPL Financial
Panelists: Cece Mavico, Senior Vice President, Head of Regulatory Strategy & Special Investigations, LPL Financial

FINRA, state securities regulators, and banking regulators have increased their focus on bank broker/dealers and banks and credit unions partnering with third-party broker/dealers. Member firms and financial institutions should be prepared and equipped to address this increased focus. Is your firm  prepared to respond to this level of oversight? Are you prepared to address questions about branding and the potential for customer confusion?   Join this session to learn about what most concerns regulators, how to successfully navigate regulatory inquiries and investigations, and disclosure and branding best practices to mitigate client confusion.


It is All About Advisors

Regency 3

Track: Sales Management, Recruitment, and Retention
Peter Bielan, Principal, Kehrer Bielan

Join Peter Bielan as he shares the most relevant topics from his proprietary research on compensation, including studies on Advisor Compensation, Advisor Recruiting and Advisor Retirement Plans.


Regulation Best Interest – Focus on Implementation

Regency 2

Track: Regulatory and Compliance
Panelists: Thomas Grygiel, Principal Consultant, ACA Compliance Group; Ben Marzouk, Counsel, Eversheds Sutherland


As the June 30, 2020 compliance date nears, retail broker-dealers and investment advisers will be focused on implementing the systems, policies, procedures, and disclosures needed to comply with the SEC’s new Regulation Best Interest. This panel addresses practical considerations and thorny interpretive questions that firms are grappling with in preparing for the Reg BI, including each one of the four component obligations to demonstrate compliance with Reg BI.



11:15 AM-12:00 PM

Concurrent Sessions

Transformational Opportunities in Integrating Wealth Management

Atlantic 1

Track: Business Transformation
Moderator: LeAnn Rummel, President & CEO, Cetera Financial Institutions
Panelists: Michael Joyce, President, First Merchants Private Wealth Advisors; Kenneth Kehrer, Principal, Kehrer Bielan Research & Consulting; and Michael Wilson, Managing Director, Wealth Management First Citizens Wealth Management

Banks have tried to meet the wealth management needs of their customers piecemeal – through Personal Trust, retail securities brokerage, hybrid RIAs, Private Client services, High Net Worth lending, and personal asset management. The end result sometimes is low penetration of the enterprise’ opportunity, unsatisfactory growth, and a fragmented client experience.  This panel takes an enterprise-wide view of the delivery of wealth management services, drawing on a survey of 104 financial institutions to describe the current delivery models and how they impact overall capture of the investable assets of the institution’s customer base, and revenue growth.  Panelists will assess the approaches that some banks are taking  to meld product offerings, combine sales forces, create an enterprise-wide wealth management client information system, rationalize middle and back offices to improve operational efficiency, and enhance the wealth advisor and client experience.


The Five Gears of Program Optimization

Atlantic 2

Track: Program Growth in Sales, AUM, and Revenue
Moderator: Claire McCarthy, CFP, Senior Vice President, Insitution Services, LPL Financial
Panelists: Peter Bielan, Principal, Kehrer Bielan Research & Consulting

Program optimization is a journey as opposed to an ideal state or destination. It is about the “how” you achieve your fullest potential as a wealth management business. While there is no one blueprint for how you optimize your business, we’ve developed a framework called the Five Gears of Program Optimization that we believe is the key to an institution’s wealth business reaching its fullest potential.   Using the Five Gears of Program Optimization is not only important for long-term sustained results, it is a way to gain increased investment from the institution by outlining a clearly articulated vision and strategy for the wealth management business.


Canceled: Evolving Regulation: Implications and How Firms Are Responding

Atlantic 3

Track: Regulatory and Compliance
Moderator: Robert Cirrotti, Managing Director, BNY Mellon | Pershing
Panelists: Cynthia Foresta, Chief Compliance Officer, Key Investment Services; Bruce Andrew Hagemann, AIF®, CRC®, Executive Director, Head of Investment Services, CEO, BBVA Securities Inc.

The rate of change the financial industry is experiencing from legislative proposals and enforcement is eye-opening. Faced with the potential need for end-to-end change in how their businesses operate, learn how firms are seeking greater clarity on how to efficiently implement, operationalize and keep pace with the rapidly evolving regulatory landscape.

What's Holding Consumers Back? Behavioral Biases and Annuity Myths Busted!

Regency 3

Track: Sales Management, Recruitment, and Retention
Moderator: Vance Richard, Senior Vice President and Program Manager, Iberia Financial Services, and Executive Officer, BISA Board of Directors
Panelists: Tom Hamilton, VP and National Sales Manager, Eagle Life Insurance Company; Hal Hershfield, PhD, Associate Professor, UCLA Anderson School of Management; Tim Kehrer, Director of Research, Kehrer Bielan Research & Consulting; and Rod Mims, Senior Vice President, National Sales Manager, Athene USA

Get a first-hand look into a set of exclusive annuities analysis from Athene and Eagle Life. They’ll reveal the sources preventing many consumers from making appropriate financial decisions and creating an effective plan for their financial futures. You’ll also discover why people really buy an annuity and the eye-opening outlooks they have around them. Discover what it can mean for growth within your business.
Bust through annuity roadblocks and help increase FIA sales by knowing:
  • Four sources of uncertainty that may affect annuity purchase decisions
  • How to identify behavioral biases consumers may unknowingly bring to the table
  • Valuable insights and solutions that can help you get clients and prospects back into the annuity conversation
  • The real reason why people purchase fixed indexed annuities
  • The facts on how annuities are effective relationship builders
  • The high level of loyalty of annuity buyers and what they are looking for most


CRS: Development, Reconciliation, Delivery, Training, Testing and BI Integration

Regency 2

Track: Regulatory and Compliance

Panelists: Amanda Hender Demas, General Counsel, BMO Harris Financial Advisors; Louis Dempsey, President, Renaissance Regulatory Services, Inc; David Porteous, Partner, Faegre Drinker

This panel will address practical methods for preparing for compliance with the Form CRS filing and delivery requirements. The panelists will cover:

  • Developing the Form CRS and reconciling required disclosures with the Firm’s contracts, marketing materials, and other public facing content.
  • Meeting Form CRS delivery requirements and methods for supervision and documentation.
  • Training your public facing and supervisory personnel, including marketing and HR departments.
  • Practices and timeframes for implementing compliance testing.
  • Integration with BI Program



1:30-2:30 PM

Keynote Session

Sponsored by 

Great Hall 5-6

Eyes to See
Jim Bowen
Chief Executive Officer, First Trust Portfolios

Jim Bowen will discuss how free markets are changing the world right in front of our eyes. From advancements in energy production and health care, to the under-reported everyday miracles that made the last decade one of the most spectacular in human history.  We as a nation are doing more today than ever before, and we are doing it more efficiently than even most optimists could have thought.  Fear may sell when it comes to the media, but in the end, math wins.




2:45-3:30 PM

Concurrent Sessions

Leveraging Data, Trust, and Technology to Attract and Retain Today's Customer: How to Make Customer Experiences Personal, Connected, and Differentiated

Atlantic 1

Track: Business Transformation
Vijay Raghavan, Senior Analyst, Forrester

Wealth management firms commonly segment their clients by investable assets. But this is not enough to help firms decide on new products and services or optimize customer engagement models. Self-directedness is a crucial dimension that reliably predicts many customer attitudes and behaviors. As fintech startups flood the market with new, digital-first offerings, firms need to understand how best to serve the four primary customer segments.
In response to the evolving needs of today’s customer, digital technologies such as real-time interaction management, application programming interfaces, and video are already changing how clients interact with their wealth and investment management firms delivering client experiences that are personal, connected, and differentiated.
In this session, you will hear from Forrester senior analyst Vijay Raghavan on how successful firms are leveraging trust, data and technology to:
  • Attract and retain the four customer segments using the right digital capabilities
  • Deepen customer engagement as their needs continue to evolve
  • Reduce potential churn risk among your customers


The Value of Investment Services to a Financial Institution

Atlantic 2

Track: Program Growth in Sales, AUM, and Revenue
Moderator: Mike Miroballi, President, Chairman of BISA Research Committee, Huntington Investment Company
Panelists: Paul Hansen, President, Key Investment Services; Kenneth Kehrer, Principal, Kehrer Bielan Research & Consulting; Richard Koll, Senior Vice President, Wealth Management and Insurance, Investors Bank; Nitin Mhatre, Chairman, Consumer Bankers Association

Financial institutions have underinvested in their investment services business because it produces only a small direct contribution to enterprise income and falls short of growth expectations.  But that underinvestment constrains growth in contribution.  This panel presents the key findings from the BISA study of the impact of offering investment services on the bank or credit union.  The findings detail how the breadth and depth of investment penetration increases customer loyalty and satisfaction, customer retention, bank deposits, loan balances, and the share of client investable assets held at the bank, particularly among mass affluent customers.  Panelists describe how they are using the study to engage with institution management to increase investment in investment services as a key growth engine for the institution.


Balancing the Needs: Digital Wealth Solutions that Satisfy Both Client and Compliance & Risk Requirements

Atlantic 3

Track: Regulatory and Compliance
Moderator: Cliff Schoeman, Head of Investment Solutions, Jemstep
Panelists: Gavin Spitzner, President, Wealth Consulting Partners, LLC

Banks tend to start with regulation and compliance and then tackle the client experience. This can sacrifice a seamless client experience, resulting in low conversion rates.   Technology must be flexible to address a range of requirements including: 
  • Regulation (Reg BI, FINRA and SEC) 
  • Clients expectations (compelling digital experience)
  • Bank internal risk & compliance  
You will learn how a rules-based technology system can be configured to reduce a firm’s compliance risk and operational burden while creating an optimal cross-functional collaboration between technology leaders and compliance and risk teams while advocating for and protecting the client experience to ultimately drive AUM.  By the end of the session, you will understand areas of platform flexibility required to configure digital advice that incorporates a bank’s compliance and risk management requirements, based on their interpretation of and processes around regulatory requirements such as Reg BI, KYC and AML.

Are You Prepared and Positioned to Successfully Recruit and Develop the Next Generation of Advisors?

Regency 3

Track: Sales Management, Recruitment, and Retention
Moderator: Gina Riepel, Vice President, Senior Strategic Account Manager, CUNA Mutual Group
Panelists: Frank Consalo, National Sales Director, Citibank; John Olerio, Senior Vice President, Webster Bank; and Matt Ransom, Director of Advisory Mastery Program, Raymond James
Many institutions are focused on how to successfully attract and develop the next generation of advisors for their investment program.  This includes identifying and attracting talent into the industry along with training and mentoring for long-term success.  As this continues to be an industry challenge, in this session, you will hear from your peers and industry experts on their successes and failures.


Annuity Recommendations Under Evolving Standards of Conduct

Regency 2

Track: Regulatory and Compliance
Speaker: Jason Berkowitz, Chief Legal & Regulatory Affairs Officer, Insured Retirement Institute (IRI)


This session will provide an overview of adopted and proposed enhancements to the rules governing the conduct of financial professionals when recommending annuities to clients. The presentation will cover the impact on annuity recommendations of the following:

  • SEC Regulation Best Interest and Form CRS
  • New York Department of Financial Services (NYDFS) Regulation 187
  • National Association of Insurance Commissioners (NAIC) Suitability in Annuity Transactions Model Regulation
  • Fiduciary Rules and Proposals from State Securities Regulators



4:30-5:30 PM

Keynote Session

Sponsored by 

Great Hall 5-6

Marketing Magnetism! Strategies for Acquiring Additional Revenue by Standing Out from the Competition
Maribeth Kuzmeski, PhD
Marketing Strategist, Author & Speaker, RedZone Marketing

What’s working right now to attract new business, expose your community brand, get people talking, and differentiate your institution? In this world where no one is paying attention, hear an inspiring presentation of the marketing, branding and messaging strategies that are producing results for some of the nation’s top banks and financial institutions. From new media to traditional methods and differentiating upgrades, these strategies are mostly inexpensive, can be implemented immediately, and are generating revenue increases now!


Friday, March 6

9:00-10:00 AM

Keynote Session

Atlantic 1-2

The Washington Update
Jeff Bush
Speaker and Author

The 2020 election is poised to mark an inflection point in our country's future. The parties offer starkly different views on issues that will define American policy for years to come. The economy is paramount, but many of the country’s most contentious issues will be on the table, including trade, healthcare, taxation, fiscal policy, foreign relations, infrastructure, immigration, individual rights, and others.

Although the election run-up will overhang the upcoming year’s events, Washington still must address the country’s business. Congress will seek to fund the federal agencies; continue oversight of companies in the technology, financial services, and other sectors; and pass legislation expanding the ability of workers to save for retirement. At the same time, the president will continue to pursue a trade policy of imposing tariffs and negotiating favorable trade agreements.

Jeff Bush will share his insights on the upcoming election, from the Democratic primaries and nomination through the election of the president, House, and Senate in November. This discussion will provide a unique analysis of the factors likely to influence the result and the related market effects. In addition to these insights, his presentation will provide strategies that investors and financial advisors can consider to take advantage of (or protect against) market effects and volatility arising from Washington initiatives and the road to the election, as well as specific strategies for investment, wealth transfer, and retirement planning.


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