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THURSday, october 4, 2007 |
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8:00 a.m. – 8:30 a.m. Continental Breakfast Hosted by Broadridge Financial Solutions, Inc. |
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8:30 a.m. – 5:00 p.m. General Session Hosted by Success Metrics, Inc. |
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8:30 a.m. – 8:35 a.m. Welcome |
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Scott B. McCuaig President and COO |
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8:35 a.m. – 8:45 a.m. Opening Remarks |
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James R. Allen Chairman and CEO J.J.B. Hilliard, W.L Lyons,
Inc. Co-Chairperson, SIFMA Private Client Services Committee |
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8:45 a.m. – 9:30 a.m. Keynote Speaker |
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Robert McCann President, Global Wealth Management |
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9:30 a.m. – 10:30 a.m. Performance Related Information: What Do Clients Want? |
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This panel of industry experts will address recent
innovations in account statements and other information provided to clients
that more clearly illuminates the performance related data that
clients are most interested in, and is most needed for clients to make
informed investment decisions. |
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Moderator: |
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Scott B. McCuaig President and COO |
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Panelists: |
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Ronald Fiske Managing Director Product Management and Development |
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Eric A. Jones Vice President, Wealth Management Products |
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George Keith Executive Vice President |
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10:30 a.m. – 10:45 a.m. Refreshment Break Hosted by Horsesmouth |
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10:45 a.m. – Noon Retirement Redefined:
How Will "Boomers" Alter the Retirement Landscape and What
Will Your FAs Need to be Prepared? |
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Funding retirement requires careful and thoughtful planning. Recent studies suggest that many people, including those turning 60 now, are not adequately prepared for their retirement needs. As a result, today's retiree is being redefined. How are your firms positioned to handle the retiree's need for advice - both online and in person? This panel will explore changes that may impact your business model and marketing strategy going forward. How might Boomers seek advice versus previous generations and what services will they expect from you and your firm? |
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Moderator: |
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Steven H. Garrett Vice President and Manager, Private Client Services |
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Panelists: |
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Aimee DeCamillo Managing Director Retirement & Education Solutions |
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Philippe Mauldin Executive Vice President Chief Marketing Officer, Fidelity Retirement Services Company |
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Liz Varley Managing Director Securities Industry and Financial Markets Association |
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Kris Vikmanis Head of Retirement Market |
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Noon – 1:45 p.m. Luncheon Hosted by Dow Jones Newswires |
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How Campaign '08 Could Get Real Crazy, Real Fast |
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Jonathan Alter Senior Editor & Columnist Sponsored by Federated
Investors, Inc. |
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2:00 p.m. – 2:45 p.m. Improving Client Service to Financial Advisors and Investors |
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Mr. Kruszewski will address how financial services firms
that view and service their FAs as "customers" can enhance the
ultimate service that FAs, and the firm, provides to clients. |
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Ronald J. Kruszewski CEO and President |
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2:45 p.m. – 3:45 p.m. Financial Advisor Panel |
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This group of prominent investment professionals will
discuss some of the innovative ways that they service their clients and work
in their communities. They will also address the type of support they receive
that helps them achieve success by providing outstanding client service. |
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Moderator: |
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Craig D. Pfeiffer Executive Vice President |
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Panelists: |
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Peter Chieco Senior Vice President of Wealth Management |
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Robert Fragasso President Fragasso Financial Advisors |
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Susan Haag Financial Advisor |
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Gordon Owens Senior Vice President Private Asset Management |
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George J. Schietinger Director |
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3:45 p.m. – 4:00 p.m. Refreshment Break Hosted by 50 Below |
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4:00 p.m. – 5:00 p.m. In Pursuit of Excellence: Leadership, Determination, and Teamwork |
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Tiki Barber Former NFL Pro Bowl Running Back NBC Broadcaster Sponsored by National
Financial, a Fidelity Investments Company |
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5:00 p.m. – 6:30 p.m. Reception Hosted by
National Financial, a Fidelity
Investments Company |
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FRIday, october 5, 2007 |
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7:45a.m. – 8:20 a.m. Continental Breakfast Hosted by PriceMetrix Inc. |
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8:20 a.m. – 12:15 p.m. General Session |
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8:20a.m. – 8:30 a.m. Welcome and Opening Comments - Day 2 John J. Maurello Managing Director Private Client Group Securities Industry and Financial Markets Association |
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8:30 a.m. – 9:15 a.m. Advice Well-Taken: The Advisory Role in our Profession |
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As Baby Boomers begin to retire, they are increasingly
seeking financial guidance and our industry has responded with progressively
more sophisticated services. With a backdrop of an evolving regulatory
environment, firms and their advisors should embrace their heightened
responsibilities to clients and consider the benefits of adopting a
methodical advisory process. Join
SIFMA Board Member and Raymond James Financial President and COO Chet Helck
as he examines the current issues and the future of advice for our industry. |
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Chet Helck President and Chief Operating Officer |
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9:15 a.m. – 10:00 a.m. Structured Products |
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Structured Products are increasingly being designed for individual investors. This panel of experts, from both the manufacturing and distribution side of these products, will address the types of products that are available and describe how they best fit into an individual investor's asset allocation. |
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Moderator: |
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Richard J. Franchella Senior Managing Director, Private Client Group |
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Panelists: |
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JP Armenio Head of Structured Products Worldwide Global Wealth Management Group |
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Nikki Tippins Managing Director |
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Oscar Loynaz Managing Director, Structured Products |
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Patrick O’Connor Vice President, Wealth Solutions |
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Serge Troyanovsky Director, Equities & Derivatives |
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10:00 a.m. – 10:15 a.m. Refreshment Break Hosted by WealthEngine.com |
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10:15 a.m. – 10:45 a.m. Growing Challenges and Opportunities in the Securities Industry: Why SIFMA is Needed Now More Than Ever |
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Given the explosive growth in demand for investment advice, the comprehensive investment needs of baby boomers, and the overall breadth of financial opportunities, our industry must be aggressive and tap its enormous, collective talent to address these demands. Bill Dwyer will discuss many of the challenges on the horizon, such as: providing access to outstanding financial advice to the growing number of investors of various economic means, attracting sufficient talent to overcome a predicted shortfall of financial advisors, and coordinating with the regulators to ensure that the inevitable changing regulatory structure is thorough, efficient, and fair. |
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William Dwyer President, Independent Advisor Services |
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10:45 a.m. – Noon Marketing Panel |
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As marketing channels and strategies increasingly multiply, our challenge of getting clear messages out to the many constituencies we service grows harder and harder. Marketing and communicating to both our investment professionals and to our clients must be continually updated and, oftentimes, reinvented. This panel of experts will address these dynamic marketing issues and take your questions on these or other relevant topics of interest. |
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Moderator: |
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Caroline O’Connell Managing Director, Head of Marketing,
Communications, and Business Planning |
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Panelists: |
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Sandra Metraux Executive Vice President, Marketing National Financial, a Fidelity Investments Company |
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Elizabeth Pasciucco Managing Director Chief Marketing Officer |
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Paula Pullano Managing Director Head of Marketing & Communications |
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Kim M. Sharan Executive Vice President and Chief Marketing Officer |
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Noon – 12:15 p.m. Closing Remarks |
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Steven H. Garrett Vice President and Manager, Private Client Services Co-Chairperson, SIFMA Private Client Services Committee |
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12:15 p.m. Adjourn |
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SIFMA would like to thank the following additional
sponsors for supporting the 2007 Sales & Marketing Conference: Jonathan Alter's book, The
Defining Moment, provided by Federated Investors, Inc. Hotel Room Key Cards compliments of Pershing LLC Lanyards compliments of Pershing LLC Attendee’s Notebooks compliments of First Clearing Correspondent
Services Audio/Visual compliments of
Siegel & Gale Photography Services compliments of LEE Training LLC Tote Bags compliments of The Davidsohn Group Wall Street Journal compliments of Dow Jones Newswires |
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Private Client Services Committee The Sales & Marketing Conference is sponsored by SIFMA’s Private Client Services Committee. We gratefully acknowledge the Committee’s dedication in support of this conference. |
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James R. Allen (Co-Chair), J.J.B. Hilliard, W.L. Lyons, Inc., Louisville Steven H. Garrett (Co-Chair), A.G. Edwards & Sons, Inc., St. Louis Scott B. McCuaig (Conference Chair), Stifel, Nicolaus, & Co., Inc., St. Louis Richard W. Boyd, Federated Investors, Pittsburgh Brett A. Campbell, Edward Jones, St. Louis James Chapman, RBC Dain Rauscher Corp., Chicago Bryan Cram, Scott & Stringfellow, Inc., Richmond William Dwyer, LPL Financial Services, Boston Richard J. Franchella, RBC Dain Rauscher Corp., New York V. Thomas Hale, Crowell, Weedon & Co., Inc., Los Angeles Jack R. Handy, Financial Network/ING, El Segundo Dave Herbert, Charles Schwab & Co., New York Andy Ireland, HSBC Securities (USA) Inc., New York Russell A. Labrasca, Wells Fargo Private Client Services, Plano Jerry Lombard, Janney Montgomery Scott LLC, Philadelphia Stephen MacClellan, JP Morgan Chase, Chicago Thomas M. McDonald, Thomas McDonald Partners LLC, Financial Advisors, Cleveland Carlette McMullan, William Blair & Co., LLC, Chicago Gerald L. Meyer, D.A. Davidson & Co., Great Falls, MT Richard Mills, BMO Nesbitt Burns Inc., Toronto Gary Neuser, Credit Suisse Securities (USA) LLC, New York J. Todd Newton, Sterne Agee, Birmingham Caroline O’Connell, Pershing LLC, Jersey City James Parrish, Morgan Keegan & Company, Inc., Memphis Elizabeth Pasciucco, Morgan Stanley, Purchase, NY Craig D. Pfeiffer, Smith Barney, New York Paula Pullano, UBS, Weehawken, NJ Peter Quinn, Davenport & Co., LLC, Richmond Paul Saitta, Herbert J. Sims & Co., Southport, CT Steven Samuels, Merrill Lynch & Co., Inc., Plainsboro, NJ Michael Schroeder, Robert W. Baird & Co., Inc., Milwaukee Kim Sharan, Ameriprise Financial, Inc., New York Jacqueline Shoback, Fidelity Investments, Smithfield, RI Eric Siber, J.B. Hanauer & Co., Parsippany, NJ Gerald H. Tankersley, Consultant, Palm Beach Donald Tyler, Northwestern Mutual, Milwaukee Michael White, Raymond James Financial, St. Petersburg Christopher M. Zelesnick, Sr., H&R Block Financial Advisors, Inc., Yardley, PA SIFMA Staff Advisor: John J. Maurello |
