Overview

SIFMA Private Client Virtual Conference

Post-Pandemic Lessons: A New Paradigm

SIFMA’s 2021 Private Client Conference brought together corporate leaders, business managers, and financial advisors who shared the many lessons learned during the pandemic, with an emphasis on new and innovative services and techniques that can be leveraged for the future.

Key topics included:

  • Diversity, Equity & Inclusion
  • Technologies Enhancing Today’s Client Experience
  • COVID-19 Lessons Learned
  • The Future of Branch Offices

Watch On Demand

This virtual event is available to view on demand through June 28, 2021.

If you registered for this virtual event before 8:00 a.m. ET May 26, 2021, click here to watch now.

New registrant? Please register below; you will receive access instructions within three business days.

Questions? Contact SIFMA Conferences Department.

Featured Speakers

Post-Pandemic Lessons: A New Paradigm

Private Client Virtual Conference 2021

Date

May 26 - May 27, 2021

Location

On Demand

Registration Rates – Until 6/28/21

  • Member $199
  • Non-Member $299
  • Regulator $49

Overview

SIFMA Private Client Virtual Conference

Post-Pandemic Lessons: A New Paradigm

SIFMA’s 2021 Private Client Conference brought together corporate leaders, business managers, and financial advisors who shared the many lessons learned during the pandemic, with an emphasis on new and innovative services and techniques that can be leveraged for the future.

Key topics included:

  • Diversity, Equity & Inclusion
  • Technologies Enhancing Today’s Client Experience
  • COVID-19 Lessons Learned
  • The Future of Branch Offices

Watch On Demand

This virtual event is available to view on demand through June 28, 2021.

If you registered for this virtual event before 8:00 a.m. ET May 26, 2021, click here to watch now.

New registrant? Please register below; you will receive access instructions within three business days.

Questions? Contact SIFMA Conferences Department.

Featured Speakers

Program

11:20am – 11:35am

In this talk, Hearsay's leaders will discuss three essential challenges facing financial services today - the emergence of crowd-sourcing as a method for financial decision-making, and artfully mixing human and…

In this talk, Hearsay’s leaders will discuss three essential challenges facing financial services today – the emergence of crowd-sourcing as a method for financial decision-making, and artfully mixing human and digital touchpoints to deliver a cohesive and delightful customer experience. We’ll reveal how best-in-class leaders are addressing these challenges across social media, texting, and other digital channels, and we’ll share the key takeaways and lessons learned from their responses.

Participants

Leslie Leach, Mike Boese

Speakers

Leslie Leach

Vice President of Marketing

Hearsay Systems

Leslie Leach’s Biography

Mike Boese

Chief Executive Officer

Hearsay Systems

Mike Boese’s Biography

11:40am – 11:55am

With a $68 trillion generational wealth transfer occurring, properly engaging millennials is crucial for firms to remain competitive and attractive as this demographic ages into significant financial milestones. However, millennials…

With a $68 trillion generational wealth transfer occurring, properly engaging millennials is crucial for firms to remain competitive and attractive as this demographic ages into significant financial milestones. However, millennials are quite different from generations before them. They pioneer new trends and advocate for noble causes, yet that cultural proactivity is starkly contrasted by a general lack of financial literacy and at times, an aversion to investing. Dow Jones commissioned research to take a closer look at how the financial landscape this demographic grew up in has impacted and shaped their approach to investing and will share insights from that research in this session, Rewriting the Narrative.

Participants

Eva Rohrmann

Speaker

Eva Rohrmann

Eva Rohrmann Marketing Director | News & Insights

Dow Jones & Co.

Eva Rohrmann’s Biography

12:00pm – 12:10pm

Participants

John Maurello

Speaker

John Maurello

Managing Director, Private Client Services

SIFMA

John Maurello’s Biography

12:10pm – 12:30pm

Participants

Andrew M. Sieg

12:35pm – 1:15pm

What will technology platforms look like to enhance PWM and FA interaction with Clients?

What will technology platforms look like to enhance PWM and FA interaction with Clients?

Participants

Ryan Robson, Carmen Gary, Paresh Mutha, Kabir Sethi, Charles Smith, Ryan Whitaker

Moderator

Ryan Robson

Principal, Head of Digital Products

Edward Jones

Ryan Robson’s Biography

Panelists

Carmen Gary

Senior Vice President, Chief of Staff

D.A. Davidson

Carmen Gary’s Biography

Paresh Mutha

Managing Director, Head of Digital Product Development

Wells Fargo Advisors

Paresh Mutha’s Biography

Kabir Sethi

Managing Director, Head of Digital Wealth Management

Merrill Lynch Wealth Management

Kabir Sethi’s Biography

Charles Smith

Global Head of Digital Solutions

Refinitiv

Charles Smith’s Biography

Ryan Whitaker

Vice President, Digital Rep Solutions

Charles Schwab

Ryan Whitaker’s Biography

1:20pm – 1:40pm

Participants

Lisa Kidd Hunt

Speaker

Lisa Kidd Hunt

Executive Vice President, International Services

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’s Biography

1:40pm – 1:55pm

Break

1:55pm – 2:40pm

What did FAs learn during the pandemic that can be applied going forward to enhance service and accelerate growth?

What did FAs learn during the pandemic that can be applied going forward to enhance service and accelerate growth?

Participants

Steven M. Samuels, Kapil Mathur, Brad McRae, Angie Newman, Aleeza M. Singh, Nolan Woodruff Stokes

Moderator

Steven M. Samuels

Managing Director, Head of Advisor Recognition and Field Engagement

Merrill Lynch Wealth Management

Steven M. Samuels’s Biography

Panelists

Kapil Mathur

Managing Director

Morgan Stanley

Kapil Mathur’s Biography

Brad McRae

Regional Leader, General Partner

Edward Jones

Brad McRae’s Biography

Angie Newman

Senior Vice President, Portfolio Manager

UBS

Angie Newman’s Biography

Aleeza M. Singh

Senior Financial Advisor

Merrill Lynch Wealth Management

Aleeza M. Singh’s Biography

Nolan Woodruff Stokes

Wealth Management Advisor

Northwestern Mutual

Nolan Woodruff Stokes’s Biography

2:45pm – 3:05pm

Participants

Kenneth E. Bentsen, Jr., Paul Reilly

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speaker

Paul Reilly

Chief Executive Officer

Raymond James Financial

Paul Reilly’s Biography

11:45am – 12:00pm

Wealth management firms experienced a milestone year in 2020. Challenged for years to prove their value in an environment of fee and margin compression, many quickly identified the unique opportunity…

Wealth management firms experienced a milestone year in 2020. Challenged for years to prove their value in an environment of fee and margin compression, many quickly identified the unique opportunity to improve relationships with their clients. Surprisingly, according to our recent report, advisory clients – who by definition have a collaborative relationship with their financial providers – may often be no more loyal than self-directed investors. How can this be addressed? Wealth advisory clients would benefit from an always improving platform experience, with enhanced access to data and digital capabilities.

We will discuss:
• How COVID-19 and accelerated digital transformation has impacted client-advisor relationships and the need for investment advice
• Opportunities and expectations around the insights and value advisory clients seek to receive from wealth firms.

Participants

Christopher Sparke

Speaker

Christopher Sparke

Head of Advisory Solutions

Refinitiv

Christopher Sparke’s Biography

12:00pm – 12:05pm

Participants

John Maurello

Speaker

John Maurello

Managing Director, Private Client Services

SIFMA

John Maurello’s Biography

12:05pm – 12:25pm

Participants

Jason Chandler, Barry Hurewitz

Speakers

Jason Chandler

Group Managing Director, Head, Wealth Management USA

UBS

Jason Chandler’s Biography

Barry Hurewitz

Group Managing Director – Global Head of Evidence Lab Innovations and Advanced Analytics Solutions

UBS

Barry Hurewitz’s Biography

12:25pm – 1:10pm

This panel of Private Wealth Management business leaders will discuss their approaches, challenges, and successes with addressing the myriad of issues in the diversity, equity. and inclusion space, such as…

This panel of Private Wealth Management business leaders will discuss their approaches, challenges, and successes with addressing the myriad of issues in the diversity, equity. and inclusion space, such as recruitment and mentoring of diverse financial advisors, expanding recruitment sources to achieve diversity, inclusion in the work environment, onramps for the return of individuals who have taken time away from the profession, and enhancing the quality of financial advice given to clients of differing backgrounds and financial goals.

Participants

Jennifer Povlitz, Lindsay Hans, David Lynch

Moderator

Jennifer Povlitz

Division Director

UBS

Jennifer Povlitz’s Biography

Panelists

Lindsay Hans

Managing Director, Division Executive, Mid Atlantic Division

Merrill Lynch Wealth Management

Lindsay Hans’s Biography

David Lynch

Head of Distribution Leader Enablement

Fidelity

David Lynch’s Biography

1:10pm – 1:20pm

Break

1:20pm – 1:40pm

Sandra McKeever, CEO/President and owner of a small broker-dealer firm shares her story about the lessons learned going through the pandemic, lockdowns, and other uncertainties. Some areas she will touch…

Sandra McKeever, CEO/President and owner of a small broker-dealer firm shares her story about the lessons learned going through the pandemic, lockdowns, and other uncertainties. Some areas she will touch on are the critical role of planning with your clients and planning for your practice; and the importance of consistently upgrading and implementing technology to streamline client interaction and gain a deeper understanding of your business.

Participants

Sandra McKeever

1:40pm – 2:00pm

Participants

Kenneth E. Bentsen, Jr., Vincent J. Lumia

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speaker

Vincent J. Lumia

Managing Director, Head of Field Management

Morgan Stanley

Vincent J. Lumia’s Biography

2:00pm – 2:15pm

Break

2:15pm – 3:00pm

What will the future Branch Office look like given lessons learned during the pandemic related both to FA and Client behavior, and to recent leaps forward in technology and connectivity?

What will the future Branch Office look like given lessons learned during the pandemic related both to FA and Client behavior, and to recent leaps forward in technology and connectivity?

Participants

Paul C. Santucci, Tash Elwyn, Linda Erickson, Michael J. Schroeder, John Towey, Caitlin Ulmer-Long

Moderator

Paul C. Santucci

Managing Director and Head of Business Development for Wealth Management USA

UBS

Paul C. Santucci’s Biography

Panelists

Tash Elwyn

President and CEO, Private Client Group

Raymond James & Associates, Inc.

Tash Elwyn’s Biography

Linda Erickson

Head of Investor Center Infrastructure for Personal Investing

Fidelity Investments

Linda Erickson’s Biography

Michael J. Schroeder

Managing Director President - Baird Private Wealth Management, Board of Directors

Baird

Michael J. Schroeder’s Biography

John Towey

Managing Director

Merrill Lynch

John Towey’s Biography

Caitlin Ulmer-Long

Senior Vice President, Director of Private Client Group Administration

Janney

Caitlin Ulmer-Long’s Biography

3:00pm – 3:20pm

With a new Administration, a new Congress, and new heads of the Department of Labor and the SEC, among other agencies, the coming year brings a lot of potential legislative…

With a new Administration, a new Congress, and new heads of the Department of Labor and the SEC, among other agencies, the coming year brings a lot of potential legislative and regulatory activity.  Ranging from potential independent contractor changes to tax and retirement law, as well as investment advice and fiduciary, Lisa Bleier and Mark Schuermann will walk you through the potential issues that could affect Private Wealth Management and investors.

Participants

Lisa Bleier, Mark Schuermann

Speakers

Lisa Bleier

Managing Director and Associate General Counsel, Federal Government Relations

SIFMA

Lisa Bleier’s Biography

Mark Schuermann

Managing Director and Head of Federal Government and International Affairs

SIFMA

Mark Schuermann’s Biography

Venue

On Demand


On Demand , Watch Replay

Picture of venue

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390

Media Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official Webinar Press Policy.

Webinar Tips & FAQs

For an optimal virtual experience, we recommend attendees view this virtual event using a Chrome browser on a local machine. Avoid using a VPN or Remote Network (ie: Citrix).

You must have Javascript and Cookies enabled to access the event. For detailed information, including minimum system requirements and FAQs, view more Webinar Tips.

Please note: Access instructions will be sent within 24 hours of the start of this half-day virtual event.

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.

Cancellations
All cancellation requests are subject to a $25 processing fee and must be made in writing to SIFMA Conferences no later than 48 hours prior to the start of this virtual event. No substitutions or transfers will be accepted.