Welcome to the 2023 Private Client Conference! We're glad you're here.
Use this Event Guide to get the most out of your experience with us.
Breakfast sponsored by:Â Â Fidelity InvestmentsÂ
Location: Caribbean Foyer
The rise of stakeholder capitalism brings with it even more opportunity for all. We see the impact capital markets can have on people’s lives – one life at a time, one family at a time, one community at a time. Find out how our industry is helping more people and more communities thrive and prosper.
Penny Pennington, Managing Partner, Edward Jones Investments
How do investors feel about the current economic and markets environment? What role does technology play in investment activities across demographics? Did you know that, despite the economic downturn last year, clients’ satisfaction with their primary financial and advisors remained high at an 82% approval rate? This discussion with industry experts delves into the latest data and trends disrupting the wealth management industry, including the relationship between financial providers and retail investors.
Katie Kolchin, CFA, Managing Director, Head of Research, SIFMA
Kenneth E. Bentsen, Jr., President and CEO, SIFMA
Bharat Sawhney, Partner, Banking, Sia Partners
Scott Smith, Director, Advice Relationships, Cerulli Associates
Amidst changes in investor behavior, demographics, and innovations in technology, the wealth management industry is changing quicker than ever before. Competitive dynamics and cost pressures increase the urgency for transformation, and a solid foundation increases the scalability of transformation. Learn more about how to own your evolution, the realities wealth firms face, and the resulting benefits to both advisors and investors. The time to transform is now.
Donna Bristow, Chief Product Officer, Wealth Management, Broadridge
Regional and complex directors sit at a unique intersection of clients, financial advisors and senior management. Their ears are to the ground and their insights are invaluable. Join this panel of emerging leaders to learn what strategies translate from theory into practice, including how to develop financial advisors in a hybrid world and more.
Cory Colvin, Executive Market Director, Baird
Kathleen DeLong, Managing Director, West Los Angeles Senior Market Executive, Merrill
Chris Fils, Complex Manager, Raymond James
Karen Heintz, Market Director, Baird
Michele Moskonas, Regional Market Executive, Southeast Region, Charles Schwab
Implementation of Regulation Best Interest. ESG investments and disclosures. The digital asset ecosystem. Equity market structure reforms. The list goes on and the increased regulatory burden is real. In this discussion, explore how the current regulatory environment is evolving, including the outlook for policy and implementation, and what it means for your business.
Saima S. Ahmed, Executive Vice President and General Counsel, SIFMA
Susan Axelrod, Broker-Dealer Compliance Oversite Executive, Bank of America
Hane Kim, Chief of Retail Strategy Task Force, SEC
Greg Ruppert, Executive Vice President, FINRA
David Sparks, Senior Vice President and General Counsel, Private Client Group, Raymond James
All great companies focus on four fundamental areas to achieve success, which can be distilled into the following formula: (Talent + Culture + Extreme Customer Focus) x Discipline Execution = Business Excellence. Nothing else matters if you are not superb at acquiring top talent, creating an engaging culture, fostering strong customer relationships, and executing with discipline. In this session with noted expert John Spence, you’ll gain a solid understanding of the building blocks of organizational success and a specific set of tools that will ensure that you effectively execute them.
John Spence, Managing Partner, John Spence LLC
The future of financial advice is changing and so must our advisors. How can we prepare them? The latest tools and technologies are important but not enough: we must help our advisors adopt an entire mindset. In this session, you’ll learn strategies for training and retaining the financial advisor of the future.
Steven M. Samuels, Managing Director, Head of Advisor Recognition and Field Management, Merrill
Jennifer Johnson, Vice President, Advisor Business Development Programs, Ameriprise
Danielle Papandrea, Managing Director, Merrill Team & Practice Management Consulting Group Executive, Merrill
Matt Ransom, Vice President, New Advisor and Branch Associate Development, Raymond James
Sterling Shea, Managing Director, Head of Practice Strategy, Wealth Management, Morgan Stanley
A pioneer in understanding stress and resilience, Andy Bernstein helps people harness "crucibles" – adverse experiences that make or break us – to produce better leaders, happier families, and a more resilient country. In this eye-opening session drawing on his extensive work with wealth managers, we’ll look at the role that teams play in developing happier, higher-performing people — and why most advisors fail to realize their team’s potential.
Andy Bernstein, Founder, Resilience AcademyÂ
The case for diversity and inclusion is clear. But, to hire diverse candidates we need to first find them. In this discussion, we’ll explore innovative ways to build a diverse talent pipeline and share the breadth of career opportunities in financial services. Learn about initiatives such as the industry-wide SIFMA Invest! platform and Fidelity Scholars, Fidelity’s recent collaboration with the United Negro College Fund (UNCF) and the largest philanthropic corporate gift in the UNCF’s 78-year history.
Pamela Everhart, Senior Vice President, Head of Regional Public Affairs and Community Relations, Fidelity Investments
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Rudy Rodriguez, Vice President, Diversity & Inclusion, Ameriprise Financial and Chair, Diversity & Inclusion Committee, SIFMA
Christine Falvey, Head of Practice Management, Fidelity Personal Investing
Christopher Jay, Senior Vice President, Wealth Management Advisor, Merrill Lynch
Mark Thompson, Senior Vice President, Investment, Managing Director & CFP@ Professional, Raymond James
Matthew Wunder, Wealth Management Advisor, Northwestern Mutual Wealth Management Company
Join us for a robust discussion of the benefits of succession planning, and cautionary tales about the failure to do so. You’ll learn the demographic trends that are driving the current prominence and urgency of this issue. Finally, we’ll highlight the FINRA rules, processes, and guidance that can help you navigate succession planning at your firm – with particular focus on FINRA Notice 22-23.
Philip Shaikun, Vice President and Associate General Counsel, FINRA
Kevin Carroll, Deputy General Counsel, Litigation and Private Client (Legal), SIFMA
Christine Falvey, Head of Practice Management, Fidelity Personal Investing
Christopher Jay, Senior Vice President, Wealth Management Advisor, Merrill Lynch
Mark Thompson, Senior Vice President, Investment, Managing Director & CFP@ Professional, Raymond James
Matthew Wunder, Wealth Management Advisor, Northwestern Mutual Wealth Management Company
Despite evidence to prove the value of planning for the future, there is a widespread lack of it that has vexed retirement planners and researchers for years. We’ll delve into new research that has identified interventions and messaging – outlined in a three-phase framework – that financial institutions and retirement advisors can use to guide effective retirement decisions and help improve retirement outcomes.
Martha Deevy, Associate Director and Senior Research Scholar, Stanford Center on Longevity
Lisa Bleier, Managing Director and Associate General Counsel, Head - Wealth Management, Retirement and State Government Relations, SIFMA
Christine Falvey, Head of Practice Management, Fidelity Personal Investing
Christopher Jay, Senior Vice President, Wealth Management Advisor, Merrill Lynch
Mark Thompson, Senior Vice President, Investment, Managing Director & CFP@ Professional, Raymond James
Matthew Wunder, Wealth Management Advisor, Northwestern Mutual Wealth Management Company
Lisa Bleier, Managing Director and Associate General Counsel, Head - Wealth Management, Retirement and State Government Relations, SIFMA
Create an exceptional investor experience by equipping your wealth managers and your customer portal with news from trusted Dow Jones sources: Newswires, The Wall Street Journal, Barron's, MarketWatch and Investor's Business Daily. With market-moving news, actionable insights and rich data, you will offer a powerful content set that strengthens advisor-client relationships and provides an engaging customer experience online. Turn to Dow Jones Newswires to spark high-value client outreach and connection. Visit djnewswires.com to learn more.
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CONTACT:
Lee Khan | Account Executive, Strategic Accounts | lee.khan@dowjones.com
Dow Jones & Company, Inc.
1211 Avenue of the Americas, New York, NY 10036 | 212.416.3876
Djnewswires.com
The Hearsay Client Engagement Platform empowers over 200,000 financial services representatives to authentically and intelligently grow business relationships by guiding and capturing the last mile of digital communications. Over 100 leading financial firms rely on Hearsay to scale reach, optimize engagements, and deliver exceptional service in a compliant manner.
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CONTACT:
Andrew Small | Strategic Account Executive | asmall@hearsaycorp.com
Hearsay Systems, 600 Harrison St, San Francisco, CA 94107Â | 512-867-5433
Fidelity’s mission is to inspire better futures and deliver better outcomes for the customers and businesses Fidelity serves. With assets under administration of $10.6 trillion, including discretionary assets of $4.0 trillion as of November 30, 2022, Fidelity focuses on meeting the unique needs of a diverse set of customers. Privately held for over 75 years, Fidelity employs more than 60,000 associates who are focused on the long-term success of its customers.
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CONTACT:
John Phillips | EVP, Head of Platform Sales
245 Summer Street, Boston, MA 02210 |Â 877.262.5950
At Broadridge, a global Fintech leader with more than $5 billion in revenues, we are shaping the next generation of wealth management by empowering wealth management firms to better navigate a constantly changing industry. The Broadridge Wealth Platform, our open-architected ecosystem of solutions helps our clients modernize their tech stacks to drive business growth, increase advisor productivity, and improve investor experiences. With over 50 years of partnering with thousands of clients to reinvent wealth technologies, we have the proven track record to help you push the boundaries of what’s next.
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CONTACT:
Donna Bristow | donna.bristow@broadridge.com
5 Dakota Drive – Suite 300
Lake Success, NYÂ 11042
1-800-353-0103
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Join the conversation by using the hashtag #SIFMAPCWM and following SIFMA on Twitter and LinkedIn. Want to share? Check out our Social Media Toolkit.
It is a priority to make our events inclusive and accessible for all. For questions or requests, please contact SIFMA Conferences.
An Industry Disrupted – Insights into the Latest Data and Trends
Own Your Evolution with Donna Bristow
The Formula for Business Excellence with John Spence
Preparing for the Inevitable – The Ins, Outs and Value of Succession Planning
Disconnected: Reality vs. Perception in Retirement Planning
Build your talent pipeline. The SIFMA Invest! program and virtual platform provideS SIFMA member firms the opportunity to connect with students at a variety of Historically Black Colleges and Universities (HBCUs) and Minority-Serving Institutions (MSIs) interested in pursuing a career in the capital markets.
