Tuesday, April 25, 2006 |
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Independent Firms Committee Update |
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John G. Peluso, Jr.
Chairman
SIA Independent Firms Committee
President
Wachovia Securities Financial Network
Richmond, VA
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The Critical Attributes of the Successful Independent Firm |
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View PDF
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Mark Tibergien
Principal
Moss Adams, LLP
Seattle, WA
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Strategic Planning in the Independent Firm |
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View PDF
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Stewart A. Lee
Chairman and Chief Executive Officer
LEE Training LLC
Wellston, OK
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Managing the Arbitration Process |
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View PDF
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David J. Freniere
Executive Vice President and Assistant General Counsel
Linsco/Private Ledger Corp.
Boston, MA
Lilian A. Morvay, Esq.
Quanta U. S. Holdings Inc.
New York, NY
Joseph A. Sack, Esq.
Partner
Farkas & Sack LLP
New York, NY
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Preparing for the Growth Wave |
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View PDF
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Michael Williams
Managing Director
Tocqueville Asset Management
New York, NY
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Wednesday, April 26, 2006 |
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Compliance and Supervisory Procedures for Variable Annuities and 529 Plans |
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View PDF
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Mike Lenzmeier
Director
NOVON Consulting Corp
Minneapolis, MN
James M. Odland
Vice President
Thrivent Financial for Lutherans
Minneapolis, MN
Frank Taylor
Shareholder and Practice Group Leader
Financial Services Group
Briggs and Morgan, P.A.
Minneapolis, MN
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