SIFMA Independent Firms Conference
April 24-25, 2007, Hyatt Regency, Baltimore, MD

Register Today!

The 3rd Annual Independent Firms Conference is designed for CEOs and senior management of broker-dealers that operate an independent contractor distribution channel, which is one of the largest and fastest growing segments in the industry.  Sponsored by SIFMA’s Independent Firms Committee, the 2007 conference will cover leadership challenges and business, product and regulatory issues facing small to large retail networks, insurance affiliated broker-dealers, and financial planning firms. 

 

Featured Speakers:

·        John G. Peluso, Jr.
Wachovia Securities Financial Network

·        Douglas Shulman, NASD

·        Scott Snyder
Decision Strategies International, Inc.

·        Richard G. Averitt, III
Raymond James Financial Services

·        Valerie Brown, ING Advisors Network

·        Joel E. Marks
Advanced Equities Financial Corp.

·        Ira Hammerman
Securities Industry and Financial Markets Association

 

·        P. Georgia Bullitt
Morgan, Lewis & Bockius

·        Lisa J. Roth
ComplianceMAX Financial, LLC

·        Peter Keuls
 McLagan Partners, Inc.

·        Howard Schneider
Practical Perspectives, Inc.

·        Brian Propes
NFP Securities, Inc.

·        Michael Udoff
Securities Industry and Financial Markets Association

 

 

Program Highlights:

·        Leadership Challenges

·        Independent Firms CEO Panel

·        SRO Consolidation: Next Steps

·        Benchmarking Independent Advisors

·        BD/IA Issues in the Independent Model

·        Understanding Variable Annuity Regulation and Compliance

 

·        Recruiting Challenges and Trends

·        Market Segmentation:

·        Meeting the Challenges of a Changing Investor Base

·        Securities Industry and Financial Markets Association Update

 

 

When and where?

April 24 – 25, 2007, Hyatt Regency Baltimore, Baltimore, MD

 

Who should attend?

This program targets CEOs, senior management, and department heads of sales, marketing, business development, training, recruiting, legal and compliance.   Firms exploring the independent model and service providers to this market should also attend.

 

For further information please contact:

Rob Gannon

rgannon@sifma.org

212-618-0587

 

For sponsorship information and opportunities please contact:

Jeff Freimauer

jfreimauer@sifma.org

212-618-0592