| SUNDAY, NOVEMBER 5 | |
| 5:00 - 7:00 pm | Registration, Reception, and Dinner |
| 7:00 - 9:00 pm | Program Introduction and Identification of Critical Issues Joseph Ryan, Ph.D. Adjunct Professor The Wharton School |
| Using a group interviewing process, participants develop a long list of critical issues facing the industry and then force rank them by significance and applicability to their current situation. The issues may include mergers, intensity of competition, general management challenges, motivating branch office staff, and building branches to optimum size, to name a few. These issues are then woven into the program and are specifically discussed and assessed in small breakout sessions. | |
| MONDAY, NOVEMBER 6 | |
| 7:00 - 8:30 am | Breakfast |
| 8:30 - 10:00 am | Strategic Management John Paul MacDuffie, Ph.D. Associate Professor, Management The Wharton School |
| This session will focus on core competencies, hyper-competition, globalization and other topics in the field of strategic management. Emphasis is placed on the translation of strategic management ideas into relevant implementation-oriented practices. Participants are provided with the necessary tools to support application within their specific firm. | |
| 10:00 - 10:15 am | Break |
| 10:15 - Noon | The Emotionally Intelligent Branch Manager Hendrie Weisinger, Ph.D. Performance Coaching Specialist and Author |
| This highly interactive session uses real-world examples and practical exercises to help participants' master motivational skills. Participants explore many performance coaching techniques, including; feedback methods, dynamic listening, and team communication, and mentoring, all of which are designed to improve the branch's overall performance. |
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| 12:00 - 1:00 pm | Lunch Guest Speaker: Richard J. Franchella Senior Managing Director, Private Client Group RBC Dain Rauscher |
| 1:00 - 2:30 pm | The Emotionally Intelligent Branch Manager (continued) |
| 2:30 - 2:45 pm | Break |
| 2:45 - 4:30 pm | Leadership: The Dynamics of Taking Charge Joseph Ryan, Ph.D. Adjunct Professor The Wharton School |
| Using case studies, including two that were specifically developed for branch management, the central challenges of leadership are identified, such as motivating key staff, addressing conflicts, initiating change, and instituting succession planning. |
|
| 4:30 - 4:45 pm | Break |
| 4:45 - 5:45 pm | A CEO's Perspective on the Current Environment of the Securities Industry Jim Allen Chairman & CEO J.J.B. Hilliard, W.L. Lyons, Inc. Co-Chairperson, SIA Private Client Services Committee |
| 6:00 - 7:00 pm | Dinner |
| 7:00 - 9:00 pm | Critical Incidents Joseph Ryan, Ph.D. Adjunct Professor The Wharton School |
| Participants get together in small groups to discuss a critical leadership or management incident that happened to each of them in the past year, and how they responded to it. The incident must describe a key turning point or experience that brought new insights to the participants in their role as leader or manager. |
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| TUESDAY, NOVEMBER 7 | |
| 7:45 - 8:45 am | Breakfast |
| 8:45 - 10:15 am | Ethics Thomas Donaldson Director, Wharton Ethics Program The Wharton School |
| Through lecture and group discussion, this session will explore the relationships between the individual professional's responsibility, corporate cultures, and industry values and practices. We will identify the differences inherent in various approaches to professional judgment and conduct (e.g., rule-based versus ethic-based judgments; gender, cultural, and personal values factors; and perspectives of the regulators versus the regulated). Finally, the class will assess the varying processes for establishing priorities commonly used by regulators, firms' principals, and compliance managers. | |
| 10:15 - 10:30 am | Break |
| 10:30 - Noon | Ethics (continued) |
| 12:00 - 1:00 pm | Lunch |
| 1:00 - 2:00 pm | Guest Speaker James E. Hays President, Private Client Group Wachovia Securities, LLC Co-Chairperson, SIA Private Client Services Committee |
| 2:00 - 2:15 pm | Break |
| 2:15 - 4:15 pm | Experiential Branding Eric T. Bradlow Associate Professor of Marketing and Statistics The Wharton School |
| This session deals specifically with marketing and branding at the branch office level, in concert with your firm's overall corporate marketing effort. Participants will learn tactical ways to creatively and efficiently use limited marketing budgets for the best overall return. | |
| 4:15 - 4:30 pm | Break |
| 4:30 - 5:45 pm | Best Practices Group Activity Joseph Ryan, Ph.D. Adjunct Professor The Wharton School |
| Working in small groups, participants identify best operating practices. Groups present their findings in a facilitated, full group session. This session aims to harness the knowledge and resources in the group. |
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| 6:00 - 7:00 pm | Dinner |
| WEDNESDAY, NOVEMBER 8 | |
| 7:00 - 8:00 am | Breakfast |
| 8:00 - 10:00 am | Behaviorial Finance Dr. Keith E. Niedermeier Visiting Assistant Professor of Marketing The Wharton School |
| This session examines how behavioral biases make investors, both individual and institutional, prone to investing mistakes. It covers overconfidence, regret and pride, house money effect, snakebite effect, get-even-itis, overreaction, underreaction, overchoice, home bias and naïve diversification. | |
| 10:00 - 10:30 am | Break |
| 10:30 am - 11:30 pm | Re-Entry Planning Joseph Ryan, Ph.D. Adjunct Professor The Wharton School |
| In this session, participants begin to develop a 100-day leadership action plan based on course learnings. | |
