Overview

41st Annual

Private Client Conference

Date

April 10 - April 12, 2019

Location

Naples, FL

Early Bird Rates – Until 3/8/19

  • Member $1195
  • Non-Member $1695
  • Regulator $695

Overview

SIFMA’s Private Client Conference brings together leaders from across private wealth management to examine the most topical issues facing the business. Register at the early bird rate and participate in discussions on April 10-12 focusing on financial advice amidst rapidly changing technology, regulations, and investor demographics.

Join leaders at #SIFMApcc including:

More speaker and program announcements coming soon.

Program

6:00pm – 8:00pm

Registration Desk Hours
Networking Reception

7:15am – 8:00am

Networking Breakfast

7:15am – 2:00pm

Stay tuned for more speaker and program announcements coming soon

Stay tuned for more speaker and program announcements coming soon

8:00am – 8:05am

Participants

John Maurello

Speaker

John Maurello

Managing Director, Private Client Services

SIFMA

John Maurello’s Biography

8:05am – 8:20am

Participants

James R. Allen

Speaker

James R. Allen

Chairman and CEO

Hilliard Lyons

James R. Allen’s Biography

8:20am – 9:00am

Participants

Kenneth E. Bentsen, Jr., Ken Cella, Joseph E. Sweeney

Speakers

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Ken Cella

Principal, Client Strategies Group

Edward Jones

Ken Cella’s Biography

Joseph E. Sweeney

President, Advice & Wealth Management, Products and Service Delivery

Ameriprise Financial, Inc.

Joseph E. Sweeney’s Biography

9:00am – 9:20am

Participants

Andrew M. Sieg

9:20am – 9:40am

Sponsored by Talisys 

Sponsored by Talisys 

9:40am – 10:15am

Participants

Steven M. Samuels

Moderator

Steven M. Samuels

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

Merrill Lynch Wealth Management

Steven M. Samuels’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

Panel

11:15am – 11:45am

Participants

Clara Shih

Speaker

Clara Shih

CEO and Founder

Hearsay Systems

Clara Shih’s Biography

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.

Participants

Susan del Percio

Speaker

Susan del Percio

Political commentator and expert on strategic communications

Susan del Percio’s Biography

1:15pm – 2:00pm

Participants

Kevin Carroll, Susan F. Axelrod, David A. 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

Susan F. Axelrod’s Biography

David A. Forman

Chief Legal Officer

Fidelity Brokerage Services

David A. 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

Networking Reception

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

Featured Speaker

8:10am – 8:50am

Participants

Paul C. Santucci

Moderator

Paul C. Santucci

Managing Director, Head of Field Development & Productivity for Wealth Management USA

UBS

Paul C. Santucci’s Biography

8:50am – 9:10am

Participants

Tash Elwyn

Speaker

Tash Elwyn

President and CEO, Private Client Group

Raymond James & Associates, Inc.

Tash Elwyn’s Biography

9:10am – 9:30am

Networking Break

9:30am – 9:50am

Featured Speaker: Broadridge Financial Solutions

9:50am – 10:30am

Technology Panel

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

Sandy Bolton, Jaime Magyera, Pete Thatch

Panelists

Sandy Bolton

Managing Director, Head of Managed Investments, Investment Solutions Group

Bank of America Merrill Lynch

Sandy Bolton’s Biography

Jaime Magyera

Managing Director, Head of National Accounts – Wealth Business

BlackRock

Jaime Magyera’s Biography

Pete Thatch

Senior 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, Dave 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

Venue

The Ritz-Carlton Golf Resort Naples

2600 Tiburon Drive
Naples, FL 34109

Country club sophistication and old-world charm intermingle in the casual, yet elegant setting of The Ritz-Carlton Golf Resort, Naples. As one of the finest luxury golf resorts in Florida, The Ritz-Carlton Golf Resort, Naples features two stunning PGA-level golf courses, which host two major professional golf tournaments annually.

Picture of venue

Hotel Accommodations

SIFMA has reserved a block of rooms at the Ritz-Carlton Golf Resort. Rates will start at $309 per night and are quoted exclusive of applicable room tax, applicable service/hotel-specific fees or other miscellaneous taxes.

Please make your booking through the following link: https://book.passkey.com/event/49794677/owner/49699364/home.

Please note that the group rates are good through March 15th, but rooms are limited and only available on a first-come, first-served basis–they may sell out early! Once the block is sold out, the hotel’s market price applies regardless of the date booking. Make sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390

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. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Substitutions
Conference registration substitutions are welcome. Email [email protected] 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.