Overview

SIFMA’s Private Client Conference brings together leaders from across private wealth management to examine the most topical issues facing the business. This comprehensive program focuses on financial advice amidst rapidly changing technology, regulations, and investor demographics.

Watch Livestream Replays from 2019

Watch replays of the livestream from SIFMA’s 2019 Private Client Conference:

  • Hearing from Emerging Leaders | Featuring Ameriprise, Merrill Lynch, Raymond James and UBS
  • Financial Advisors – Helping Investors Achieve their Financial Goals | Featuring Baird, Edward Jones, Merrill Lynch, Morgan Stanley and Raymond James

42nd Annual

Private Client Conference

Date

May 13 - May 15, 2020

Location

Miami, FL

Overview

SIFMA’s Private Client Conference brings together leaders from across private wealth management to examine the most topical issues facing the business. This comprehensive program focuses on financial advice amidst rapidly changing technology, regulations, and investor demographics.

Watch Livestream Replays from 2019

Watch replays of the livestream from SIFMA’s 2019 Private Client Conference:

Program

8:50am – 9:10am

Participants

Andrew M. Sieg

9:10am – 9:30am

Sponsored by Talisys 

Sponsored by Talisys 

9:30am – 10:15am

Helping financial advisors succeed is critical to enhancing client service and relationships, and reducing FA turnover, recruitment. and retention costs. This panel of highly experienced regional and complex managers will…

Helping financial advisors succeed is critical to enhancing client service and relationships, and reducing FA turnover, recruitment. and retention costs. This panel of highly experienced regional and complex managers will discuss how inspired leadership can help advisors build their careers.  The discussion will include operating and growth strategies, formal business and marketing plans, coaching, teaming,  specialization, and leveraging highest-value activities.

Participants

Paul C. Santucci, Kenneth Correa, Chris Fils, Dylana Hopler, Deborah L. Shepherd

Moderator

Paul C. Santucci

Managing Director and Head of Business Development for Wealth Management USA

UBS

Paul C. Santucci’s Biography

Panelists

Kenneth Correa

Executive Director, Market Head, Metropolitan Market

UBS

Kenneth Correa’s Biography

Deborah L. Shepherd

Managing Director, Market Executive

Merrill Lynch Wealth Management

Deborah L. Shepherd’s Biography

10:15am – 10:35am

Participants

Shelley S. O’Connor

Speaker

Shelley S. O’Connor

Co-Head of Wealth Management

Morgan Stanley

Shelley S. O’Connor’s Biography

10:35am – 11:15am

The next 10 years are key to transforming the industry, but how can the change required, be delivered? Panel will tackle different angles on the gender diversity conversation. Hear innovative…

The next 10 years are key to transforming the industry, but how can the change required, be delivered? Panel will tackle different angles on the gender diversity conversation. Hear innovative strategies that are pushing diversity to the top of the agenda and learn what is disrupting the industry. You’ll leave with practical tips to make the next step towards real progression.

Participants

Tracy Eichler, Jen Auerbach, Kristin Johnson, Jodi Perry, Joe Vietri

Moderator

Tracy Eichler

Managing Director, Private Client Services

SIFMA

Tracy Eichler’s Biography

Panelists

Jen Auerbach

Director, Head of Strategic Growth Markets, Global Wealth & Investment Management

Merrill Lynch Wealth Management

Jen Auerbach’s Biography

Kristin Johnson

Principal - BOA Talent Acquisition & Performance

Edward Jones

Kristin Johnson’s Biography

Jodi Perry

President, Independent Contractor Division

Raymond James Financial Services

Jodi Perry’s Biography

Joe Vietri

Senior Vice President, Branch Network

Charles Schwab & Co., Inc.

Joe Vietri’s Biography

11:15am – 11:45am

Advisors are under more pressure than ever to be tech-savvy, and expectations around digital engagement are at an all-time high. Investors expect communications to be real-time and personalized. Is it…

Advisors are under more pressure than ever to be tech-savvy, and expectations around digital engagement are at an all-time high. Investors expect communications to be real-time and personalized. Is it possible to balance quick and compliant? What about creating a seamless experience for both customers and advisors as they navigate between online and offline channels of communication? Join Chris Andrew to learn more about creating digital advisor success while transforming your client experience.

Participants

Christopher Andrew

Speaker

11:45am – 1:15pm

Veteran political consultant and MSNBC Political Analyst, Susan Del Percio will deliver the luncheon keynote address. As we get closer to the 2020 presidential election, we look forward to Susan’s timely insights into…

Veteran political consultant and MSNBC Political Analyst, Susan Del Percio will deliver the luncheon keynote address. As we get closer to the 2020 presidential election, we look forward to Susan’s timely insights into the U.S. political environment and the biggest challenges that may lie ahead.

 

Luncheon Speaker Sponsored by Dow Jones & Company, Inc. 

Participants

Susan Del Percio

Speaker

Susan Del Percio

Political commentator and expert on strategic communications

Susan Del Percio’s Biography

1:15pm – 2:00pm

Industry and regulatory experts discuss current legislative and regulatory activities facing private client groups today, including: The proliferation of best interest / fiduciary standards Migration from brokerage to advisory accounts

Industry and regulatory experts discuss current legislative and regulatory activities facing private client groups today, including:

  • The proliferation of best interest / fiduciary standards
  • Migration from brokerage to advisory accounts

Participants

Kevin Carroll, Susan F. Axelrod, David Forman, Michael Rufino, Anne Tennant

Moderator

Kevin Carroll

Managing Director and Associate General Counsel

SIFMA

Kevin Carroll’s Biography

Panelists

Susan F. Axelrod

Chief Supervisory Officer

Merrill Lynch Wealth Management

Susan F. Axelrod’s Biography

David Forman

Senior Vice President & Deputy General Counsel

Fidelity Investments

Chief Legal Officer

Fidelity Brokerage Services

David Forman’s Biography

Michael Rufino

Executive Vice President, Head of Member Regulation - Sales Practice

FINRA

Michael Rufino’s Biography

Anne Tennant

Managing Director & General Counsel

Morgan Stanley Wealth Management

Anne Tennant’s Biography

6:00pm – 8:00pm

Sponsored by Hearsay Systems 

Sponsored by Hearsay Systems 

7:00am – 7:45am

Networking Breakfast

7:00am – 12:00pm

Registration Desk Hours

7:45am – 7:50am

Participants

John Maurello

Speaker

John Maurello

Managing Director, Private Client Services

SIFMA

John Maurello’s Biography

7:50am – 8:10am

Participants

Tash Elwyn

Speaker

Tash Elwyn

President and CEO, Private Client Group

Raymond James & Associates, Inc.

Tash Elwyn’s Biography

8:10am – 8:50am

Financial Advisors provide important services to investors to help them attain their financial goals. FAs regularly help their clients financially navigate "life events," such as birth, marriage, college funding, divorce,…

Financial Advisors provide important services to investors to help them attain their financial goals. FAs regularly help their clients financially navigate “life events,” such as birth, marriage, college funding, divorce, job transition, and aging. Each life event is a vital time in an investor’s life, and the FA/Client relationship is crucial for investors to reach optimal financial decisions. This panel of experienced FAs from across the country will provide their insight on how they best serve their clients’ interests and help them achieve desired results.

Participants

Steven M. Samuels, Kelly O. Crisp, Corina L. Davis, David Klenke, Laura Steckler, Meron Yemane

Moderator

Steven M. Samuels

Managing Director, Head of FA Programs, Recognition and Strategy Integration

Merrill Lynch Wealth Management

Steven M. Samuels’s Biography

Panelists

Kelly O. Crisp

Financial Advisor

Edward Jones Investments

Kelly O. Crisp’s Biography

Corina L. Davis

Senior Vice President, Wealth Management Advisor, Portfolio Manager

Merrill Lynch Wealth Management

Corina L. Davis’s Biography

David Klenke

Director

Baird

David Klenke’s Biography

Laura Steckler

Team Lead and Wealth Manager

Raymond James & Associates, Inc.

Laura Steckler’s Biography

Meron Yemane

Associate Vice President, Family Wealth Advisor

Morgan Stanley Wealth Management - Rockville Bridge Group

Meron Yemane’s Biography

8:50am – 9:10am

Participants

Evamarie Schoenborn

Speaker

Evamarie Schoenborn

President

Northwestern Mutual Investment Services, LLC

Vice President, Investment Products & Services

Northwestern Mutual

Evamarie Schoenborn’s Biography

9:10am – 9:30am

Sponsored by Appway Inc.

Sponsored by Appway Inc.

9:30am – 9:50am

Participants

Chris Perry

Speaker

Chris Perry

President, Global Sales, Marketing and Solutions

Broadridge Financial Solutions

Chris Perry’s Biography

9:50am – 10:30am

Our panel of technology experts will address the landscape of technology initiatives that are impacting private wealth management, including artificial intelligence, robo, and cyber security, with an eye towards best…

Our panel of technology experts will address the landscape of technology initiatives that are impacting private wealth management, including artificial intelligence, robo, and cyber security, with an eye towards best ways to leverage this new technology to enhance financial advice to investors.

Participants

Kevin Alm, Rob Klapprodt, Dan Nadir, Kabir Sethi

Moderator

Kevin Alm

Principal - Client Strategies Group – Solutions

Edward Jones

Kevin Alm’s Biography

Panelists

Rob Klapprodt

Corporate Strategy Officer

Vestmark, Inc.

Rob Klapprodt’s Biography

Dan Nadir

Vice President of Digital Risk and Compliance

Proofpoint, Inc.

Dan Nadir’s Biography

Kabir Sethi

Managing Director, Head of Digital Wealth Management

Merrill Lynch Wealth Management

Kabir Sethi’s Biography

10:30am – 11:15am

As the face of the individual investor evolves, so too does the opportunity to create investment advice tailored to their diverse needs across a variety of life stages. How can…

As the face of the individual investor evolves, so too does the opportunity to create investment advice tailored to their diverse needs across a variety of life stages. How can private wealth managers and asset managers partner to create a new generation of customized investment solutions?

Participants

Jaime Magyera, Sandy Bolton, Eric Koestner, Pete Thatch

Moderator

Jaime Magyera

Managing Director, Head of National Accounts – Wealth Business

BlackRock

Jaime Magyera’s Biography

Panelists

Sandy Bolton

Managing Director, Head of Managed Investments, Investment Solutions Group

Bank of America Merrill Lynch

Sandy Bolton’s Biography

Eric Koestner

Principal, Packaged Products

Edward Jones

Eric Koestner’s Biography

Pete Thatch

Senior Strategic Relationship Manager

Capital Group

Pete Thatch’s Biography

11:15am – 12:00pm

A discussion of the newest trends in the industry from an emphasis on increasing auto-plan features to how firms utilize the digital marketspace. New regulations in place to protect seniors…

  • A discussion of the newest trends in the industry from an emphasis on increasing auto-plan features to how firms utilize the digital marketspace.
  • New regulations in place to protect seniors from financial exploitation, and what more is being done
  • Retirement legislation has a chance for 2019 – hear the latest

Participants

Lisa Bleier, Laura A. Grogan O’Mara, Jason P. Kelly, David H. Koshgarian

Moderator

Lisa Bleier

Managing Director and Associate General Counsel, Federal Government Relations

SIFMA

Lisa Bleier’s Biography

Panelists

Laura A. Grogan O’Mara

Director - Retirement Policy Planning and Strategy, Retirement & Personal Wealth Solutions

Bank of America Merrill Lynch

Laura A. Grogan O’Mara’s Biography

Jason P. Kelly

Associate General Counsel

Edward Jones

Jason P. Kelly’s Biography

Venue

JW Marriott Miami Turnberry

19999 W Country Club Dr
Aventura, Florida 33180

This venue features a 300-acre tropical oasis nestled in the heart of Aventura. Offering 36 holes of championship golf, award-winning dining experiences and more, it provides contemporary elegance, South Florida style.

Picture of venue

Media

Media Inquiries
Contact Evan Grogan at 212.313.1134

Media Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official press policy.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Substitutions
Conference registration substitutions are welcome. Email SIFMA Conferences with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.