Name: Private Client Conference
Start: 2023-05-03T17:00:00-04:00
End: 2023-05-05T12:00:00-04:00
Location: Marriott Harbor Beach Resort & Spa

12pm - 1pm

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PRIVATE CLIENT

CONFERENCE

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Clear your calendar - It's going down! Bedford V2 kicks off on April 20th, and you're invited to take part in the festivities.

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Clear your calendar - It's going down! Splash Blocks kicks off on April 20th, and you're invited to take part in the festivities. Splash HQ (122 W 26th St) is our meeting spot for a night of fun and excitement. Come one, come all, bring a guest, and hang loose. This is going to be epic!

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Kenneth E. Bentsen, Jr.

President and CEO, SIFMA

Ken Cella

Principal, Client Strategies Group, Edward Jones

Vice-Chair, SIFMA Board of Directors

Michael Durbin

President, Fidelity Institutional, Fidelity

Chair, Private Client Wealth Management Subcommittee, SIFMA Board of Directors

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Andy Sieg

President, Merrill Lynch Wealth Management

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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

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Andy Sieg

President, Merrill Lynch Wealth Management

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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

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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

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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

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Private Client

CONFERENCE

May 3–5, 2023 | Fort Lauderdale, FL

Event Debrief

Explore the future of wealth management

SIFMA’s Private Client Conference brings together executives from across private wealth management in a dynamic forum designed to explore the future of wealth management.

From May 3-5, we met in Fort Lauderdale. Explore the Future of Wealth Management video series, produced onsite at the conference, and more resources including:

Get the Conference Debrief by SIFMA Insights

Learn about SIFMA Invest!

Download the pre-conference Survey Results

Subscribe to SIFMA SmartBrief: Wealth Management Edition

Access the Event Guide for slides and more

Share Conference Notes on LinkedIn

The Future of Wealth Management

A Video Series from SIFMA's 2023 Private Client Conference

Navigate using the chapters above or jump right to each episode.

2023 Featured Speakers

Andy Bernstein

On The How and Why of Great Teams

Founder
Resilience Academy

Donna Bristow

On Owning Your Evolution

Chief Product Officer, Wealth Management

Broadridge

Martha Deevy

On Reality vs. Perception in Retirement Planning

Associate Director and Senior Research Scholar

Stanford Center on Longevity

Pamela Everhart

On Building a Diverse Talent Pipeline

Senior Vice President, Head of Regional Public Affairs and Community Relations

Fidelity Investments

Penny Pennington

On the Future of Capitalism

Managing Partner

Edward Jones Investments

Philip Shaikun

On the Ins, Outs and Value of Succession Planning

Vice President and Associate General Counsel

FINRA

John Spence

On The Formula for Business Excellence

Managing Partner

John Spence LLC

Program

Our 2023 program features perspectives on priorities for private wealth management from industry leaders, regulators and scholars. Through keynote sessions, fireside chats and panel discussions, we'll delve into topics including:

The Future of Capitalism with Penny Pennington

An Industry Disrupted – Insights into the Latest Data and Trends

Preparing for the Unexpected – The Ins, Outs and Value of Succession Planning

The Why and How of Great Teams with Andy Bernstein

John Spence on the Formula for Business Excellence

Reality vs. Perception in Retirement Planning

Building a Diverse Talent Pipeline

Transformation and Evolution – The Evolving Regulatory Landscape

New Strategies for Enhancing the Financial Advisor of the Future

On the Ground – Perspectives from Regional and Complex Offices

view 2023 Program

Wednesday,
April 6, 2022

Thursday,
April 7, 2022

Friday,
April 8, 2022

5:30 p.m. - 7:00 p.m.

Welcome Reception

Location: Magnolia Courtyard

7:00 a.m. - 2:00 p.m.

Registration and Sponsor Showcase

Location: Ballroom Foyer

7:30 a.m. - 8:00 a.m.

Networking Breakfast

Location: Ballroom Foyer

8:00 a.m. - 8:10 a.m.

Opening Remarks

Speaker

John Maurello

Managing Director, Private Client Services, SIFMA

8:10 a.m. - 8:55 a.m.

Panel Discussion: Priorities for Private Wealth Management

Explore the foremost issues and initiatives before the private client and wealth management industry in this discussion with leaders from SIFMA’s Board of Directors.

moderator

Kenneth E. Bentsen, Jr.

President and CEO, SIFMA

Speakers

Ken Cella

Principal, Branch Development, Edward Jones

Vice-Chair, SIFMA Board of Directors

Michael Durbin

President, Fidelity Institutional, Fidelity

Chair, Private Client Wealth Management Subcommittee, SIFMA Board of Directors

8:55 a.m. - 9:15 a.m.

Featured Speaker: Andy Sieg, Merrill Lynch Wealth Management

Speaker

Andy Sieg

President, Merrill Lynch Wealth Management

9:15 a.m. - 10:00 a.m.

Panel Discussion: Diversity, Equity, and Inclusion in Private Wealth Management

This panel of Private Wealth Management business leaders will discuss their approaches, challenges, and successes with addressing the myriad of issues in the diversity, equity. and inclusion space, such as recruitment and mentoring of diverse financial advisors, expanding recruitment sources to achieve diversity, inclusion in the work environment, onramps for the return of individuals who have taken time away from the profession, and enhancing the quality of financial advice given to clients of differing backgrounds and financial goals.

Moderator

Jennie Jacoby, Managing Director, Federal Government Affairs & Associate General Counsel, SIFMA

panelists

Lindsay Hans, Division Executive, Northeast Division, Merrill Lynch

Melinda Hightower, Managing Director, Head of Multicultural Strategic Client Segments, UBS

Rudy Rodriguez, Vice President, Diversity and Inclusion, Ameriprise Financial Services, Inc.

10:00 a.m. - 10:20 a.m.

Networking Break

Location: Ballroom Foyer

10:20 a.m. - 10:45 a.m.

Featured Speaker: Jackie VanderBrug, Bank of America

The Moment Is Now: Acquisition and Growth through Sustainable Investing

Speaker

Jackie VanderBrug

Managing Director, Head of Sustainable and Impact Investment Strategy, Bank of America

10:45 a.m. - 11:30 a.m.

Panel Discussion: The Next Generation of Financial Advisors

There are challenges but also opportunities to attract new and diverse talent to the financial advisor role. Find out how to demonstrate to candidates the critical value of providing financial advice and learn the skills and tools that are critical for success.

Moderator

Randy Bradshaw, Principal, Branch Team Performance, Edward Jones

PANELISTS

Jennifer Johnson, Vice President, Advisor Business Development Programs, Ameriprise Financial

Ray Martinez, President and Co-Founder, EVERFI

Heather Rosales, Vice President, Senior Manager, Field Training & Development, RBC

11:45 a.m. - 1:00 p.m.

Lunch with Featured Speaker: Jonah Berger, The Wharton School

Sponsored by Dow Jones Newswires and Hearsay Systems

Enjoy lunch with colleagues and discuss insights from our featured luncheon speaker, Jonah Berger. Jonah is a professor at the Wharton School of the University of Pennsylvania, an internationally bestselling author, and a world-renowned expert on change, word of mouth, viral marketing, social influence, and how products, ideas, and behaviors catch on.

Everyone has something they want to change. Employees want to change their boss’ mind and leaders want to transform organizations. Salespeople want to win clients and marketers want to change consumer behavior. Politicians want to change countries, startups want to revolutionize industries, and nonprofits want to change the world. But change is hard. We push and push, but often nothing happens. Could there be a better way? This talk introduces a revolutionary approach to change. Successful change isn’t about pushing harder or exerting more energy. It’s about removing barriers. Overcoming resistance by reducing friction and lowering the hurdles to action. Discover the five hidden factors that impede change, and how by mitigating them, you can change anything.

Speaker

Jonah Berger

Associate Professor of Marketing, The Wharton School, University of Pennsylvania

1:15 p.m. – 2:00 p.m.

Panel Discussion: The Regulatory Landscape

Explore the regulatory environment, including the outlook for policy and implementation, in this discussion with regulators and compliance and legal executives.

Moderator

Lisa Bleier, Managing Director and Associate General Counsel, Federal Government Relations, SIFMA

PANELISTS

Susan Axelrod, Chief Supervisory Officer, Merrill Lynch

Yvette Panetta, Vice President, Member Supervision, FINRA

David Sparks, Senior Vice President and General Counsel, Private Client Group, Raymond James

Bill Simpson, Compliance Principal, Hearsay Systems

Anne Tennant, Managing Director, General Counsel, Morgan Stanley Wealth Management

5:30 p.m. - 7:00 p.m.

Networking Reception

Location: Garden Foyer

7:00 a.m. - 12:00 p.m.

Registration and Sponsor Showcase

Location: Ballroom Foyer

7:00 a.m. - 7:55 a.m.

Networking Breakfast

Location: Ballroom Foyer

7:55 a.m. - 8:00 a.m.

Welcome

Speaker

John Maurello

Managing Director, Private Client Services, SIFMA

8:00 a.m. - 8:25 a.m.

Fireside Chat: Jamie Price, Advisor Group

Join this one-on-one conversation about growth strategies, rising client expectations and investing strategically for the future.

Moderator

Kenneth E. Bentsen, Jr.

President and CEO, SIFMA

Speaker

Jamie Price

President & CEO, Advisor Group

8:25 a.m. - 9:15 a.m.

Panel Discussion: Key Lessons for Financial Advisors

What did financial advisors learn during the pandemic that can be applied going forward to enhance service and accelerate growth?

moderator

Steven M. Samuels, Managing Director, Head of Advisor Recognition and Field Engagement, Merrill Lynch

PANELISTS

Christina Anderson, CFP®, CWS, Vice President, Fidelity

Don d'Adesky, Managing Director, Investments, Fixed Income Capital Markets, Raymond James

Christopher Jay, Senior Vice President, Wealth Management Advisor, Merrill Lynch

Nancy Osmond Popovich, Managing Director, Portfolio Manager, Baird

Matthew Wunder, Wealth Management Advisor, Northwestern Mutual Wealth Management Company

9:15 a.m. - 9:35 a.m.

Featured Speaker: Michael Alexander, Broadridge

Transforming the Next Gen Experience: For Wealth Firms, Advisors and Investors

Speaker

Michael Alexander

President, Wealth Management and Global Business Process Outsourcing, Broadridge

9:35 a.m. - 9:55 a.m.

Networking Break

Location: Ballroom Foyer

9:55 a.m. – 10:40 a.m.

Panel Discussion: Technology for the Future

What will technology platforms look like to enhance Private Wealth Management and Financial Advisor interactions with clients?

moderator

Ryan Robson, Principal, Digital Product Management, Edward Jones

PANELISTS

Ryan Burwell, Director of Private Wealth Management Tech Strategy and Best Practices, Baird

Peter Chagalis, Director of Wealth Workflow, Refinitiv

Carmen Gary, Senior Vice President, Chief of Staff, D.A. Davidson & Co.

Bharat Sawhney, Partner, Wealth & Asset Management, Sia Partners

Robin Stoner, Managing Director, Head of Digital Adoption, Merrill Lynch

10:40 a.m. - 11:25 a.m.

Panel Discussion: The Branch Office of the Future

What will the future branch office look like given lessons learned during the pandemic related to both financial advisors and client behavior, and to recent leaps forward in technology and connectivity?

moderator

Paul Santucci, Head of Field Development & Productivity, UBS

PANELISTS

Stephanie Condra, Sales, Strategy and Programs, BMO

Linda Erickson, Head of Branch Infrastructure, Fidelity Investments

Christopher Mone, Executive Vice President, Head of Wealth Management, Wedbush Securities

Tom Sagissor, President, RBC Wealth Management - US, RBC

Thomas M. Walrond, Senior Vice President and Eastern Division Director, Raymond James & Associates

11:25 a.m. - 12:00 p.m.

Panel Discussion: The Legislative Update

The panel will address the latest legislative news covering retirement legislation – from SECURE 2.0 to IRA investment limitations, independent contractor proposals – including the PRO Act, and any fiduciary activity involving members of Congress.

moderator

Lisa Bleier, Managing Director and Associate General Counsel, SIFMA

PANELISTS

Jesse Hill, Principal, Government and Regulatory Relations, Edward Jones

Elizabeth Varley, Vice President - Federal Government Affairs, Ameriprise

12:00 p.m.

Conference Adjourns

Venue

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