It is our great pleasure to invite you to participate as a sponsor during the 2007 Securities Industry Institute.
Increase your exposure and get in front of key securities industry executives during SIFMA’s upcoming Securities Industry Institute® through sponsorship and networking opportunities. The Securities Industry Institute® (SII) an intensive, full-scale professional development program designed by and for securities industry professionals. Approximate number of attendees range from 575-625 (85% hold executive positions within the financial industry). See SII 2006 Participants
Today, our industry is providing better returns, advice and expertise on a broad range of products and services. But in order to maintain and enhance our competitive advantage, continuing professional education is an absolute must if we are to fully meet our client’s needs in an increasingly complex business and regulatory environment. The onus is on each of us to devote even greater effort to training and education so as to foster relationships of trust with our valued clients.
The Securities Industry Institute affords an invaluable experience and next steps in career development for securities professionals, and their firms, while preparing for positions of increasing responsibility.
SIFMA and The Wharton School have developed an outstanding program that offers the participants opportunities for exploring new topics, exchanging information, and responding to today's business challenges.
Don’t miss this opportunity to be a part of the longest continuously running executive education program.
Sponsorship Benefits
Today many firms invest through methods of sponsorship to enhance their relationship with their target audience. The program and special events throughout the week provide participants with personal opportunities to meet your firm’s brand up close and build relationships through memorable and relevant experiences.
Act today and partner with SIFMA through sponsorship of selected events during the 2007 Securities Industry Institute.
The Securities Industry Institute Sponsorship Package Offers Maximum Value With:
- Opportunity to provide professional education for your key employee by utilizing your SII complimentary registration.
- Exposure to senior level executives and decision makers of securities and financial services firms.
- Unsurpassed networking opportunities with Institute participants.
- Develop new contacts and leads.
- Your firm's literature will be included in all Institute participants' registration materials.
- Included in sponsor listing in the Institute participants' final program with the company logo, contact information and product description.
- Logo on signage (44' x 22") at the sponsored function (if applicable)
- Logo on signage (44'" x 22") in multiple registration areas, as well as various locations throughout the week.
- Listed as a sponsor on SIFMA's Securities Industry Institute website with a hot linked URL, company logo, contact information and product description. Your link will have the potential of being view by an average of 200,000 users per month.
- Mailing list of Institute Participants, both prior to and post event, on CD Rom in excel format, which includes Name, Title, Firm & Mailing Address.
Sunday, March 4, 2007
Sponsorship: Year One Reception & Orientation Audio Visual – Sold!
Hosted by Federated Investors
Sponsorship: Opening Night Dinner - Sold!
Hosted by Philadelphia Stock Exchange
Featured Speaker:
Horst Schulze, Former President & COO
The Ritz-Carlton Hotel Company and Chairman, President & CEO, The West Paces Hotel Group
Co-Sponsored by:
IP Trade
Pershing LLC
PriceMetrix Inc.
Monday, March 5, 2007
Sponsorship: Welcome Breakfast at Marriott Hotel - Sold!
Hosted by The International Securities Exchange
Sponsorship: Welcome Breakfast for at Inn @ Penn - Sold!
Hosted by Penson Financial Services, Inc.
Sponsorship: Welcome Breakfast at Aresty Institute of Executive Education for Year 3 Participants - Available!
Investment: $6,000
Includes: One Complimentary Institute Registrations
Sponsorship: Year Two Networking Reception - Sold!
Hosted by Scivantage
Sponsorship: Year Three Networking Reception - Sold!
Hosted by Fundtech Corporation
Thursday, March 8, 2007
Sponsorship: Closing Night Dinner - Sold!
Hosted by ADP Brokerage Services Group
Sponsorship: Attendees’ Tour of The King Tut Exhibit during the Closing Night Reception & Dinner - Available!
Investment: $10,000
Includes: Two Complimentary Institute Registrations
Friday, March 9, 2007
Sponsorship: Graduation Breakfast - Sold!
Hosted by Thomson Financial - Transactions Services
Miscellaneous Sponsorships
Sponsorship Attendees’ Notebooks - Sold!
Provided by First Clearing Correspondent Services
Sponsorship Wall Street Journals - Sold!
Provided by Dow Jones Newswires
Sponsorship: Student Tote Bags - Sold!
Provided by ADP Brokerage Services Group
Sponsorship: Jeremy Siegel’s Book, Stocks for the Long Run - Sold!
For distribution to Year One Students
Compliments of The International Securities Exchange
Sponsorship: Jeremy Siegel’s Book, Future for Investors - Sold!
For distribution to Year Three Students
Compliments of Midwood Securities Inc.
Sponsorship: Contributor - Available!
Investment: $5,500
Includes One Complimentary Institute Registration
Sponsorship: Contributor
The American College
For additional information or to reserve your sponsorship, please contact:
Diana Serri
Assistant Vice President, Exhibit Sales & Services
Securities Industry and Financial Markets Association
Phone: (212) 618-0558
Email: dserri@sifma.org
A&S Global Management Consulting, Inc.
Senior Consultant
A. Gary Shilling & Co., Inc.
President
A.G. Edwards & Sons, Inc.
Director, Training & Development
Manager - Enterprise Risk Management
Vice President
Vice President and Litigation Counsel
Vice President, Corporate Communications
Vice President, IT Business Management
Vice President, Manager of Learning Technology & Shared Services
Vice President, Manager, New FC Training & Alumni Support
A.G. Edwards, Inc.
Director of Internal Audit Vice President
Vice President & Manager of FC Recruiting
ADP Brokerage Services Group
Managing Director
Senior Vice President
Senior Vice President, Sales
Vice President (3)
Vice President, Fulfillment
ADP Clearing & Outsourcing Services, Inc.
Vice President (2)
Vice President - Technology
Vice President -Marketing & Sales
ADP Investor Communication Services
Vice President
ADP/ICS
Director
ADP/SIS
Vice President, Product Management
AIG SunAmerica Asset Management Corp.
Senior Vice President, Portfolio Manager
Ajamie LLP
Partner
Allen & Company of Florida, Inc.
Vice President
Allstate Financial Services, LLC
Director of Brokerage Support
The American College
Director of Sales and Marketing
American Funds
Regional Rep
Ameritas Investment Corp.
Assistant Vice President
Asst. Treasurer
Chief Compliance Officer
Financial Consultant
Sale Support Marketing Manager
Ameritrade Holding Corporation
Managing Director - Corporate Audit
Managing Director, Corporate Communications
Senior Vice President, Chief Brokerage Operations Officer
Asset Management Advisors
President
Banc Of America Securities LLC
Principal (2)
Vice President, Business Support Manager
Vice President, Senior Securities Operations Manager
Bear, Stearns & Co. Inc.
Chief Investment Strategist
BMO Nesbitt Burns Inc.
Senior Vice President & Managing Director, Wealth Management
Vice President
Vice President & Managing Director
Bond Market Association
Vice President and Assistant General Counsel
Booz Allen Hamilton Inc.
Principal. Financial Services Practice
California Plan of Church Finance, Inc.
Vice President - Sales
Cambridge Investment Research, Inc.
Chief Operating Officer
Capital Analysts Inc.
Assistant Vice President of Investment Management and Research
The Catalyst Group
Managing Partner
Chicago Board Options Exchange
Senior Staff Instructor - Options Institute
CIBC World Markets
Director
Citadel Execution Services
President
Citigroup Global Markets Holdings Inc.
National Sales Director, CitiStreet
Credit Suisse First Boston
Director
Vice President
Credit Suisse First Boston (USA), Inc.
Assistant Vice President (2)
Vice President (3)
CSW Associates, Inc.
Managing Director
D. A. Davidson & Co.
Senior Vice President, Financial Consultant
Vice President / Branch Manager
Vice President of Trust & Managed Assets Operations Manager
Vice President, Financial Consultant
Delaware Distributors, LP
2nd Vice President - Director, Broker Dealer & RIA Operations
Vice President
Depository Trust & Clearing Corporation
Director, Product Marketing & Development
Director, Product Marketing and Development
Vice President
Vice President
Vice President
Vice President of Product Management
Deutsche Bank Alex. Brown
Vice President
Deutsche Bank Securities Inc.
Director
Operations Director
Vice President
Dow Jones Newswires
Associate Director of Retail Intermediary Products
Dudack Research Group LLC
Partner
Dundee Securities Inc.
Executive Vice President, Chief Operating Officer
Dunham & Associates Investment Counsel, Inc.
Executive Vice President, Chief Sales Officer
E*Trade Brokerage Holdings, Inc.
Director
Senior Manager
Senior Manager, Operations
Senior Manager, Project Management & Strategic Initiatives
Edward Jones
Director of Research/Partner
Director, Human Resources
General Partner, Operations Division
Partner (2)
Partner / IS Director
Principal (5)
Principal - Canada
Principal - Municipal Finance
Principal - Operations
Principal IS
Principal, IR Development
Senior Director/Partner
Senior Project Leader
Federated Securities Corp.
Assistant Vice President, Manager, Internal Sales
Marketing Representative (3)
Senior Vice President
Senior Vice President, Head of Global Equity Trading
Vice President (10)
Vice President of Internal Sales
Fidelity Brokerage
Director
Director of Finance (2)
President
Senior Vice President
Vice President - Chief Financial Officer
Vice President (10)
Vice President, Advisor Services
Vice President, Finance
Vice President, Portfolio Advisory Services
Vice President, Sales Reporting and Analysis
Fidelity Brokerage Services, LLC
Finance Director
Fidelity Information Services
Director, Product Manager, Account Manager
Fidelity Investments
Director - Brokerage Audit
Finance Director
President, Fidelity Operations and Services Group
Senior Vice President
Vice President (2)
Vice President, Finance
Vice President, Government Relations
Vice President, Product Management
Vice President, Regional Sales Manager
Fidelity Investments Institutional Services
Director
Director of Finance (2)
Director, Risk Management
Divisional Manager
Senior Vice President (5)
Senior Vice President / Division Manager
Vice President (4)
Vice President - Risk Management
Fidelity Investments, Personal Investments
Branch Manager
Fidelity Management & Research Co.
Vice President
Fiduciary360
Managing Partner
First Clearing Correspondent Services
President
Flycaster and Company
Managing Partner
FutureWork Institute
Consultant (2)
The Galileo Initiative
Chairman of the Board
Goizueta Bsuiness School at Emory University
Director, Global Perspectives Program
Goldman Sachs & Co.
Chief US Portfolio Strategist
Goodman & Company Investment Counsel Ltd.
President & CEO
Hartford Equity Sales Company Inc.
Vice President, National Sales Manager
Hartford Life
Vice President, Marketing & Strategic Accounts
HSBC Securities (USA) Inc.
Director, Fixed Income
Huggard, Obiol & Blake, PLLC
Senior Member
iNautix Technologies India Pvt Ltd
Chief Operating Officer
ING Advisors Network
Account Manager
Assistant Vice President, Director of Trading
Insight Education Systems
Founder and President
International Securities Exchange
Controller
Head of Business Development
Head of Product and Quality Management
President & CEO
Technology Infrastructure & Development Officer
Vice President & Deputy General Counsel
Intersecurities, Inc.
Vice President, Operations
The Investment Performance Institute, Inc.
Director
Investors Capital
Vice President
IPTrade
Managing Director
J&W Seligman & Co., Inc
Senior Vice President
J. J. B. Hilliard, W. L. Lyons, Inc.
Director, Consulting Services. Vice President
First Vice President
Senior Vice President (3)
Senior Vice President, Branch Manager
Senior Vice President, Financial Consultant (2)
Vice President
Vice President, Assistant Branch Manager
J.B. Hanauer & Co.
Branch Manager
Senior Vice President, Branch Manager (2)
Janney Montgomery Scott LLC
Branch Manager
Compliance Officer
Controller
Executive Vice President - Investments
FC, Vice President, Assistant Branch Manager
First Vice President
First Vice President - Branch Manager
Senior Vice President/Investments
Vice President (2)
Vice President / Branch Manager
Wealth Management Attorney
John Hancock Funds, LLC
National Sales Manager, Inside Sales
Sales First Vice President (2)
Sales First Vice President - National Account Manager
Senior Vice President
Vice President
Knight Equity Markets, L.P.
Managing Director
Lehman Brothers Holdings Inc.
Managing Director, Global Compliance & Regulation
Managing Director , Private Asset Management
Lord Abbett Distributor LLC
Director of Internal Wholesaling
Director of Retirement Planning
Regional Manager
Regional Manager
Regional Manager
Regional Manager
Southern Division Director
Partner, National Sales Manager
Regional Manager
March Inc.
Managing Director
McDonald Investments Inc.
Director of Finance
Senior Vice President
Senior Vice President, Market Manager
Merrill Lynch & Co., Inc.
Chief Quantitative Strategist
Director (35)
Director - MLIM Treasury
Director, Business Programs and Solutions
Director, EMEA
Director, Management Science
Director, Private Banking & Investment Group
Director, Vice President
Divisional Business Manager
First Vice President (15)
First Vice President, GPC Business Risk Management
First Vice President, Human Resources
Managing Director (7)
Managing Director - Corporate & GPC Communications
Regional Head of GTI
Senior Vice President (2)
Technology
Vice President (3)
Vice President, Human Resources
Merrill Lynch Global Market Investments
Managing Director and Head of GMI Services
Merrill Lynch Private Banking & Investment Group
Regional Director
Merrill Lynch Private Client Group
Director (4)
Director, Strategy, Analytics & Business Solutions
Director, Total Merrill Marketing
Division Risk Director
Merrill Lynch, Global Private Client Group
First Vice President, Managed Solutions Group Head, Multicultural Marketing
Metlife Securities, Inc.
Vice President, Field Development Group
Midwood Securities, Inc.
Chairman & Chief Executive Officer
Managing Director
Millennium Trust Company
Senior Vice President
MML Investor Services, Inc.
Director
Morgan Keegan & Company, Inc.
Chief Operating Officer, Private Client Group
Director WMS Operations, Reporting & Compliance
Managing Director (2)
Senior Vice President (2)
Morgan Stanley
Executive Director (6)
Executive Director, Field Services Division
Vice President (5)
Morgan Stanley & Co. Incorporated
First Vice President – Director, Financial Planning
Nasdaq Stock Market
Managing Director - Transaction Services
NatCity Investments, Inc.
Director of Products
National Association of Securities Dealers, Inc.
Associate Vice President & District Director
Senior Vice President - District Director
National Financial Correspondent Services
Senior Vice President
National Financial Services LLC
Chief Financial Officer
Senior Regional Vice President
Vice President
Vice President - Retirement & AMA Products Consulting
Vice President – Sales (2)
New York Stock Exchange
Director (8)
Director - Market Surveillance
Director of Rule and Interpretive Standards
Director of Testing Standards
Director, Continuing Education
Examination Director (6)
Manager - Investor Complaints & Inquiries Department
Managing Director (4)
Surveillance Director (2)
Trial Counsel (2)
Trial Counsel - Division of Enforcement
NFP Securities, Inc.
Senior Vice President
Senior Vice President Advisory Services
Senior Vice President and General Counsel
Vice President Operation
Northern Trust Company
Senior Vice President, Alternative Investment Solutions Group
Nuveen Investments, LLC
Vice President (5)
Vice President - National Accounts (2)
O'Keefe Shaw & Co., Inc.
President
The O.N. Equity Sales Company
Chief Compliance Officer
President & Chief Operating Officer
Options Clearing Corporation
Executive Vice President & Chief Information Officer
First Vice President
Vice President (4)
Penson Financial Services, Inc
Director of Brokerage Operations
President and CEO
Vice President
Vice President, Chief Compliance Officer
Pershing LLC
Director (19)
Director - IT Development
Director, Global Custody
Director, Marketing
Managing Director (2)
Managing Director, Internal Audit
Vice President (3)
Vice President - Client Relationships
Philadelphia Stock Exchange, Inc.
Assistant Vice President, Equity Floor Operations
Deputy Chief Regulatory Officer
Director of Treasury Operations
Director, Equity Trading Systems
Vice President / Counsel
Vice President Quality Assurance
Piper Jaffray Companies
Advisory Services Manager
Branch Manager
Director of Finance
Managing Director
Regional Director
Senior Vice President - Investments, Branch Manager
Planco
Senior Vice President, Managing Director
PriceMetrix, Inc.
Client Manager
Prudential Equity Group LLC
Chief Investment Strategist
Rabo Securities USA, Inc.
President
Raymond James & Associates, Inc.
Branch Manager
Director, Client Technology Support
Due Diligence Officer
First Vice President - Investments, Branch Manager
Senior Vice President (4)
Senior Vice President, Financial Planning Department
Vice President - Administration
Vice President, Divisional Sales Manager
Raymond James Financial Services, Inc.
First Vice President Business Development
Raymond James Financial, Inc.
Assistant Vice President
Associate Compliance Director
Regional Vice President
Senior Vice President
Vice President - Marketing
Vice President / Divisional Manager
Vice President, Product Planning & Development
Vice President, Taxable Fixed Income Trading
RBC Dain Rauscher Corp.
Compliance Director
Corporate Communications Manager
Director - Investment Consulting Services
Director of Finance
Director Of Operations
Director of Strategy and Marketing
Director, Wealth Management Consulting
Financial Reporting Manager
General Counsel
Manager
Manager, Financial Consultant Training
Manager, Performance Strategies Group
Managing Director, Director of Human Resources
Managing Director, Information Technology
Product Development Manager
Project Manager
Senior Investigative Supervisor
Senior Operations Manager
Senior Vice President, Investments
Senior Vice President
Vice President - Marketing Manager
Vice President, Wealth Management Consultant
RBC Dominion Securities
Branch Manager, Vice President
Regional Manager and Director
Vice President and Branch Manager (2)
Robert W. Baird & Co. Incorporated
Chief Operations & Information Officer
The Royal Bank of Scotland
Vice President
Ryan Beck & Co., Inc.
Dep. Gen. Counsel/First Vice President
Senior Vice President, Director of Clearing & Planning
Senior Vice President, Director of Information Technology
Senior Vice President, Human Resources
Vice President, Director of Performance Reporting
Sanford C. Bernstein & Co., LLC
Equity Research Analyst
SciVantage
President & CEO
Vice President, Sales
Scotia Capital Inc.
Director, Fee Based Sales
Director, Mutual Funds
Managing Director, Portfolio Advisory Group
Marketing Director
Scott & Stringfellow, Inc.
Chief Accounting Officer
Director of Compliance
Head of Information Systems
Regional Administrative Officer
Securities Industry Automation Corporation
Controller
Managing Director, Internal Networks Project Engineering
Senior Director
Senior Technical Director
Vice President (3)
Vice President Communications Engineering & Operations
Standard and Poor's
Chief Investment Strategist
Stanford Group Company
Executive Vice President / Chief Financial Officer
Sterne, Agee & Leach, Inc.
Vice President
Stifel, Nicolaus & Company, Incorporated
Executive Vice President and Director, Fixed Income Capital Markets
SunGard BRASS
Vice President, Client Services
SWS Group, Inc.
Director of Compliance/SVP
President
Vice President, Branch Manager
Vice President, Operations
TD Waterhouse Group, Inc.
Vice President
Thomas McDonald & Assoc LLC
Director of Financial Planning Services
Twenty-First Securities Corporation
President
UBM Securities, Inc.
President & CEO
UBS
Vice President & CRA Officer
UBS Financial Services Inc.
Associate National Sales Manager (2)
Branch Manager (2)
Corporate Vice President (3)
Corporate Vice President - ICS Business & Technology Solutions
Corporate Vice President / Complex Manager
Deputy Director of Compliance (2)
Director (2)
Director, Client Services
Divisional Vice President - Mutual Fund & Retirement Plan Consultant
Divisional Vice President - Recruiting Officer
Executive Director
First Vice President (3)
First Vice President, Director, Field Marketing
First Vice President, Information Services Division
Group Head IT Risk Control
Head of Management Support, Marketing Technology
Head of Service Delivery WM&BB
Manager Client Reporting
Manager, Corporate Staffing
Manager, CVP
Manager, Database Marketing and Analysis
Manager, Education Solutions & Services
Managing Director (2)
Managing Director, Private Wealth
Market Data Product Manager - Executive Director
Senior Vice President (8)
Senior Vice President
Vice President
Vice President / Associate General Counsel
UBS Securities LLC
Director
Director, Equities
Executive Director
Senior Vice President
Ulmer Berne LLP
Partner
UNX, Inc.
Managing Director, Brokerage Operations/Product
US Securities & Exchange Commission
Commissioner
Vanguard Brokerage Services
Key Account Sales Executive
Manager
Victory Capital Management
Senior Managing Director
Wachovia Securities, LLC
Assistant Director of Operations
Chief Administrative Officer, Business Services Group
Chief Administrative Officer, First Clearing LLC Correspondent Client Group
Chief Arbitration Counsel
Chief Compliance Officer
Chief Financial Officer, Independent Brokerage Group
Chief Growth & Productivity Officer
Compliance Director, Financial Services & Regulatory Affairs
Compliance Manager - International Group
Director
Director, Affluent Client
Director Fee-Based Communications
Director of Client Strategy Group
Director of Development, Profit Formula, Private Client Group
Director of Internal Controls
Director of On-line Services
Director of Supervision
FSG - Chief Administrative Officer
Managing Director (9)
Managing Director of Human Resources
Managing Director, Client Services
Managing Principal
National Sales Manager, ISG
Regional Director (2)
Regional President (5)
Regional President, Sr. Managing Director
Senior Financial Advisor, Wachovia Securities Financial Network
Senior Managing Director & Regional President (2)
Senior Vice President (12)
Senior Vice President - Branch Manager
Senior Vice President - Controller
Senior Vice President, Chief Regulation Counsel
Senior Vice President, Director of Envision (2)
Senior Vice President, Managing Attorney
Senior Vice President, Platform Program Sales Manager
Senior Vice President, Regional Manager
Senior Vice President/Managing Director
Sr. Vice President, Human Resources, Capital Management Group
Vice President
Vice President - Manager, HR Business Partner Team
Vice President - Regional Relationship Manager
Vice President, Employee Relations
William Blair & Company, L.L.C.
Marketing Manager
Media Relations Manager
Wilmer Cutler Pickering Hale and Dorr LLP
Partner
Wood Asset Management
Managing Director