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Tuesday, April 24, 2007 |
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8:00 a.m. – 8:30 a.m. |
Registration and Continental Breakfast |
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8:30 a.m. – 10:15 a.m. |
General Session Provided by ADP Clearing & Outsourcing Services |
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Welcome and Opening Remarks |
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John G. Peluso, Jr. President Wachovia Securities
Financial Network and Chairman, Independent Firms Committee |
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Securities Industry and Financial Markets Association Update |
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Ira Hammerman Senior Managing Director and General Counsel |
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Keynote Address: The Leadership Challenge: Planning in Uncertain Times |
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Scott Snyder CEO and President |
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A new regulatory regime and intensifying competition are contributing to the uncertainties we face as leaders of securities firms. This uncertainty often obscures the best, most exciting opportunities available to us. Scott Snyder will share tools to help us see beyond uncertainty, and to develop flexible strategies that will help us adapt to ambiguity and change. |
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10:15 a.m. – 10:30 a.m. |
Refreshment Break Hosted by National Financial, a Fidelity Investments Company |
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10: 30 a.m. – 12:00 p.m. |
General Session |
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Independent Firms CEO Panel |
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Moderator: Scott Snyder CEO and President Decision Strategies International, Inc. Panelists: Richard G. Averitt, III Chairman & Chief Executive Officer Raymond James Financial Services Valerie Brown Executive Vice President, Annuity and Wealth Management Joel E. Marks Vice Chairman and Chief Operating Officer |
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A panel of Independent Firm CEOs will share how they are responding to industry and regulatory change. Leadership challenges, the importance of value proposition and differentiation, and planning for the unexpected will be addressed. |
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12:00 p.m. – 1:30 p.m. |
Lunch with Speaker: Critical Drivers Shaping the Independent Channel Hosted by PriceMetrix |
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Howard Schneider President and Founder |
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1:45 p.m. – 3:00 p.m. |
Concurrent Sessions |
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Understanding Variable Annuity Regulation and Compliance |
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Moderator: Amy Lynch, CRCP President Panelists: Michael S. Hill, CFP, CAMS EVP & Chief Compliance Officer Larry Kosciulek Director NASD Investment Companies Regulation Lilian A. Morvay, Esq. Assistant Vice President |
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This panel will outline the current regulatory environment for variable annuities, including compliance and disclosure best practices, areas of potential liability and litigation, and proactive approaches to protect your firm and investors. |
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Recruiting Challenges and Trends in the Independent Firm |
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Tarah Mattia Carlow Vice President, Director of Marketing and New Business Development John
Hurley Managing Director |
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Will recruiting in the independent channel continue to grow in 2007, or has it reached a plateau? What strategies can help your firm manage growth in a tougher environment? Are you using all your recruiting resources effectively? This session will address how to overcome adviser misperceptions about the independent channel, why producers move, and how to build a winning process that drives recruits to your door. |
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Market Segmentation: The Power of One-to-One Marketing |
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Paul H. Staelin Vice President of Product Marketing |
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Direct-to-consumer industries like credit cards and online retailing have unlocked tremendous value by adopting “one-to-one” marketing practices. This "one-to-one" approach holds tremendous promise for retail brokerage, but adopting it poses unique challenges and opportunities, especially for sophisticated sales channels and clients. This workshop will discuss multi-dimensional segmentation tools that improve relationships with individual clients. |
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Meeting the Investment Needs of a Changing Client Base |
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Moderator: Stewart A. Lee Chairman and Chief Executive Officer Panelists: Tom Pittman Chief Marketing Officer Jennifer R. Relien Director, Managing Counsel Law and Compliance Thrivent Investment Management Richard C. Szuch, Esq. Partner Sheila Woelfel Vice President, Sponsor Relations |
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As a growing retiree population moves from the accumulation to distribution phase in the investing life-cycle, firms must focus on how to reposition their strategy to meet this seismic shift. This session will explore the strategic impacts of this challenge on financial advisers, products, marketing and compliance. |
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3:00 p.m. – 3: 15 p.m. |
Refreshment Break Hosted by Wedbush Morgan Securities |
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3:15 p.m. – 4: 30 p.m. |
Concurrent Sessions |
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Understanding Variable Annuity Regulation and Compliance (Repeated) |
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Recruiting Challenges and Trends in the Independent Firm (Repeated) |
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Market Segmentation: The Power of One-to-One Marketing (Repeated) |
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Meeting the Investment Needs of a Changing Client Base (Repeated) |
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4: 30 p.m. – 6:00 p.m. |
Reception (Dinner on Own) Hosted by ADP Clearing & Outsourcing Services |
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Wednesday, April 25, 2007 |
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8:00 a.m. – 8:30 a.m. |
Continental Breakfast |
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8:30 a.m. – 10:15 a.m. |
General Session |
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Welcome and Opening Remarks |
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John G. Peluso, Jr. President |
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SRO Consolidation: Next Steps |
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Douglas Shulman Vice Chairman and President, Markets, Services and Information |
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Mr. Shulman will describe the latest activity and steps in SRO consolidation, and profile what we might expect from a new regulatory entity and unified rule-book. |
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Benchmarking the Independent Financial Advisor |
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Peter Keuls Head of Private Client |
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How do your individual brokers measure up to their peers or to your competitors across the street? What key performance measures should you monitor to maximize profitability? How should you set and track individual, branch and firm-wide goals? Solutions to these universal questions will be addressed using a “score card” approach that will help you plan and achieve strategic and tactical success. Results of a pilot study using these performance benchmarks will also be discussed. |
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10:15 a.m. – 10:30 a.m. |
Refreshment Break Provided by CalSurance |
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10:30 a.m. – 11:30 a.m. |
General Session |
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BD/IA Issues in the Independent Model |
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P. Georgia Bullitt Partner Brian Propes President and Chief Operating Officer Lisa Roth President ComplianceMAX Financial Corporation Michael Udoff Vice President, Associate General Counsel |
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Our closing panel will outline the impacts on customers and firm strategy of the recent court decision vacating the SEC's fee-based brokerage rule, and how the industry is responding. We will also discuss different BD/IA platforms and how "break-away" investment advisors affect recruiting, compliance, product distribution and the value proposition of the independent firm. |
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11:30 a.m. |
Adjournment |
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Hotel Room Do Not Disturb Signs Provided by ADP Clearing & Outsourcing Services Wall Street Journals Provided by Dow Jones Newswires Hotel Room Key Cards Provided by First Clearing Correspondent Services Compliance Reporter and Operations Management Provided by Institutional Investor News PAETEC Communications Inc. Attendees’ Notebooks Sponsored by Pershing LLC Quote Terminal compliments of QUODD Financial Information Services Lanyards Provided by RBC Dain Correspondent Services Conference Contributor: SMARSH Inc. Committee Dinner Hosted by Success Metrics, Inc. |
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