The 4th Annual Independent Firms Conference will address business, product and regulatory issues facing firms that have an independent advisor distribution channel.  The independent model remains a thriving and dynamic segment of the securities industry.  This program will focus on strategies to build business in an evolving environment, manage during regulatory change, and position your firm for accelerated growth.     

Program Highlights:

  • View from the C-Suite: Challenges in the Independent Model
  • "Broker Dealer of the Future" -  An in-depth discussion of Pershing LLC's recent study of the broker-dealer market within the next three to five years.
  • "Recruiting, Retention, and Broker Satisfaction," featuring the results of National Financial's recent survey on broker sentiment.
  • The Business of Advice: Managing Under an Evolving Regulatory Framework
  • Insights from Financial Advisors and Retail Investor Perspectives
  • Senior Investor Issues: Regulatory Focus and Business Impact
  • Managing Technology in the Independent Firm

 Keynote Speaker:

  • William Dwyer III, Managing Director and President, Independent Advisor Services, LPL Financial Services

Featured Speakers:

  • Luncheon Speaker: Clarence Page, Pulitzer Prize Winning Columnist, Chicago Tribune
  • Karen Tyler
  • Valerie Brown, Executive Vice President, Wealth Management and Retail Annuity Markets, ING
  • Roger C. Ochs, President, H.D. Vest Financial Services
  • Daniel A. Riedl, Chief Operating Officer, Northwestern Mutual Investment Services
  • David Stringer, President, Prospera Financial Services, Inc.

Who should attend?

This program targets CEOs, senior management, and department heads of sales, marketing, business development, operations, training, recruiting, legal and compliance.   This program is ideal for

  • Independent retail networks
  • Insurance affiliated broker-dealers
  • Financial planning firms
  • Firms exploring the independent model
  • Service providers to this market

Click here to register

For further information please contact:

Rob Gannon
rgannon@sifma.org 
212-313-1287

For sponsorship information and opportunities please contact:

Kevin Fox
kfox@sifma.org
212-313-1292

 

 

For further information about registration, please contact:

Tricia Abate
tabate@sifma.org
212-313-1219