October 13-15, 2010

Gaylord National
National Harbor, Maryland
Sponsorship Inquiries

Questions? E-mail:
customerconference@pershing.com
Thursday, October 15
7:30 a.m. Registration Opens

Cyber Space Opens
7:30 a.m. - 9:00 a.m. Breakfast

Interactive Solutions Center Open
9:00 a.m. - 11:00 a.m. General Session

Welcome
Michael Row, Managing Director, Pershing LLC

Opening Remarks
Richard Brueckner, Chairman and Chief Executive Officer, Pershing LLC

Pershing’s Strategy to Support Your Success
Brian Shea, President and Chief Operating Officer, Pershing LLC

NetX360: How Technology Changes the Game
Moderator: Lucille Mayer, Managing Director, Pershing LLC
Michelle Gutierrez, Director, iNautix (USA) LLC
Gary Johnson, Managing Director, Pershing LLC
Cheryl Mills, Director, Pershing LLC

Trent Witthoeft, Director, Pershing Advisor Solutions LLC
11:00 a.m. - 11:20 a.m. Networking Break


Interactive Solutions Center Open
11:20 a.m. - 12:15 p.m. General Session

Capitalizing on Market Trends and Opportunities
James Crowley, Managing Director, Pershing LLC

Creating a Dynamic Advisory Platform
James Roth, Managing Director, Pershing LLC
Mark Tibergien, Chief Executive Officer, Pershing Advisor Solutions LLC


Maximizing Operational Performance
John Colao, Managing Director, Pershing LLC
Lisa Dolly, Managing Director, Pershing LLC

12:15 p.m. - 1:15 p.m. Lunch
  Interactive Solutions Center Open
1:15 p.m. - 2:25 p.m. General Session

Capitalizing on Market Trends and Opportunities
James Crowley, Managing Director, Pershing LLC

Enhancing Client-Facing Opportunities
Maura Creekmore, Director, Pershing LLC
Natalie Wolfsen, Managing Director, Pershing LLC


Addressing Changes in Fixed Income and the Global Markets
Ted Bragg, Managing Director, Pershing LLC
Craig Messinger, Managing Director, Pershing LLC


How Bad Things Sometimes Happen To Good Firms—Lessons Learned
Joan Schwartz, Director, Pershing LLC
Lynn Young, Director, Pershing LLC
2:25 p.m. - 2:45 p.m. Networking Break


Interactive Solutions Center Open
2:45 p.m. - 4:50 p.m. General Session

Future Regulation and Structure of the Industry
Moderator: Richard Brueckner, Chairman and Chief Executive Officer, Pershing LLC
Richard Ketchum, Chairman and Chief Executive Officer, FINRA
Karen McMillan, General Counsel, Investment Comapany Institute
T. Timothy Ryan Jr., President and Chief Executive Officer, SIFMA


SuperFreakonomics
Introduction: John Ward, Managing Director, Pershing LLC
Stephen Dubner, Bestselling Co-Author, Freakonomics and SuperFreakonomics
Steven Levitt, Bestselling Co-Author, Freakonomics and SuperFreakonomics


Closing Remarks
John Ward, Managing Director, Pershing LLC
5:00 p.m. - 7:30 p.m. Reception With Exhibitors
Friday, October 16
8:00 a.m. Registration Opens

Cyber Space Opens
8:00 a.m. - 9:30 a.m. Breakfast With Dr. Nouriel Roubini

Opening Remarks and Introduction
Francis La Salla, Managing Director, Pershing LLC

Perspectives on the Global Economy
Dr. Nouriel Roubini, Professor of Economics, New York University, Stern School of Business and
Chairman, RGE Monitor

9:45 a.m. - 11:30 a.m. Business Segment Discussions
(Attendees select one. Space is limited.)
  1. Bank-Affiliated Broker-Dealers
    Opening Remarks
    Randall Reynolds, Managing Director, Pershing LLC


    Increasing Profitability Within the Next Five Years
    Jack Cramer, President, Cramer and Associates, Inc.

  2. Corporate Registered Investment Advisor
    Opening Remarks
    James Dario, Managing Director, Pershing Advisor LLC


    Embracing a New World: The Broker-Dealer as Fiduciary
    Brian Hamburger, Founder and Managing Director, MarketCounsel

  3. Full Service Broker-Dealers
    Opening Remarks
    David Crow, Director, Pershing LLC


    World Wealth Report 2009: Wealth Management Facing a New Industry Reality
    Ileana van der Linde, Principal, Wealth Management, Capgemini Financial Services

  4. Independent Broker-Dealers
    Opening Remarks
    Greg Nolan, Director, Pershing LLC


    Drivers in Advisor Compensation and Staffing Trends
    Matt McGinness, Principal, Best Practice Research

  5. Prime Brokerage and Institutional Broker-Dealers
    Opening Remarks
    Gina Jurecki, Director, Pershing LLC
    Jeremy Todd, Director, Pershing LLC


    Leveraging the Mini-Prime Services Platform
    Edward Tedeschi, Chairman, HC Associates, LLC

  6. Self-Directed and Online Broker-Dealers
    Opening Remarks
    Brooks Marston, Director, Pershing LLC


    The Online Imperative for Full Service Firms
    Bill Doyle, Vice President and Principal Analyst, Forrester Research
11:30 a.m. Conference Concludes