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wednesday, october 10, 2007 |
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1:00 p.m. – 2:00 p.m. |
Registration |
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2:00 p.m. – 3:15 p.m. |
General Session Hosted by First Southwest Company |
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Welcome and Opening Remarks |
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William R. Pictor President Chairman, Small Firms Committee |
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Keynote Address |
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Rodney C. Zeeb, CWC Co-Founder, CEO and President |
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As the Boomers shift from asset accumulation to income distribution, financial services firms that are best positioned to serve the retirement, wealth transfer, and legacy needs of this generation will have a huge advantage over the competition. Smaller firms, by nature of their deep client and community relationships, are right in the mix. Rod Zeeb will share a tested approach that will help you identify client core vales, deepen client relationships, preserve wealth, and build business with Boomers and their heirs. |
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3:15 p.m. – 3:30 p.m. |
Refreshment Break Hosted by First Southwest Company |
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3:30 p.m. – 5:00 p.m. |
General Session Hosted by First Southwest Company |
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Small Firm CEO Panel |
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Moderator: E. John Moloney President and Chief Executive Officer Moloney Securities Company, Inc. Panelists: John L. Kauth III CEO and Co-Founder Intercontinental Asset Management Group Thomas M. McDonald President & CEO Thomas McDonald Partners, LLC. Bruce W. Nollenberger President and Chief Executive Officer |
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What are the key opportunities, challenges and trends impacting today's smaller firm? These industry leaders will share their perspectives on the current small firm environment, their strategic vision for their businesses, and how their firms are positioned for continued success. |
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5:00 p.m. – 7:00 p.m. |
Opening Reception (Dinner on Own) Hosted by National Financial |
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Thursday, October 11, 2007 |
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8:30 a.m. – 9:00 a.m. |
Continental Breakfast Hosted by BNP
Paribas Securities Services |
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9:00 a.m. – 10:15 a.m. |
Concurrent Sessions |
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Leveraging Relationships into Quality Referral Sources |
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Robert C. David Director of Advisor Programs |
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Eighty-five percent of advisors identify referrals as
their primary business-building strategy, yet most are unhappy with their
current referral methods. This session will demonstrate how to
instill discipline in your referral strategy to deliver perfect prospects
every time. Conquering referral anxiety, identifying the ideal client,
building effective networks in your community, and following through to juice
up results will be addressed. |
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Hedge Funds and Private Equity: What You and Your Clients Need to Know |
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C. Scott Akers, Jr. Principal The Hedge Fund dataBank, LLC Register & Akers Investments, Inc. Dwayne K. Calton President |
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Your client just called you wanting to know more about alternative investments. Do you know enough about these products to advise them? Should hedge funds or private equity be added to this client’s portfolio? If so, which product should you select, and why? This session will address important questions that a financial advisor should ask in order to select the right alternative investment product. Tips on due diligence, suitability, compliance, outsourcing, and qualified investor standards round out this session. |
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Client-Focused Estate Planning |
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Matthew A. Bovino Partner James F. Kelly, Esq. |
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Effective estate planning goes beyond understanding minimum distribution rules for beneficiaries, the impact of tax changes on trusts, or the role of second-to-die life insurance policies. Estate planning should also encompass planning for key life events, such as remarriage, or the diagnosis of a serious physical of or mental illness. This session will address these and other critical issues that will help you anticipate and avoid your client’s estate planning problems rather than simply solve them. |
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Recruiting and Retention Roundtable |
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Discussion Leaders: Mario Bernardi Senior Vice President Tarah Mattia Carlow Vice President, Director of Marketing and New Business Development |
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This roundtable will address successful recruiting ideas and retention strategies. The benefits of advisor teams, the economics of recruiting and retention, filling the advisor pipeline to replace retiring producers, and training new recruits will be discussed. Please come prepared to share your ideas. |
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10:15 a.m. – 10:45 a.m. |
Refreshments with Exhibitors |
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10:45 a.m. – 12:00 p.m. |
Concurrent Sessions |
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Leveraging Relationships into Quality Referral Sources (Repeated) |
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Hedge Funds and Private Equity: What You and Your Clients Need to Know (Repeated) |
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Client-Focused Estate Planning (Repeated) |
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Marketing Strategies Roundtable |
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Discussion Leader: Michael Pontikos Marketing Manager |
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This interactive exchange of marketing ideas could cover your costs of attending many times over. Advertising, special events, seminars, brochures and other tactics will be addressed. Come prepared to share and learn what works (and what doesn't) with your peers. |
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12:00 p.m. – 2:00 p.m. |
Buffet Lunch with Exhibitors Hosted by Penson Financial Services |
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2:15 p.m. – 3:30 p.m. |
Concurrent Sessions |
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ABCs of ETFs |
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Don Aven Executive Vice President/Partner Richard M. Koerner, CIMA National Sales Director, US Intermediary Business Group |
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The volume and variety of exchange traded funds have exploded onto the marketplace. But the proliferation of choices has daunting implications for investors and advisors alike. What are the pros and cons of ETFs? What role do they play in portfolio diversity and asset allocation? This session will help you understand the benefits and risks, sort through the hype, and be better prepared to serve your clients. |
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Implementing an Effective Charitable Giving Plan |
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Moderator: Michael Ingraham Vice President, Sales and Marketing Panelists: Ken Strmiska Managing Director of Community
Foundation Services
John Vaughan, Esq. Vice President, Managing Director, Alternative Investments Group |
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Philanthropic planning is a burgeoning specialty within the financial services sector. Charitable remainder trusts and donor advised funds are popular strategies that can help create a legacy for the philanthropic client. Key factors to consider include client intentions, portfolio diversification, and access to local community foundations. This session will examine how advisors can help clients manage assets and realize their legacy goals. |
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An Integrated Approach to Elder Care Issues |
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Mary Koffend President Mick Koffend Director of Services |
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An elder's financial, emotional and medical realities require a comprehensive strategy that goes beyond investment advice. This session will explore key issues that financial advisors can't ignore when dealing with seniors, including navigating the Social Security benefits maze, understanding healthcare insurance options, coping with dementia, addressing the concerns of children, and identifying critical services to help ensure a high quality of life. |
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Strategic Planning Roundtable |
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Discussion Leader: Stewart A. Lee Chairman and Chief Executive Officer |
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No firm is too small to plan. In this challenging environment it is critical that you know where you are headed and how you plan to get there. This interactive session will investigate the success stories, myths and roadblocks of the strategic planning process for smaller firms. |
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3:45 p.m. – 5:00 p.m. |
Concurrent Sessions |
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ABCs of ETFs (Repeated) |
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Implementing an Effective Charitable Giving Plan (Repeated) |
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An Integrated Approach to Elder Care Issues (Repeated) |
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Family Office Services Roundtable |
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Discussion Leader: Lisa Gray Managing Partner, President and CEO |
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A successful family office is measured by more than assets under management. Family office services can range from investment management and tax services to mediating conflicts, mentoring younger family members, and concierge services. This roundtable discussion led by Lisa Gray, author of "The New Family Office," will explore diagnostic tools to help discover family goals, family governance issues, understanding generational perspectives, “virtual family office”, and developing strategic relationships. |
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5:00 p.m. – 7:00 p.m. |
Reception with Exhibitors (Dinner on Own) Hosted by Ridge Clearing |
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Friday, October 12, 2007 |
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8:00 a.m. – 8:30 a.m. |
Continental Breakfast |
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8:30 a.m. – 11:00 a.m. |
Closing General Session |
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Fee Based Accounts: Where Do We Stand? |
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Moderator: Michael Udoff Managing Director and Associate General Counsel Securities Industry and Financial Markets Association Panelists: P. Georgia Bullitt Partner Jeffrey A. Martinovich CEO and Chairman of the Board |
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The D.C. Circuit Court of Appeals ruling on the issue of fee-based brokerage has affected one million investors, with nearly $300 billion in assets. With the court’s mandate stayed until October 1, financial advisors and firms seek guidance to help transition these accounts to an alternative platform and make sense of a new regulatory regime. This session will address the latest developments in the fee-based environment. |
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Beyond the Financial Plan: A Holistic Approach to Wealth Management and Client Service |
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Moderator/Panelist: Michael S. Burnham, Jr. Co-Founder Panelists: Anne Aldrich Partner James Buro President Wall Street Speaking |
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Financial planning is not what it used to be. People are living (and working) longer, redefining retirement, and exploring non-traditional asset management strategies. Success will come to those financial advisors who see beyond the financial plan and provide a higher level of service that meets changing client attitudes and expectations. Our program concludes with a multi-disciplined exploration of these opportunities, challenges and issues. |
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11:00 a.m. |
Adjournment |
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SIFMA would like to thank the following additional
sponsors for supporting the 2007 Small Firms Conference: Exhibit Guide compliments of First Clearing Hotel Room Key Cards compliments of Ridge Clearing Lanyards compliments of ADP Clearing & Outsourcing Attendee’s Notebooks compliments of Southwest Securities Inc. Tote Bags compliments of The Davidsohn Group Wall Street Journal compliments of Dow Jones Newswires |
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