The Honorable Hillary Rodham Clinton. Former Secretary of State and Former U.S. Senator from New York. Hillary Rodham Clinton served as the 67th U.S. Secretary of State from 2009 until 2013, after nearly four decades in public service. Her "smart power" approach to foreign policy repositioned American diplomacy and development for the 21st century. Ms. Clinton played a central role in restoring America's standing in the world, reasserting the United States as a Pacific power, imposing crippling sanctions on Iran and North Korea, responding to the Arab Awakening and negotiating a ceasefire in the Middle East. Earlier, as First Lady and Senator from New York, she traveled to more than 80 countries as a champion of human rights, democracy, and opportunities for women and girls. Ms. Clinton also worked to provide health care to millions of children, create jobs and opportunity, and support first responders who risked their lives at Ground Zero. In her historic campaign for President, Clinton won 18 million votes.
James Crowley is the Chief Relationship Officer and a Managing Director for Pershing LLC, a BNY Mellon company. Mr. Crowley is also a member of Pershing’s Executive Committee and the Operating Committee at BNY Mellon. As the Chief Relationship Officer, he provides senior leadership to all of Pershing’s relationship management teams, and to the delivery of all other BNY Mellon services to Pershing’s customers. He also oversees Pershing’s U.S. broker-dealer business including relationship, account management and customer service. Mr. Crowley has completed the Securities Industry Institute® (SII) program at the Wharton School sponsored by the Securities Industry and Financial Markets Association (SIFMA). He has served on the SII Board of Trustees since 1998 and is a past Chair (2007-2009). Mr. Crowley has also served as Chair of BNY Mellon’s Blood Drive Program (2008-2009). During his tenure, BNY Mellon became the number one donator among all financial services institutions with The New Jersey Blood Services. Mr. Crowley earned a Bachelor of Science degree in Management from Florida State University.
Ron DeCicco is the Chief Executive Officer for Pershing LLC, a BNY Mellon company, providing leadership for the Pershing global family of companies. Mr. DeCicco is the chair of Pershing’s Executive Committee and a member of BNY Mellon’s Operating Committee. Mr. DeCicco was most recently the Chief Operating Officer of the firm, sharing leadership responsibility for all Pershing affiliates. Previously, Mr. DeCicco was the Chief Administrative Officer, with leadership responsibility for Operational Risk Management, Facilities, Global Security, People Services and Tax and Depository Balances. He also had administrative responsibility for Internal Audit, Legal and Compliance. Mr. DeCicco joined Pershing in 1971 in the Customer Service Department, worked in various roles and ultimately assumed leadership responsibility such as serving as head of Global Operations, Account Management, Customer Service and Customer Training. He is the former chair of Pershing’s Technology Prioritization Committee. Mr. DeCicco has served as a member of the Financial Industry Regulatory Authority, Inc. (FINRA) Operations Advisory Committee, which provides guidance and insight on securities industry operational trends and their potential impact on controls and regulation. The committee also provides input on the potential effect proposed FINRA rules may have on the industry and the barriers and costs to implementation. Mr. DeCicco earned a Bachelor of Arts degree in Accounting from Iona College, and has also completed the Securities Industry Institute® program, sponsored by the Securities Industry and Financial Markets Association (SIFMA), at the Wharton School of the University of Pennsylvania.
Lisa Dolly is the Chief Operating Officer for Pershing LLC, a BNY Mellon company. Ms. Dolly shares leadership responsibility with the Chief Executive Officer for all Pershing affiliates globally and is a member of Pershing’s Executive Committee. Prior to her current role, Ms. Dolly was responsible for the firm’s Managed Investment business and Lockwood Advisors, Inc., delivering market leading investment management solutions to customers. Ms. Dolly also works with other business lines at BNY Mellon in her oversight of enterprise-critical initiatives and is a member of the BNY Mellon Operating Committee. Ms. Dolly has worked with Pershing customers for more than 15 years, building relationships and providing business solutions. She began her career in the firm’s Corporate Training Program, which offers training and exposure to all aspects of the firm’s businesses. Ms. Dolly has managed the Account Management, Customer Service and Customer Training groups and Global Operations. She has also served as Chief Administrative Officer with leadership responsibility for Legal, Compliance, Internal Audit, Facilities, Global Security, People Services, Operational Risk and Control, Tax Reporting and Depository Balancing and the Quality Management Office. Ms. Dolly is a member of several industry committees, including the Depository Trust and Clearing Corporation (DTCC) Wealth Management Advisory Board, the DTCC Alternative Investment Platform Steering Committee and is vice-chairperson of the Securities Industry and Financial Markets Association (SIFMA) Operations and Technology Steering Committee. Ms. Dolly is also a trustee of the board of the CUSIP Agency within the American Bankers Association and has served as chair of Pershing’s Technology Prioritization Committee. She is currently the executive sponsor of Pershing’s Women’s Initiative Network. Ms. Dolly earned a Bachelor of Arts degree in Economics from Rutgers University and completed the Securities Industry Institute® program, sponsored by SIFMA, at the Wharton School of the University of Pennsylvania.
Julie Hyman is the Senior Markets Correspondent for Bloomberg Television, based in New York City. Ms. Hyman previously served as a morning markets editor for Bloomberg Television, covering breaking news and stock trends as well as reporting live from the New York Stock Exchange, the NASDAQ MarketSite and Chicago Board of Trade. She has also served as a print journalist for Bloomberg News, based in Paris, where she covered European stock markets. Earlier in her career, Ms. Hyman wrote for The Washington Times, reporting on local and national business stories.
Walter Isaacson is the President and Chief Executive Officer of the Aspen Institute, a nonpartisan educational and policy studies institute based in Washington, D.C. He has been the chairman and CEO of CNN and the editor of TIME magazine. He is the author of Steve Jobs (2011), Einstein: His Life and Universe (2007), Benjamin Franklin: An American Life (2003), and Kissinger: A Biography (1992), and co-author of The Wise Men: Six Friends and the World They Made (1986). Sony Pictures optioned the book rights for Steve Jobs and legendary, Oscar-winning screenwriter Aaron Sorkin has been tapped to adapt the book for the big screen. Mr. Isaacson began his career at The Sunday Times of London and then The New Orleans Times-Picayune/States-Item. He joined TIME in 1978 and served as a political correspondent, national editor and editor of new media before becoming the magazine’s 14th editor in 1996. He became chairman and CEO of CNN in 2001, and then president and CEO of the Aspen Institute in 2003.
He is the chairman of the board of Teach for America, which recruits recent college graduates to teach in underserved communities. He was appointed by President Barack Obama and confirmed by the Senate to serve as the chairman of the Broadcasting Board of Governors, which oversees Voice of America, Radio Free Europe, and other international broadcasts of the United States. He is vice-chair of Partners for a New Beginning, a public-private group tasked with forging ties between the United States and the Muslim world. He is on the board of United Airlines, Tulane University and the Overseers of Harvard University. In 2012, TIME named Isaacson as one of the "100 Most Influential People in the World." Mr. Isaacson is a graduate of Harvard College and of Pembroke College of Oxford University, where he was a Rhodes Scholar.
Denver Broncos quarterback Peyton Manning has earned his place among the NFL’s greatest quarterbacks. Mr. Manning entered the NFL in 1998, joining the Indianapolis Colts as the first overall draft pick. He is the only player in NFL history to be named MVP four times and has been selected to 12 Pro Bowls, while being named to the Associated Press NFL All-Pro First Team five times. Mr. Manning considers his most important accomplishments to be those he has achieved off the field. In 1999, he established The PeyBack Foundation to promote the future success of disadvantaged youth by assisting established programs that provide leadership and growth opportunities for children at risk. The PeyBack Foundation has since established the PeyBack Award which is presented to a current or former athlete involved in professional football who exhibits character, integrity, honor and who has given back to the game and society.
Mr. Manning has a longstanding relationship with St. Vincent’s Hospital in Indianapolis which renamed its children’s hospital to “Peyton Manning Children’s Hospital at St. Vincent.” He has demonstrated his commitment to children by establishing the “True Heroes” program, which provides monthly events and parties for pediatric patients and has also served as a spokesperson for various child health and safety initiatives. In recognition of his outstanding charitable contributions, Mr. Manning has received numerous awards including the Henry P. Iba Citizen Athlete Award, USA Weekend’s Most Caring Athlete Award, and the Bryon “Whizzer” White Humanitarian Award. He was also named the 2005 Walter Payton Man of the Year by the NFL. During his tenure at the University of Tennessee, Mr. Manning was a three-time Academic All-America honoree.
Danny Meyer is the Chief Executive Officer of the Union Square Hospitality Group (USHG), which includes Union Square Cafe, Gramercy Tavern, Eleven Madison Park, Tabla, Blue Smoke, Jazz Standard, Shake Shack, and The Modern, Cafe 2, Terrace 5 at the newly renovated Museum of Modern Art, and Hudson Yards Catering.
In 1985, Mr. Meyer launched Union Square Cafe, and in 1994, Mr. Meyer opened Gramercy Tavern with chef/partner Tom Colicchio. In late 1998, Mr. Meyer welcomed guests to yet two more restaurants, Eleven Madison Park and Tabla. With the opening of these restaurants, Mr. Meyer also officially formed Union Square Hospitality Group. In 2002, Union Square Hospitality Group opened Blue Smoke and Jazz Standard, offering New York mouthwatering real pit barbecue and world class live jazz. In 2004, USHG launched “Shake Shack,” a food kiosk in Madison Square Park, serving Chicago-style hot dogs, burgers, frozen custard, wine and beer. On a larger scale, USHG was honored to be selected by the Museum of Modern Art to create and operate the dining facilities at the newly renovated and expanded MoMA. USHG's most recent project includes the launch of a new off-premise, fine dining catering business called Hudson Yards Cater¬ing (HYC). Hudson Yards Catering intends to bring a fresh culinary and hospitality point-of-view to the catering field.
An active national leader in the fight against hunger, Mr. Meyer has long served on the boards of Share Our Strength and City Harvest. He is equally active in civic affairs, serving as Co-Chair of the Union Square Partnership and on the executive committees of NYC & Co and the Madison Square Park Conservancy. Mr. Meyer is active as a public speaker and educator, and has been a presenter at Food & Wine's Aspen Classic, Saveur's Texas Hill Country Festival, Culinary Institute of America, Cornell University, National Restaurant Association, and others. He has also been featured in countless TV, radio and print media. Mr. Meyer has been profiled by People Magazine, Town & Country, Gourmet, CNN and CBS Sunday Morning.
Mr. Meyer and his restaurants and chefs have earned an unprecedented 24 James Beard Awards, including: the first-ever Outstanding Restaurateur, Outstanding Restaurant of the Year; Best Chef; Outstanding Service; Outstanding Wine Service, Humanitarian of the Year; Who's Who of Food & Beverage; and Best Restaurant Graphic Design.
Mr. Meyer co-authored the Union Square Cafe Cookbook with his partner, Chef Michael Romano. The book earned the IACP Julia Child Award for the best new cookbook by a first-time author and was followed up with the highly acclaimed Second Helpings from Union Square Cafe. He also wrote the New York Times' best-selling Setting the Table, which examines the power of hospitality in restaurants, business, and life. In 2009, Meyer's restaurants released a cocktail cookbook, Mix Shake Stir.
Robert Reynolds is President and Chief Executive Officer of Putnam Investments, a member of Putnam Investments' Executive Board of Director, and President of the Putnam Funds. He has more than 30 years of investment and financial services experience. Prior to joining Putnam in 2008, he was vice chairman and chief operating officer of Fidelity Investments. Mr. Reynolds was named Fund Leader of the Year at the Mutual Fund Industry Awards in 2010, in recognition of a series of strategic changes he has implemented to improve investment performance and position Putnam as an industry leader. Over more than 20 years, Mr. Reynolds has been an architect of the modern retirement industry by popularizing employer-sponsored 401(k) plans.
In 2005, Mr. Reynolds received a Lifetime Achievement Award from PLANSPONSOR magazine for his contributions to the retirement services industry. Under his leadership, Putnam was named the inaugural recipient of the Retirement Leader of the Year award at the 18th Annual Mutual Fund Industry Awards in 2011 for its initiatives and innovative solutions in the workplace savings arena. Mr. Reynolds currently serves on several not-for-profit boards, including those of West Virginia University Foundation, Concord Museum, Dana-Farber Cancer Institute and the Initiative for a Competitive Inner City in Boston. He is a member of the Chief Executives Club of Boston, the National Innovation Initiative, and the Council on Competitiveness, and he is a former president of the Commercial Club of Boston. Among many awards and recognitions, Mr. Reynolds received an Honorary Doctorate in Business Administration from West Virginia University, and a President's Medal of Excellence from Boston College. He earned a Bachelor of Science in Business Administration and Finance from West Virginia University.
Eric Schwartz is the Founder, Chairman and Chief Executive Officer of Cambridge Investment Research, Inc. Mr. Schwartz has helped Cambridge become one of the fastest growing broker-dealers in the industry through his commitment to providing the highest level of flexible, open architecture fee and commission platforms to independent financial planners and investment advisors. Mr. Schwartz was a member of the founding board of directors of the Financial Services Institute (FSI) and served as 2009 FSI Chairman of the Board. In May 2010, he was honored by Investment Advisor as one of the 30 most influential people in the business over the past 30 years.
Brian Shea is Chairman of Pershing LLC, a BNY Mellon company. Mr. Shea also serves in a number of key leadership roles at BNY Mellon, including as the President of Investment Services and Head of Client Service Delivery and Client Technology Solutions. He leads the Broker-Dealer and Advisor Services Group, which includes Pershing, Broker-Dealer Services global clearance, U.S. tri-party services, and BNY Mellon Clearing (global derivatives clearing). Mr. Shea is a member of Pershing’s Executive Committee and BNY Mellon’s Executive Committee. Mr. Shea serves on the Board of Directors of the Depository Trust & Clearing Corporation and on the Board of Directors of Insured Retirement Institute. He has previously served on the Board of Governors of the National Association of Securities Dealers (NASD, which is now the Financial Industry Regulatory Authority, Inc.), the NASD Dispute Resolution Board, as chairman of the National Adjudicatory Council of the NASD, and as chairman of the NASD Membership Committee. He has also served on the NASD Variable Annuity Utility Task Force, the NASD Mutual Fund Breakpoint Task Force, the NASD Mutual Fund Omnibus Processing Task Force, the NASD Member Admission Review Committee, and the NASD District 10 (New York) Committee. Mr. Shea also served as chairman of the Securities Industry Association Membership Committee (SIA, which is now the Securities Industry and Financial Markets Association or SIFMA), and served on the SIA New York District Committee. He is a two-time recipient of the chairman’s award for distinguished service to the SIA. Mr. Shea serves on the Board of Trustees of St. John’s University, and on the Board of St. John’s University’s Institute for Catholic Schools. He is also a member of the Board of the Tomorrow’s Hope Foundation, chairman of the Bishop’s Advisory Committee for Catholic Education in the diocese of Rockville Centre and serves on the Archdiocese of New York Archbishop’s Committee for Charity. After earning a Bachelor of Science degree in Business Management from St. John’s University, he went on to earn a Master of Business Administration degree in Finance from Pace University. He has also completed the Securities Industry Institute® program, sponsored by SIFMA, at the Wharton School of the University of Pennsylvania.
Mark Tibergien is Chief Executive Officer of Pershing Advisor Solutions LLC, a BNY Mellon company. Pershing Advisor Solutions is one of the country’s leading custodians for registered investment advisors and family offices. Mr. Tibergien is also a Managing Director of Pershing, a BNY Mellon company, and a member of Pershing’s Executive Committee and BNY Mellon’s Operating Committee. Mr. Tibergien joined Pershing in 2007. Prior to joining Pershing, Mr. Tibergien was a principal at the accounting and consulting firm, Moss Adams LLP, where he was partner-in-charge of the Business Consulting group, chairman of the Financial Services Industry group and partner-in-charge of the Business Valuation group. Previously, he was president of a nationally recognized bank and business training and consulting firm, a principal in an investment management and business valuation firm, a writer for a financial trade magazine and a general assignment newspaper and radio reporter. Mr. Tibergien has been working with public and private companies on matters related to business management, transition planning and strategy formulation since 1976. He has worked closely with hundreds of independent registered investment advisors, broker-dealers, investment managers, insurance companies and other financial services organizations in the United States, Australia, Europe, the Middle East and Canada. For eight consecutive years, Accounting Today recognized Mr. Tibergien as one of the “100 Most Influential” people in the accounting profession. In 2012, Investment Advisor magazine recognized him for the tenth consecutive year as one of the “25 Most Influential” people in the financial services industry and InvestmentNews named him to their list of “The Power 20.” He is the author of three books published by Bloomberg Press, Practice Made Perfect, How to Value, Buy or Sell a Financial Advisory Practice and Practice Made (More) Perfect. He has also been a regular columnist for Investment Advisor magazine on management issues since 2005.
- Gilbert Addeo
- Kristin Andree
- Robin Anderson
- Joseph Baricevac
- Kevin Beard
- Jeff Benfield
- Donald Bennyhoff
- John Berglowe
- Neil Berman
- Eric Bondar
- Tonia Bottoms
- Jon Breyfogle
- Ricardo Brunstein
- Rich Calvario
- J. Charles Cardona
- Sarah Carter
- James Cato
- Jyoti Chopra
- Eric Christophersen
- Robert Cirrotti
- Bradford Couri
- Darrin Courtney
- Maura Creekmore
- David Daglio
- Tom Daley
- Regina DeGennaro
- Kim Guimond Dellarocca
- John Derrick
- Mindy Diamond
- Neil DiCicco
- Andrew Dreaneen
- Justin Fay
- Philip Filleul
- Eric Fine
- William Gannon
- Gabriel Garcia
- Herb Green
- Joel Greenblatt
- Samer Habl
- Paul Hatfield
- Scott Henderson
- Paul Herber
- Jon Herstein
- Stephen Hillebrecht
- Ben Indek
- Ryan Issakainen
- Steven Josephson
- Suzanne Joshi
- Audrey Kaplan
- Chip Kispert
- Todd Ladda
- Evan LaHuta
- Francis La Salla
- David Leduc
- Jamie Lewin
- Lisa Lewin
- Robert Lewis
- David Loeper
- Michelle Logue
- Marvin Loh
- Ken Louie
- Benjamin Ludwig
- Jeremy Major
- Antonio Miranda
- David Mazza
- Kyle McDaniel
- Michael McLaughlin
- Neil Menard
- Sandy Motusesky
- Bradley Moore
- Brendan Murray
- Nancy Newcome
- Ramaswamy Nagappan
- Tom Nelson
- Caroline O’Connell
- Phil Ordway
- Philip Orlando
- James Pass
- Derek Penn
- Shirl Penney
- Solon Person
- David Polak
- Ethan Powell
- Wael H. Rashidi
- Jeffrey Reemer
- Fred Reish
- Paul Reisz
- Michael Roberts
- Dominik Rohe
- Todd Rosenbluth
- Michael Row
- Alan Roycroft
- Joan Schwartz
- Thomas Selman
- Andrew Sidman
- Dheeraj Soni
- James Spiegelhoff
- Jamie Spruyt
- Aaron Steinberg
- Katie Swain
- Gerald Tamburro
- David Tateosian
- Brian Tietje
- Thomas Tobin
- Nicholas Ventura
- Adam Verchinski
- Timothy Walsh
- John Watts
- Margaret Weaver
- Jason White
- Kevin White
- John Wren
- Patrick Yip
- Lynn Young
- Joseph Zidle
Director, Pershing LLC, a BNY Mellon company
Gilbert Addeo is a Director and Relationship Manager for Pershing LLC, a BNY Mellon company, in the Global Customers group. In this role, Mr. Addeo is the manager of the Latin American and Caribbean Relationship Management team. He is a member of Pershing’s Credit Committee, as well as of various industry committees. Mr. Addeo brings more than 18 years of financial services experience to Pershing. Prior to joining Pershing in 2007, Mr. Addeo was a managing director at Bear Stearns Securities Corporation, where he managed the sales and relationship management teams for the Broker-Dealer Clearing and Registered Investment Advisor Services groups. Mr. Addeo earned a Bachelor of Science degree in Business Administration from Temple University.
President, Andree Media & Consulting
After a successful career as both a producer and a Managing Director in the financial services industry, Kristin Andree has put her expertise to work helping individuals and corporations on a broader scale. With expertise in business strategy, marketing, client loyalty, social media, team development, succession planning, staffing and office operations, and leadership development, Ms. Andree and her team at Andree Media and Consulting focus their work on implementing effective strategies to help clients take their businesses to the next level. Ms. Andree holds her CLU and CLTC designations, is Series 6, 7, 26 and 63 registered and holds her life and health insurance licenses. She is a certified trainer and a master certified coach. Ms. Andree is also the social media columnist for Investment News magazine and author of the book Don’t Make Me Pull This Car Over: a Roadmap for the Working Mom.
Economist, Multi-Asset Advisors
Robin Anderson is an Economist for Multi-Asset Advisors, an investment boutique of Principal Global Investors. She also works with the Economic Committee and the Chief Global Economist, Bob Baur, on weekly commentaries and macroeconomic strategy. Ms. Anderson joined the firm in 2011. Prior to her current role, she served as an Economist at the U.S. Census Bureau. She received a Ph.D. in Economics from University of Washington and a Bachelor degree in Economics from University of North Carolina at Chapel Hill.
Assistant Vice President, Pershing LLC, a BNY Mellon company
Joseph Baricevac is an Assistant Vice President for Pershing LLC, a BNY Mellon company, where he works on the Managed Investments Product Team. His current responsibilities include product and business development support for relationship teams, management of client rollouts, demonstration of platform capabilities and contributing to enterprise product initiatives. Mr. Baricevac joined Pershing in 2008 as a member of the Corporate Training Program. Prior to joining the Product Team, he focused on strategic projects designed to enhance customer experience. Mr. Baricevac earned a Bachelor of Science Degree in Business from Drexel University.
Senior Vice President, Royal Alliance
Kevin Beard is Senior Vice President, Recruiting for New York-based Royal Alliance Associates. Royal Alliance is one of four independent broker-dealers comprising the Advisor Group network. While each broker-dealer maintains a unique culture and brand, each leverages and amplifies the strength of the network to provide its advisors the flexibility, autonomy and support they need to build the practice they want. Prior to joining Royal, Mr. Beard served as director at Rehmann Group, responsible for recruiting and acquisition of wealth management firms, as well as developing strategies on the distribution of platforms within other CPA firms and broker-dealers. Previously, He also has been with Innovative Advanced Resources LLC of San Diego, Pacific Select Group of Newport Beach, VESTAX Securities, ING Advisors Network, National City Bank and Merrill Lynch.
Vice President, Albridge, an affiliate of Pershing LLC, a BNY Mellon company
Jeff Benfield is a Vice President and Product Manager for Albridge, an affiliate of Pershing LLC, a BNY Mellon company. Mr. Benfield is responsible for Albridge’s File Delivery, Albridge product strategy and project idea execution. He is also responsible for assisting with client onboarding, training, adoption and use of the Albridge Wealth Reporting application. Prior to joining Albridge in 2009, Mr. Benfield was a financial consultant at Karr-Barth Associates, a division of AXA Advisors. Mr. Benfield is a member of the Financial Planning Association, the National Association of Insurance and Financial Advisors, and the National Association of Personal Financial Advisors. Mr. Benfield has a Bachelor of Science degree in Marketing from Lehigh University, a Certificate in Financial Planning from Wake Forest University and a Master of Business Administration degree in Finance from Texas A & M University.
Senior Investment Analyst, Vanguard Investment Strategy Group
Donald Bennyhoff is a senior investment analyst who joined Vanguard in 1998. He is a member of the group responsible for capital markets research and the asset allocations used in Vanguard’s fund-of-funds solutions, such as the Target Retirement Funds. His group also maintains and enhances the investment methodology used for advice-based relationships with high-net-worth and institutional clients. In addition, Mr. Bennyhoff has authored a number of research papers for institutional and ultra-high-net-worth audiences. He earned a Bachelor degree from Furman University, has been in the financial services industry since 1991 and is a CFA charter holder.
Assistant Vice President, Pershing LLC, a BNY Mellon company
John Berglowe is Assistant Vice President for Pershing LLC, a BNY Mellon company, where he is a product manager on the Technology Product Management and Analysis team. In this role, he is responsible for the development, enhancement and overall strategy for a suite of relationship building and portfolio tools provided through the NetX360® and NetXClient platforms. Prior to joining Pershing, Mr. Berglowe was senior product manager at Raymond James where he developed similar resources to support advisor branding and communication activities. Mr. Berglowe received his Master of Business Administration after completing his undergraduate work at The University of Tampa.
Chief Financial Officer, Claren Road Asset Management
Neil Berman is the Chief Financial Officer of Claren Road Asset Management. He is based in New York. Prior to joining Claren Road in 2008, Mr. Berman was a principal at Banc of America Securities from 2006 to 2008 where he managed the Equity Derivative Middle Office. Before Banc of America, Mr. Berman worked at DKR Varick where he managed the Accounting and Operations of a startup structured credit hedge fund in 2005 and 2006. Prior to DKR Varick, Mr. Berman managed the Credit Derivative Middle Office as a director at BNP Paribas from 2001 through 2005. Before BNP Paribas, he spent five years at Sanwa Financial Products eventually serving as its controller. Mr. Berman has also worked for Ernst & Young as a senior auditor from 1992 through 1996. Mr. Berman received an MBA from Columbia Business School in 2002 and a BA in accounting from George Washington University in 1992. He has also been a Certified Public Accountant in New Jersey since 1995. He has previously held Series 7, 27 and 63 licenses with FINRA, which are currently inactive.
Assistant Vice President, Pershing LLC, a BNY Mellon company
Eric Bondar is an Assistant Vice President and Product Manager for Pershing LLC, a BNY Mellon company, in the Technology Product Management group. He is responsible for technology strategy for mobile platforms, product development, customer engagement, implementation and rollout for NetX360®, a technology platform for advisors, as well as NetXClient, a technology platform for investors. Prior to joining the Technology Product Management group, Mr. Bondar began his career in the firm’s Corporate Training Program, gaining exposure to all of Pershing's business units as well as a big-picture perspective of the firm’s strategies, operations and industry knowledge. Mr. Bondar earned a Bachelor of Engineering degree in Computer Engineering and a Master of Engineering degree in Systems Engineering from Stevens Institute of Technology.
Principal, Groom Law Group
Jon Breyfogle joined Groom Law Group in 1992 and is the leader of Groom’s Health and Welfare Practice Group. He served as the firm’s executive principal from 2006–2011. His practice includes counseling plan sponsors, financial institutions and health insurers on compliance with ERISA’s fiduciary rules and federal and state laws regulating health plans. Mr. Breyfogle regularly advises individual employers, coalitions and trade associations on pending legislative and regulatory matters. Before joining the firm, Mr. Breyfogle enjoyed a diverse career in government, serving in political and civil service positions at the Department of Labor, Pension Benefit Guaranty Corporation and Office of Management and Budget.
Vice President, BNY Mellon Asset Management International
Ricardo Brunstein is Vice President, Senior Bank Associate and Offshore Relationship Manager for BNY Mellon Asset Management International (Dreyfus, MBSC Securities Corporation). Since joining the firm in 2001, he has focused on offshore investments and distribution. He is a senior relationship manager with responsibility for sales, and is also a product specialist and international operations liaison in asset management products and distribution. Prior to relocating to the United States in 1998, Mr. Brunstein was a practicing attorney in both the public and private sector in Venezuela. He received the Summa Cum Laude Award with his Law Degree (Universidad Católica Andrés Bello, Caracas, 1993) and is currently completing the Certificate in Portfolio Management at New York University’s School of Continuing and Professional Studies. Ricardo holds Series 7, 66 and 24 FINRA Licenses and is well regarded in the offshore distribution sector in North America.
Vice President, Pershing LLC, a BNY Mellon company
Rich Calvario is a Vice President at Pershing LLC, a BNY Mellon Company, where he is the Senior Solutions Manager for 529 Plans and FundVest, Pershing’s no-transaction-fee mutual fund platform. In this role, he is responsible for the development, management and expansion of Pershing’s 529 Plan Brokerage Platform and FundVest. Under Mr. Calvario’s leadership, Pershing has become the first brokerage clearing and custody firm to handle 529 plans in a brokerage environment and FundVest has grown to over 5,000 participating funds. Prior to joining Pershing in April 2010, he was a 529 Plan product manager at TIAA-CREF where he spent 11 years working on its 529 Plan business. Mr. Calvario graduated from Fordham University Graduate School of Business with a Master of Business Administration in Finance and from SUNY Albany with a degree in Economics.
J. Charles Cardona, Jr.
Chief Executive Officer, BNY Mellon Cash Investment Strategies
President, The Dreyfus Corporation
Charlie Cardona is the Chief Executive Officer of BNY Mellon Cash Investment Strategies (“CIS”) and President of The Dreyfus Corporation. He oversees various short duration fixed income activities including investment management, distribution and client service. CIS, a division of The Dreyfus Corporation, is responsible for the growth and maintenance of approximately $250 billion in client assets under management including collective funds, offshore liquidity funds and money market funds distributed under the Dreyfus brand. Prior to assuming these roles, Mr. Cardona served as a vice chairman of The Dreyfus Corporation and president of the Institutional Services Division of Dreyfus’ broker-dealer subsidiary. He joined the Institutional Services Division in 1985 with management responsibility for all institutional operations and client service units. Prior to joining the Institutional Services Division, he served as assistant director of Sales and Services in the Dreyfus Retail Division, which he joined in 1981. Before joining The Dreyfus Corporation, he spent three years as an account manager with Bradford Trust Co., providing syndicate credit for municipal bond underwritings. Mr. Cardona is a member of BNY Mellon’s Operating Committee and the BNY Mellon Asset Management Executive Committee. He also is on the Board of Directors of The Dreyfus Corporation, MBSC Securities Corporation, and the BNY Mellon Liquidity Funds. He is a graduate of Manhattan College with a Bachelor degree in Business Administration.
General Manager, Social Business, Actiance
Graduating from Sheffield Hallam University with a degree in Business with specialization in Marketing, Sarah Carter’s career began with IBM and then a software developer in Vancouver, Canada. Returning to the U.K., Ms. Carter joined Harrier Group plc, one of the UK’s leading security and storage integrators and ultimately lead both the sales and marketing teams of both divisions. As a board member, Ms. Carter was an integral member of the team that lead to successful flotation on AIM in 1999, three subsequent acquisitions and the sale of the businesses in 2005. Ms. Carter has spent four years working with Actiance’s customers and partners throughout Europe and Asia and recently relocated to our headquarters in Belmont, California. She works with Actiance financial services clients on best practice social media and collaboration strategies in both Europe and the U.S. and regularly speaks on the topic on both continents.
Managing Director, BNY Mellon
James Cato is a Managing Director in BNY Mellon’s New York Corporate Tax department. He specializes in shareholder tax reporting and U.S. tax withholding, implementing the FATCA and cost basis reporting regulations. Prior to joining BNY Mellon, he was a senior manager with Ernst & Young’s Financial Services Office in New York where he advised financial institutions on all matters related to tax reporting and withholding. Mr. Cato earned his Bachelor of Arts in Business Administration from Florida Atlantic University and his Juris Doctor from the University of Houston Law School. He is a member of the American Bar Association.
Chief Diversity Officer, BNY Mellon
Jyoti Chopra is Head of Global Diversity and Inclusion for BNY Mellon. This award-winning, comprehensive initiative promotes a workplace culture that creates pathways for the continued recruitment, development and advancement of a diverse global workforce. Her responsibilities include overseeing and executing BNY Mellon’s diversity strategy and advancing all diversity training and hiring initiatives. She serves on the company’s Global Diversity and Inclusion Council, a group led by Chairman and CEO Gerald Hassell. She also represents BNY Mellon on the Diversity Council of the Asia Society. Before joining BNY Mellon in 2012, Ms. Chopra served as global leader for communications and public relations at Deloitte Touche Tohmatsu Limited, where she was responsible for external relations and executive, online and business group communications. In 2011, she initiated and spearheaded the development of Deloitte’s first global diversity report. She joined Deloitte in 2009, working for the Office of the CEO and the Global Chief of Staff, where she was responsible for leading and managing strategic projects and supporting the senior executive team. From 1998 through 2009, Ms. Chopra served in a series of increasingly responsible positions with Merrill Lynch. As head of communications for the Americas and the Global Banking divisions, she was responsible for strategic communications and related plans, programs and initiatives within the Americas and the bank business areas. She was also actively involved in leading diversity and women’s initiatives for the group. She led and managed the marketing and communications integration of First Republic Bank, which Merrill Lynch acquired in 2007 for $1.8 billion. Before that, she was head of the Multicultural Group at Merrill Lynch Global Wealth Management, a role that included the development, strategic planning and execution of the business’s marketing and client acquisition activities targeting diverse investors and business owners via community relations, strategic partnership development, and recruitment and retention programs for diverse groups and emerging markets. From 2000 through 2002, she was director of client acquisition for Merrill Lynch Direct and responsible for new account acquisition, business development, portal alliances and marketing for ML Direct, an online trading platform. From 1993 to 1997, Ms. Chopra was a writer and an award-winning media consultant for the United Nations Children's Fund (UNICEF), where she focused on human development and issues affecting women and children. Her responsibilities included extensive educational outreach, global communications, advocacy and philanthropic work. Ms. Chopra served as chair of the Securities Industry and Financial Markets Association (SIFMA) Diversity Committee from 2004 through 2009, and was a member of its Investor Education Committee from 1998 through 2000. She was also a founding member and Senior Advisor to Merrill Lynch’s global South Asian Professional Network, and served as a member of the company’s Public Policy and Public Markets Committee. Ms. Chopra has served on the boards of the Princeton YWCA and Princeton Healthcare System, and was a 2003 honoree of the Princeton YWCA’s Tribute to Women. Born and raised in London, Ms. Chopra holds a Bachelor degree in Journalism from New York University. She studied Economics, English Literature and Law at London University, and completed the Securities Industry Institute at the University of Pennsylvania’s Wharton School.
Chief Executive Officer, Northwestern Mutual Wealth Management Company
Eric Christophersen currently serves as the President and Chief Executive Officer of the Northwestern Mutual Wealth Management Company. In this position he has overall responsibility for Northwestern Mutual’s investment advisory business, trust services, fee-based financial planning, investment products and services (IPS) product development and IPS communications. Mr. Christophersen joined Northwestern Mutual in 1984 as a systems analyst in the Information Systems department and has held a variety of positions of increasing responsibility in the agency and the following departments: Employer Product Marketing, Annuity and Accumulation Products and Investment Products and Services. He transferred to Compliance Best Practices as vice president investment products compliance in February of 2004 and was appointed vice president and executive officer of compliance/best practices in 2006, before assuming his current role with the Wealth Management Company in May of 2010. Mr. Christophersen received a Bachelor of Science degree in management information systems in 1983 from the University of Wisconsin-Parkside, Kenosha, Wisconsin, and his M.B.A. degree from Marquette University in 1987. He holds Series 7, 8, 24 and 65 securities licenses. Mr. Christophersen has been active with a variety of non-profit organizations, and currently serves on the board of directors of Wisconsin Lutheran High School, the American Lung Association of Wisconsin, and the advisory council of Make a Difference Wisconsin.
Director, Pershing LLC, a BNY Mellon company
Robert Cirrotti is a Director for Pershing LLC, a BNY Mellon company, where he is responsible for Retirement Solutions. In this role, he oversees retirement plan, individual retirement savings and insured solutions. Prior to joining Pershing, Mr. Cirrotti was responsible for institutional retirement strategy for Prudential Financial’s Retirement Services division. Earlier in his career at Prudential, Mr. Cirrotti directed all facets of product development and management of the company’s defined contribution and defined benefit businesses. He is a board member of the SPARK Institute and a member of ASPPA, the Retirement Management Executive Forum, the SIFMA retirement committee and the Insured Retirement Institute research committee. Mr. Cirrotti earned a Bachelor of Science degree in Business Management and Administration from Rutgers College. He has also received retirement certifications from the International Foundation of Employee Benefits.
Managing Principal, Chicago Fundamental Investment Partners, LLC
Bradford Couri joined CFIP in January 2006 and shares responsibility for firm-wide management with Mr. Robinson and is additionally responsible for overall portfolio risk and construction, as well as strategic planning. Mr. Couri has over 20 years of experience as a portfolio manager, trader and legal analyst focusing on the high yield and distressed securities markets. From 1999 through 2004, Mr. Couri was a Managing Director at Citadel Investment Group, LLC where, in 1999, he founded Citadel’s Distressed and Fundamental Credit Group. While at Citadel, he was responsible for overall portfolio construction and risk management for Citadel’s multibillion dollar fundamental credit portfolios, including acting as portfolio manager for the Citadel Distressed and Credit Opportunity Fund, Ltd. from its inception through its merger with another Citadel fund. Mr. Couri was a member of Citadel’s firm-wide Portfolio Management Committee and a recipient of the 2003 Citadel Leadership Award. Prior to Citadel, Mr. Couri was the founder and Portfolio Manager of the Distressed Investment Group at Bank of Montreal from 1996 through 1999. From 1988 through 1996, Mr. Couri held various positions at First Chicago Corp. beginning his career as a legal analyst with First Chicago and culminating with his trading and assisting in the management of a $250 million proprietary distressed portfolio. Mr. Couri earned a J.D. from the University of Illinois College of Law (with honors) after graduating cum laude from the University of Notre Dame.
Research Director, CEB TowerGroup
Darrin Courtney is a Research Director at CEB TowerGroup covering important topics in Wealth Management. His research focuses on how technology supports the distribution and servicing of investment products, including the advisor desktop, financial planning tools, customer relationship management, portfolio management, retirement income, and client reporting. Mr. Courtney has more than 20 years of financial services experience in operations, client service, sales, product management, and business development roles in wealth management. He joins TowerGroup from The Hartford Financial Services Group, where he was a director in its Innovation Studio, focusing on the Wealth Management division. His previous experience focused on the support, creation, and distribution of Retail, Education, Retirement, and Financial Planning products and services, including both Qualified and Non-Qualified Retirement Plans. Prior to joining The Hartford, Mr. Courtney held positions at well-known investment companies such as Scudder, Stevens & Clark, Columbia Asset Management, MFS, and AARP Financial Inc. Mr. Courtney received a Master degree in English from Northeastern University and a Bachelor degree in English from The University of Massachusetts, Amherst. He is a Certified Financial Planner professional and holds a Certificate in Advanced Financial Planning from Merrimack College, where he is also an adjunct instructor in Financial Planning. Mr. Courtney sits on committees and has been involved with various industry organizations, including ICI, NICSA, and the FPA. Mr. Courtney also held FINRA Series 6, 26, 51, and 63 licenses as well as the series 65.
Managing Director, Pershing LLC, a BNY Mellon company
Maura Creekmore is a Managing Director in the Financial Solutions group for Pershing LLC, a BNY Mellon company, where she leads the firm’s asset consolidation and product adoption efforts with Pershing’s clients. She is also responsible for Pershing’s Complete Business Solution effort as well as the collaboration among BNY Mellon Wealth Management, BNY Mellon Asset Management and Pershing. Prior to leading these initiatives, Ms. Creekmore co-managed the Jersey City-based Relationship Management team. In this role, she managed major client relationships for Pershing and developed new relationships with financial organizations spanning every market segment. She joined Pershing in 1990. Ms. Creekmore earned a Bachelor of Science degree from Cabrini College and completed the Securities Industry Institute® program, sponsored by the Securities Industry and Financial Markets Association® (SIFMA®), at the Wharton School of the University of Pennsylvania. She is currently on the board of the Securities Industry Institute (SII) Society Leadership Council which is responsible for helping SII Alumni continue their leadership development via executive education and is a past member of SIFMA’s Asset Management Roundtable.
Senior Managing Director, The Boston Company Asset Management
David Daglio is the Lead Portfolio Manager on the U.S. Opportunistic Value strategies. He also maintains research coverage of REITs, special situations and macro-economic trends for the team. Mr. Daglio joined The Boston Company in 1998 as an equity analyst on the Opportunistic Value Team. His responsibilities included coverage of the consumer, financial and technology sectors. He was named a portfolio manager in 2003 and in 2005 Mr. Daglio was named lead manager of all the portfolios managed by the Opportunistic Value Investment Team. Prior to joining The Boston Company in 1998, Mr. Daglio served as a senior consultant with Deloitte & Touche Consulting Group where he developed extensive operational and financial models for a variety of industries including the financial service and telecommunication sectors. Additional managerial and operating experience was gained in his six years at The Dannon Company which included plant management and the coordination of the design and construction of their largest plant. Mr. Daglio received a BS in Mechanical Engineering and a minor in Macroeconomics from Rensselaer Polytechnic Institute. He earned an MBA from New York University's Stern School of Business and while there spent two years as a Teaching Assistant in the International Economics Group. He is also a member of the Beta Gamma Sigma Honor Society and a CFA® charter holder.
Chief Executive Officer, The Advisor Center
Tom Daley is the CEO and Founder of The Advisor Centera dynamic online recruiting community empowering advisors to research their career options and make targeted connections while maintaining their anonymity. Mr. Daley has worked in the financial services industry for over 25 years. He has a diverse background that began with American Express in finance and corporate strategy. In 1997, he joined LPL Financial and was promoted to Senior Vice President of East Branch Development. Throughout his tenure with LPL Financial, Mr. Daley met with thousands of financial advisors and assisted in recruiting over $250 million in gross dealer concession to LPL Financial. From his recruiting experiences, Mr. Daley saw the need to create a new independent and objective process to assist financial advisors exploring new opportunities with The Advisor Center. In turn, The Advisor Center provides firms with a powerful direct marketing portal and a roster of potential recruits with validated credentials. Mr. Daley received his Bachelor degree in Accounting from Seton Hall University and his Master degree in Finance from the University of St. Thomas, MN.
Vice President, Pershing LLC, a BNY Mellon company
Regina DeGennaro is a Vice President for Pershing LLC, a BNY Mellon company, responsible for Business Process Management Solutions and the Business Intelligence Program in the Technology Strategy and Product Management Group. Ms. DeGennaro plays a pivotal role in deciphering, deploying and incorporating new business processes and optimizes existing processes by analyzing metrics. As the leader of Pershing’s Center of Excellence, she recommends process improvements and technology needed to enhance business processes. Prior to joining Pershing, Ms. DeGennaro worked as a Registered Representative at Money Concepts Capital Corp. She earned a Master of Business Administration degree from Fordham University.
Kim Guimond Dellarocca
Director, Pershing LLC, a BNY Mellon company
Kim Guimond Dellarocca is a Director for Pershing LLC, a BNY Mellon company, where she is global head of Segment Marketing and Practice Management. In her role, Ms. Dellarocca is responsible for the strategic marketing and practice management plan development for Pershing’s broker-dealer, advisor and hedge fund business units. This includes the development marketing and practice management programs built to help bring customers to Pershing, and to help those already with Pershing to manage and grow their businesses more effectively. Prior to joining Pershing in 2005, Ms. Dellarocca spent nearly 10 years at Fidelity Investments, where she managed segment marketing programs for the retail, 401(k) and registered investment advisor (RIA) businesses. Before Fidelity, she held marketing positions at Standard & Poor’s and Thomson Financial Services. Ms. Dellarocca earned a Bachelor of Arts degree in Management from Emmanuel College and a Master of Business Administration degree from Boston University. She is currently a CFP candidate with Boston University. Ms. Dellarocca graduated from the Securities Industry Institute® program, sponsored by the Securities Industry and Financial Markets Association, at the Wharton School of the University of Pennsylvania. She is invited to speak nationwide and her views have been featured in Financial Planning magazine, Investment Advisor, InvestmentNews, Registered Rep, USA Today and The Wall Street Journal.
Director of Research, U.S. Global Investors
John Derrick joined U.S. Global Investors in January 1999 as an investment analyst for the U.S. Global Investors money market and tax free funds. In March 2004, he was promoted from portfolio manager to Director of Research and now manages the day-today operations of the investment team. Mr. Derrick monitors Fed policy and other macroeconomic factors affecting the U.S. economy and the broader global landscape. Mr. Derrick also analyzes securities, both stocks and bonds, as co-manager of several U.S. Global equity funds. Prior to U.S. Global Investors, Mr. Derrick worked at Fidelity Investments. With his 14 years of experience in investments, Mr. Derrick has developed expertise on the Federal Reserve and interest rates, as well as their impact on the U.S. economy. His specialties lie in U.S. Treasuries, government securities and municipal bonds. Mr. Derrick also serves on the management team of several equity funds for U.S. Global Investors. Mr. Derrick uses his experience to guide management of the Emerging Europe Fund (EUROX) and the MegaTrends Fund (MEGAX). Mr. Derrick has appeared on CNBC and Bloomberg TV and has also been a guest on Marketwatch Radio and NPR. Mr. Derrick has been featured in stories for BusinessWeek, The New York Times, the Associated Press and USA Today. A graduate of The University of Texas at Arlington, Mr. Derrick earned a Bachelor of Arts in finance. Mr. Derrick is on the board of directors for the CFA Society of San Antonio.
President and Chief Executive Officer, Diamond Consultants
Mindy Diamond is President and CEO of Diamond Consultants which she founded in 1997. In partnership with her husband, Howard, they have developed an organization that focuses on smart talent recruiting and strategic business consulting that employs a unique relationship driven approach. Nationally recognized as an industry thought leader, Ms. Diamond works with the nation’s top advisors and firms and consults with, trains and coaches individuals, small and large groups on state-of-the-art practices with regard to helping them reach their full potential through a Total Growth® approach. She is sought after and often quoted by leading national media outlets such as the Wall Street Journal, New York Times and CNBC as well as industry media such as On Wall Street, Financial Advisor magazine, Investment News, and RIABiz. In addition, Ms. Diamond has authored a monthly column since 2004 for Rep magazine called “Career Moves” which serves as a pulse on the industry’s latest recruiting and career trends. In 2012 she was named by NJBIZ magazine as one of New Jersey’s 2012 Best 50 Women in Business. Ms. Diamond is an alumna of The George Washington University with a Bachelor of Accountancy degree.
Vice President, Pershing LLC, a BNY Mellon company
Neil DiCicco is Vice President of Digital Marketing for Pershing LLC, a BNY Mellon company, where he is responsible for the strategic development and execution of digital marketing initiatives across Pershing’s broad online network. Mr. DiCicco joined Pershing in 2007. Prior to joining Pershing, Mr. DiCicco spent 10 years in the financial services publishing industry where he held various technology, marketing and design positions for firms such as Thomson Financial, Source Media and Summit Media. He has also served as an adjunct professor at Marymount College in New York, and a freelance design consultant for AARP and the New York City Office of Chief Medical Examiner. Mr. DiCicco earned a Bachelor of Fine Arts degree, magna cum laude, from the City University of New York Brooklyn College.
Product Manager, Schroders Investment Management
Andrew Dreaneen began his investment career in 1998 in New Zealand in a small agricultural investment boutique FMG. He joined Schroder in 2000 and is currently Product Manager for Schroders’ UCITS hedge fund platform GAIA. He previously held a number of roles based in Luxembourg and London for Schroder including head of Product Development for Schroder funds domiciled in Luxembourg. He earned a postgraduate diploma in Business Administration in Business at Massey University, New Zealand.
Vice President, Pershing LLC, a BNY Mellon company
Justin Fay is Vice President of Pershing LLC, a BNY Mellon company, where he is the Solutions Manager for Alternative Investments and ETFs. Prior to this role, Mr. Fay was the Solutions Manager for the mutual fund no-transaction-fee platform, FundVest. During his three years as the FundVest Solutions Manager, he expanded the size and scope of the platform to be one of the industry's most comprehensive, with $82B in global client assets. Prior to joining Pershing, Mr. Fay worked for Neuberger Berman as an operations manager. He began his career with Pershing working in the Mutual Fund Operations group. Mr. Fay graduated from the University of Dayton with a Bachelor of Science degree in Business Management.
Senior Industry Consultant, Capital Markets, Teradata
Philip Filleul has 25 years in banking technology across retail, capital markets and wealth management. Mr. Filleul has been the global risk and compliance program manager for Sun Microsystems, regularly speaking at conferences and being a thought leader in the European MiFID compliance area. More recently he was solution manager for Reference Data in iGate Patni, where he helped create an innovative holistic reference data program and authored several white papers around Dodd-Frank, reference data management and counterparty data. Now, in Teradata, he is a Senior Industry Consultant for capital markets where he has consulted on data governance and data quality at one of the leading wealth managers.
Managing Director, VanEck Global
Eric Fine currently serves as portfolio manager for the Van Eck Unconstrained Emerging Markets Bond Fund. He joined Van Eck in April 2009 as managing director for emerging markets managed debt funds. Before joining Van Eck, Mr. Fine conducted business in emerging markets for 17 years, including 14 years at Morgan Stanley where he ran the Global Emerging Markets Research Group and founded and managed the Emerging Markets Proprietary Trading Group. Mr. Fine also started and led Morgan Stanley’s Europe/ Middle East/Africa (EMEA) Strategy and Economics Research Group and helped start the firm’s emerging markets business in London. Prior to his tenure at Morgan Stanley, Mr. Fine founded and led a Russian telecommunications company which was responsible for building that country’s first securities clearing system. He received undergraduate degree from Duke University, 1987 and a graduate degree from Harvard University, 1989.
Director, Pershing Advisor Solutions LLC, a BNY Mellon company
Gabriel Garcia is Director for Pershing Advisor Solutions LLC, a BNY Mellon company. He manages the national Relationship Management and Consulting group. Mr. Garcia and his team work with more than 400 firms, which custody over $78 billion with Pershing Advisor Solutions. He works with registered investment advisors (RIAs) to develop and grow their practices, and help them manage business issues. His team helps advisors maximize Pershing’s resources and enable their firms to become more scalable, profitable and productive. Prior to joining Pershing Advisor Solutions in 2010, Mr. Garcia spent 15 years with Charles Schwab & Co., where he held several leadership positions in sales, training and consulting, including working directly with RIAs. Mr. Garcia has consulted with more than 100 firms with assets under management ranging from $50 million to $3 billion. He is a frequent speaker at industry and national conferences. Mr. Garcia has 20 years’ experience in financial services. Mr. Garcia earned a Bachelor of Science degree in Finance and Business Administration from Radford University.
Managing Director, Pershing LLC, a BNY Mellon company
Herb Green is a Managing Director for Pershing LLC, a BNY Mellon company, and is currently Global Head of Tax Management for Pershing and its affiliates. Mr. Green is responsible for ensuring Pershing's compliance with all tax laws, rules and regulations as defined by federal, state, and local statutes and authorities both in the U.S. and in all other countries in which Pershing operates. He also directly oversees compliance for Pershing’s operating broker affiliates, including Pershing Limited and Pershing Australia. Mr. Green plays a key leadership role in driving tax compliance strategy and ensuring its consistency with policies established by BNY Mellon Corporate Tax. Mr. Green began his career with Pershing in 1973.
Managing Principal, Gotham Asset Management
Joel Greenblatt serves as Managing Principal and Co-Chief Investment Officer of Gotham and the Managing Partner of Gotham Capital, which he founded in April 1985. Since 1996, Mr. Greenblatt has been a professor on the adjunct faculty of Columbia Business School where he teaches “Value and Special Situation Investing.” Mr. Greenblatt serves on the Investment Board for the University of Pennsylvania, and is a director of Pzena Investment Management, Inc., a global investment management firm. Mr. Greenblatt is the author of You Can Be A Stock Market Genius (Simon & Schuster, 1997), The Little Book that Beats the Market (Wiley, 2005), The Little Book that Still Beats the Market (Wiley, 2010), and The Big Secret for the Small Investor (Random House, 2011). Mr. Greenblatt is the former Chairman of the Board (1994-1995) and a board member (1994-2000) of Alliant Techsystems, a NYSE-listed aerospace and defense contractor. Mr. Greenblatt holds a BS (1979), summa cum laude, and an MBA (1980) from the Wharton School of the University of Pennsylvania.
Managing Director, Franklin Templeton Investments
Samer Habl is Managing Director of Tactical Allocation for Franklin Templeton Muti-Asset Strategies. In this role, he is responsible for developing global tactical asset allocation investment strategies. Prior to joining Franklin Templeton Investments, Mr. Habl worked at Mellon Capital Management for about 10 years, where he was most recently the managing director of Global Tactical Asset Allocation Research supporting domestic TAA, currency overlay, and GTAA strategies. Mr. Habl received a Bachelor degree in Mechanical Engineering from the American University of Beirut and a Master degree in Engineering Economic Systems and Operations Research from Stanford University.
President and Head of U.S. Operations, Alcentra
Paul Hatfield serves as President and Head of U.S. Operations for Alcentra. He sits on both the European and U.S. Investment Committees. Prior to joining Alcentra, Mr. Hatfield was a senior analyst for the CDO operations of Intermediate Capital Group. Between 1995 and 2001, Mr. Hatfield worked at Deutsche Bank, originally in London for the Leveraged Finance Team. At this time, Deutsche (Morgan Grenfell) was the leading underwriter of European LBOs. In 1998, Mr. Hatfield went to New York, where he worked on Sponsor Coverage and latterly in the bank’s telecom division. Mr. Hatfield originally trained as a chartered accountant in the audit division of Arthur Andersen and, before joining Deutsche, built up a successful portfolio of mezzanine and development capital loans with FennoScandia Bank, the London operation of a Scandinavian consortium bank. Mr. Hatfield graduated from Cambridge University with a BA (Hons) in Economics.
R. Scott Henderson
Vice President, Calamos Investments
As part of the Portfolio Management department, Scott Henderson’s responsibilities include the monitoring of investment portfolio activity, current positioning and risk attribution. Mr. Henderson represents the Portfolio Management team in market and strategy reviews with institutional investors and financial advisors. Since joining Calamos in 1991, he has also served as the director of training, regional director and as a senior portfolio administrator. Mr. Henderson is a CFA charter holder and holds Series 7, 24 and 63 licenses. He has attained the Certified Investment Management AnalystSM designation, and is a Chartered Mutual Fund Counselor.
Portfolio Manager, Forward
Paul Herber has been with Forward Management since September 2008 as a Portfolio Manager. Mr. Herber has co-primary responsibility for the day-to-day management of the Forward Frontier Strategy Fund, the cash portion of the Forward Emerging Markets Fund, and the cash portion of the Forward International Small Companies Fund. Prior to joining Forward Management, Mr. Herber was with Accessor Capital Management since February 2008 as an investment officer and member of Accessor’s Investment Committee. Prior to Accessor Capital Management, Mr. Herber was a Research Analyst at Wexford Capital Management from February 2006 to January 2008; the owner and operator of Genesis Games and Gizmos from June 2004 to January 2006; and a research associate at Capital International from June 2002 through May 2004. Mr. Herber has been a CFA Charter holder since 2003.
Vice President of Customer Success, Box
As Box’s Vice President of Customer Success, Jon Herstein guides the client services, technical support and implementation teams. Box has a fast-growing customer community, and Mr. Herstein works to ensure that all of Box's Enterprise and Business customers are phenomenally successful. Mr. Herstein brings more than 20 years of experience in technology-related services to Box, and has worked with some of the biggest names in the tech world, including Accenture, Informatica and most recently NetSuite, where he served as VP of Professional Services for North America and EMEA. Mr. Herstein was a Steering Committee Member for a number of NetSuite’s most important customer implementations, and was also a member of NetSuite’s Operating Committee. Before NetSuite, Mr. Herstein led the turnaround of Informatica's European consulting practice during a multi-year expatriate assignment, which eventually led to a 65% jump in revenue. Mr. Herstein received his BS in Computer Science from University of Maryland, College Park, where he graduated with honors.
Fixed Income Product Strategist, Lord Abbett
Stephen Hillebrecht, Fixed Income Product Strategist at Lord Abbett, acts as an extension of the taxable and tax-exempt fixed income investment teams. He leads market¬ing and communication strategies supporting fixed income capabilities, and articulates timely information regarding portfolio positioning and market outlook for internal and ex¬ternal audiences, including financial advisors, high-net-worth individuals, and institutional clients and prospects. Mr. Hillebrecht joined Lord Abbett in 2005 as a senior portfolio specialist and was named director of the group in 2007. Prior to joining the firm, he served as vice presidentGlobal High Yield Sales for Debt Traders, Inc. He also worked as vice president in the Private Asset Management group at ING Barings in New York. He has been in the financial services industry since 1991. Mr. Hillebrecht earned an MBA in Finance and International Business from New York University and a BA in Economics from Georgetown University. He also is a holder of a Chartered Financial Analyst (CFA) designation.
Partner, Morgan, Lewis and Bockius LLP
Ben Indek is a partner in Morgan Lewis’s Litigation Practice and the chair of the Securities Litigation and Enforcement Practice. Mr. Indek focuses his practice on representing broker-dealers and their employees in governmental, self-regulatory organization, and state securities commission investigations and disciplinary proceedings as well as conducting internal investigations for financial services firms. He also counsels broker-dealers on regulatory and compliance issues, including the development and implementation of written compliance and supervisory procedures and new rules and regulations. Mr. Indek also has experience assisting firms in self-reporting matters under FINRA Rule 4530(b) and the prior NYSE rule, and he currently acts as counsel to a broker-dealer’s self-reporting committee. He has also represented a number of compliance officers in SEC, FINRA, NYSE Regulation, and National Association of Securities Dealers (NASD) investigations. Mr. Indek is the author of numerous articles concerning broker-dealer regulation and enforcement issues and frequently lectures on these topics. Since 2006, he has been the principal author of the firm’s annual year-in-review publication “Select SEC and FINRA Broker-Dealer Cases and Developments,” which describes the key developments in the enforcement programs of the SEC and FINRA, analyzes the metrics used to measure enforcement activity, and summarizes the important cases brought by regulators. Previously, he was a co-author of “Securities Litigation and Enforcement,” a regular column appearing in the New York Law Journal. Between 1984 and 1988, Mr. Indek was a compliance officer at E.F. Hutton & Co. In his last position at the company, he managed the Compliance Department’s surveillance group. He joined Morgan Lewis in 1988 as a legal assistant specializing in the securities field. While a full-time legal assistant at the firm, Mr. Indek attended New York Law School, where he was a member of the Law Review and from which he graduated magna cum laude in 1992.
Senior Vice President, First Trust
Ryan Issakainen is Senior Vice President, Exchange-Traded Fund Strategist for First Trust, which he joined in January of 2000. Mr. Issakainen holds a B.A. and an M.A. from Wheaton College in Wheaton, IL. As an ETF Strategist, Mr. Issakainen provides in-depth analysis and commentary related to ETF investing, including the bi-monthly Inside First Trust ETFs newsletter and a monthly ETF webcast for financial advisors. In addition to his research responsibilities, Mr. Issakainen speaks at various ETF industry events and conferences throughout the country. Mr. Issakainen also writes a monthly ETF column for Investment Advisor magazine. Mr. Issakainen has appeared on a number of radio and television outlets including CNBC, Fox Business, Bloomberg Radio, and WBBM Newsradio 780. In addition, Mr. Issakainen has given interviews to several print outlets including The Wall Street Journal, Investor’s Business Daily, Bloomberg, Reuters, US News and World Report, Fortune Magazine, LA Times, and Investment Advisor magazine.
Vice President, BMO Harris
Steven M. Josephson is a Vice President with BMO Harris Financial Advisors, Inc., an SEC-registered investment advisor and broker-dealer that is an affiliate of BMO Financial Corp. Mr. Josephson is currently head of the firm’s Operations, & Trading departments. He is responsible for overseeing development and management of the majority of the firm’s technology platforms, along with operational processes and procedures. Mr. Josephson has more than 22 years of experience within the financial services industry and over 19 years with the BMO Harris organization. Mr. Josephson holds numerous FINRA registrations as a securities principal.
Vice President, Pershing LLC, a BNY Mellon company
Suzanne Joshi is a Vice President for Pershing LLC, a BNY Mellon company, where she is responsible for Pershing Advisors Solutions segment marketing. Prior to joining Pershing in January 2007, Ms. Joshi was a marketing manager for Deloitte Services, where she primarily focused on the firm’s tax division. Prior to Deloitte, Ms. Joshi was a research associate at Morgan Stanley, where she marketed the global valuation and accounting sector to institutional clients. Before that, she was an associate at Douglas C Lane & Associates, an investment advisor in New York. Ms. Joshi earned a Bachelor of Arts degree in History and Literature from Fairfield University and a Master of Business Administration in Marketing from The Ross School of Business at the University of Michigan.
Senior Vice President, Federated Investors, Inc.
Audrey Kaplan is responsible for portfolio management and research in the global equity area. She is a senior portfolio manager of Federated InterContinental Fund and Federated Global Equity Fund. Ms. Kaplan managed the Rochdale Atlas Portfolio at Rochdale Investment Management, LLC in New York until it was acquired by Federated in 2007. She also was a hedge fund strategy consultant for Blue Crest Capital Management in London; worked in European quantitative strategy for Merrill Lynch in London; researched global emerging markets at Robert Fleming in London; and completed equity, fixed income and derivative analysis with Salomon Brothers in Tokyo and New York. She has 24 years of investment experience. Ms. Kaplan earned a Bachelor of Science degree from Rensselaer Polytechnic Institute and a Master in Finance from London Business School. She is a member of the Society of Quantitative Analysts, Stamford Society of Investment Analysts, 100 Women in Hedge Funds, and the Quantitative Work Alliance for Applied Finance, Education and Wisdom.
Managing Partner, Beacon Strategies, LLC
Chip Kispert founded Beacon Strategies, LLC, in 2006. He has over 29 years of experience in the financial services industry. His background includes operations, account management, marketing, sales and firm management. Having worked for leading securities and support firms in financial services, Mr. Kispert and his team now deliver their own unique perspectives and strategies to clients of Beacon Strategies. Mr. Kispert is a contributor to broker-dealer marketplace publications such as Investment Advisor and The Tabb Reports. He also organizes and leads conferences and round tables dedicated to expanding the knowledge of the broker-dealer community. Founded as an independent, unbiased voice in the broker-dealer market, Beacon Strategies has grown with Mr. Kispert’s guidance to become the go-to expert in financial technologies. With access to hundreds of C-Level broker-dealer decision-makers, most C-Level executives at solutions vendors, and senior managers at clearing and custody firms, Beacon Strategies also is a focal point for cutting-edge industry research. According to Mr. Kispert, “Beacon is able to interpret trends and innovations through the lens of each client’s objectives, while also helping our clients’ side-step the pitfalls.” Beacon delivers thought-leadership and solution-provider intelligence through The Beacon newsletter portal. Mr. Kispert originated this online publication to summarize industry data, develop broader thought leadership on content impacting broker-dealers, and deliver rich solution provider reviews. To meet clients’ specific needs, Beacon publishes Loadstar Reports, research that provide insights beyond the traditional scope. For the past eight years, Mr. Kispert and his team have continued to explore ahead of the industry, scouting new trails for adopting technology and enhancing productivity. The firm will continue to digest the latest intelligence and deliver the highest quality advice to its clients.
Managing Director, Fortress Capital Formation Group, LLC
Todd Ladda is a Managing Director of the Fortress Capital Formation Group LLC, a member of FINRA, where he is responsible for capital raising and investor relationship management for the Credit Funds at Fortress Investment Group LLC. Mr. Ladda is also a member of the Management Committee of Fortress. Prior to joining Fortress in July 2006, Mr. Ladda was a managing director at Trust Company of the West (TCW) where he led the United States hedge fund joint venture between TCW and its parent company, Societe Generale Asset Management. He previously served as managing director and head of sales, marketing and distribution for Oppenheimer and Company’s Alternative Investment Group. Mr. Ladda was also on the group’s risk management and due diligence committees. Mr. Ladda was a founder of Green Wave Capital, an investment firm focusing on developing and distributing hedge fund products for the high-net-worth and institutional marketplace. Mr. Ladda received a B.A. from Princeton University in Political Science.
Director, Pershing Advisor Solutions LLC, a BNY Mellon company
Evan LaHuta is a Director for Pershing Advisor Solutions LLC, a BNY Mellon company, and a member of the Pershing Advisor Solutions Executive Committee. He is responsible for the strategy and organization supporting the client experience for advisory firms and leads a diverse group of professionals in Client Service, Account Management, Operations and Service Quality. Mr. LaHuta joined Pershing in 2000 as a participant in the Masters Program and has worked in the Project Management Office and Quality Management Office. In 2009, he led the team that won the Bronze Medal in The American Society for Quality’s International Team Excellence competition, recognizing Pershing’s process for continuous improvement and service excellence. He has experience in process reengineering, business transformation, project management and using measurements to drive behaviorial change. Prior to joining Pershing, Mr. LaHuta worked at Prudential Financial and Rutgers University. He earned a Bachelor of Arts degree in Communications from Rutgers College and a Master of Business Administration degree in Organization Management from the Graduate School of Management at Rutgers University. He has also completed the Securities Industry Institute program, sponsored by SIFMA, at the Wharton School of the University of Pennsylvania.
Francis La Salla
Managing Director, Pershing LLC, a BNY Mellon company
Francis “Frank” La Salla is a Managing Director and a member of the Executive Committee for Pershing LLC, a BNY Mellon company, where he is co-Head of the Global Customers group and Chairman of Pershing Limited. Mr. La Salla is also a member of the Operating Committee of BNY Mellon. He represents BNY Mellon on the board of directors of Euroclear PLC and Euroclear SA. Mr. La Salla is responsible for all of Pershing’s business activities outside the United States. This responsibility includes Pershing’s business units in the United Kingdom (Pershing Limited), Ireland (Pershing Securities International Limited), Singapore (Pershing Securities Singapore Private Limited), Canada (Pershing Securities Canada Limited), Australia (Pershing Securities Australia Pty Ltd), and all the international broker-dealer and financial organizations conducting business on the Pershing platform. In addition, Mr. La Salla leads Pershing’s Global Growth strategy in new markets to expand its global business in selected countries. Mr. La Salla is also responsible for Pershing’s Corporate Development functions. Prior to the acquisition of Pershing by BNY Mellon in May 2003, Mr. La Salla was the president and chief operating officer of BNY Clearing Services LLC. In this capacity, he was responsible for the firm’s Global Clearing division in New York and was the CEO of the firm’s London affiliate, BNY Clearing Services International Ltd. Mr. La Salla was previously CEO of BHF Securities Corporation, the U.S. broker-dealer subsidiary of Germany’s BHF-BANK AG. Under his direction, BHF Securities grew into a highly specialized firm, providing domestic and international institutional execution and clearing services for broker-dealers, investment banks, money managers and institutional funds. In July 2000, the firm was purchased by BNY Mellon and became known as BNY Clearing Services LLC. From 1989 to 1994, Mr. La Salla was managing director and chief operating officer of Société Générale Securities Corporation, where he was responsible for developing the French financial organization’s U.S. brokerage business. During his tenure, Société Générale Securities expanded its operations to include institutional stock broking, securities lending, derivatives and research activity. Mr. La Salla has numerous industry registrations, as well as a defined expertise in international equities trading and foreign exchange. Mr. La Salla has been a guest on financial news programs, including programs on CNBC, Fox News, CNN and Bloomberg Radio. In addition, he participates in the Financial Industry Regulatory Authority, Inc. (FINRA) Board of Arbitrators. Mr. La Salla earned a Bachelor of Science degree in Economics from the City University of New York and a Master of Business Administration degree in Finance from Wagner College.
Chief Investment Officer of Active Fixed Income, Standish
David Leduc, CFA® is Chief Investment Officer of Active Fixed Income responsible for overseeing the management of all single and multi-sector taxable bond portfolios and strategies. Prior to this, he was managing director of Global Fixed Income and senior portfolio manager responsible for overseeing the management of all non-US and global bond strategies. Mr. Leduc joined Standish in 1995 as a portfolio manager and analyst for U.S. domestic fixed income, moving from structured finance to global strategies in 1999. Prior to joining Standish, Mr. Leduc spent seven years as an Investment Officer at State Street. He has an M.B.A. from Boston University and a B.S. from the University of Rhode Island. Mr. Leduc holds the CFA® designation and has 26 years of investment experience. Mr. Leduc's activities with not-for-profit organizations include serving as senior representative for BNY Mellon Trust Company in its role as Corporate Trustee of the W. K. Kellogg Foundation Trust.
Chief Investment Officer, Lockwood Advisors, Inc., and affiliate of Pershing, a BNY Mellon company
Jamie Lewin is Head of Manager Research and Performance Analytics for BNY Mellon Investment Management and is Chief Investment Officer for Lockwood Advisors, a BNY Mellon company. Mr. Lewin is responsible for the day-to-day oversight of the manager research and performance oversight processes. He was formerly director of Asset Allocation Strategies as a member of the Investment Strategy & Solutions Group of BNY Mellon. He also was responsible for overseeing the development and management of integrated multi-asset investment solutions that leverage the full complement of BNY Mellon specialist investment management capabilities. Mr. Lewin is a Director of BNY Mellon Asset Management International Ltd and is a member of the BNY Mellon Asset Management International Executive Committee. Mr. Lewin joined BNY Mellon from UBS Global Asset Management where he was senior asset allocation strategist for the Global Investment Solutions Group. There he oversaw various activities including the management of clients’ asset allocation portfolios, product development and client acquisition and servicing. Previous investment experience also included roles at Gartmore Investment Management where he was responsible for the management of segregated and pooled balanced portfolios and JP Morgan Investment Management where he was a member of the macroeconomic research team.
Vice President, Pershing LLC, a BNY Mellon company
Lisa Lewin is a Vice President and Relationship Manager for the Pershing Prime Services unit of Pershing LLC, a BNY Mellon company. In this role, Ms. Lewin is responsible for new business development and managing existing relationships with hedge funds and mutual funds. Specifically, Ms. Lewin leads the teams that are focused on alternative ’40 Act funds and hedge funds looking to use the prime custody model and capital introductions. Prior to joining Pershing in 2008, Ms. Lewin was a public relations manager for Toys “R” Us, Inc., where she was responsible for developing the firm’s public relations strategies and served as a corporate spokesperson for reporters and industry analysts. During her tenure, Ms. Lewin developed and implemented media and public relations campaigns for numerous national programs, including Toys for Tots, Autism Speaks, and the company’s toy safety initiative. Ms. Lewin earned a Bachelor of Arts degree with Honors in History from the University of Kansas. She is Phi Beta Kappa.
Robert Lewis, Jr.
Vice President, Financial Services Institute
Robert Lewis, Jr. joined FSI with over 10 years of Washington, D.C., experience and directs the Tax and Retirement section. He spent four years working on Capitol Hill for Senator Zell Miller (D-GA) on the Senate, Banking, Housing and Urban Affairs Committee. After Senator Miller’s retirement, Mr. Lewis joined Financial Executives International as manager of Government Affairs, focusing on pension and retirement issues. He left to attend law school and was a law clerk for U.S. House Judiciary Chairman Lamar Smith (R-TX) while in law school. Most recently, Mr. Lewis was manager of Federal Affairs for Community Financial Services Association of America. He is a 2001 graduate of Morehouse College with a B.A. in Political Science, and 2010 graduate of The Catholic University of America Columbus School of Law.
Chief Executive Officer, Wealthcare Capital Management, Inc.
David Loeper is a Certified Investment Management Analyst®, a Certified Investment Management Consultant® and the CEO of Wealthcare Capital Management, Inc. which owns Financeware.com. An SEC registered investment adviser with over 25 years experience, Mr. Loeper has appeared on CNBC, CNN, Fox Business News and Bloomberg TV. A popular speaker and writer, Mr. Loeper has authored several books as well as numerous articles and whitepapers, is a frequent contributor to Forbes.com and regularly speaks at national and international industry conferences. Active in industry associations throughout his career, Mr. Loeper has been a member of the Investment Management Consultants Association (IMCA) for over 20 years, serving on the advisory council for more than five years, most recently as chairman. Loeper was also appointed by the governor of Virginia to serve on the Investment Advisory Committee of the nearly $30 billion Virginia Retirement System. He received his CIMA® designation in 1990 by completing a program offered through Wharton Business School, in conjunction with IMCA. As a consumer advocate, Mr. Loeper has been issued four U.S. patents and several international patents based on inventions designed to restore integrity, trust and confidence in the services that financial advisors provide to their clients to deliver meaningful value to their lives.
Director, Pershing LLC, a BNY Mellon company
Chief Compliance Officer, Lockwood Advisors, an affiliate of Pershing, a BNY Mellon company
Michelle Logue is the Chief Compliance Officer of Lockwood Advisors, an affiliate of Pershing LLC, a BNY Mellon company and Director in Compliance for Pershing. Prior to joining Lockwood in September of 2004, Ms. Logue held senior compliance positions with Investec and PMG Capital. In November of 2008, she earned the Certified Regulatory and Compliance Professional designation conferred upon her by the FINRA Institute at Wharton in recognition of her successful completion of the prescribed curriculum of the Certified Regulatory and Compliance Professional program. Ms. Logue is a member of the Money Management Institute (MMI)’s Legal and Regulatory Affairs Committee, and Chair of the MMI Compliance Subcommittee. She is also a member of the National Society of Compliance Professionals (NSCP), as well as the Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal Division. Ms. Logue earned a Bachelor of Arts degree and a Master of Business Administration degree from Eastern University. She has more than 20 years of industry experience.
Managing Director, BNY Mellon Capital Markets
Marvin Loh is a Managing Director for BNY Mellon Capital Markets, where he is the firm’s senior fixed income market strategist. Mr. Loh monitors market, industry and credit developments, and formulates their impact on a wide range of fixed income asset classes, including corporates, high yield, emerging market and municipal bonds. He focuses on identifying relative value opportunities across various risk asset classes. He publishes BNY Mellon Capital Market’s Fixed Income Market Commentary and is a regular speaker at corporate and media events. Prior to joining BNY Mellon/Pershing in August 2009, he was the director of Research at W.R. Hambrecht, a boutique investment bank that pioneered the auction IPO process. Mr. Loh assembled an Institutional Investor-ranked research team that focused on identifying disruptive business models that could provide above average long term investment returns. Mr. Loh has also held senior analyst roles in both the fixed income and equity markets at Oppenheimer and Company, Decision Economics, Fidelity Investments, Financial Guaranty Insurance Company and the Federal Reserve Bank of New York. His credit and equity coverage has included analysis of the finance, specialty finance, healthcare, technology, energy and utility sectors. Mr. Loh graduated from New York University, where he obtained his Master of Business Administration in Finance and a Bachelors of Science degree in Finance and Economics.
Assistant Vice President, Pershing LLC, a BNY Mellon company
Ken Louie is an Assistant Vice President for Pershing LLC, a BNY Mellon company. Mr. Louie manages the overall content development and thought leadership agenda for Pershing’s practice management offering. Mr. Louie also works with Pershing’s largest clients to design customized programs and curricula to help meet their training, professional development and practice management objectives. With a background in business-to-business and consumer marketing, he has experience in marketing research, channel marketing, thought leadership, branding and event management. Prior to joining Pershing, Mr. Louie worked at MetLife, Deloitte and Golf Digest Magazine. He earned a Bachelor of Arts degree in Communications from New York University.
Director, Pershing, a BNY Mellon company
Director of Investments, Lockwood Advisors, an affiliate of Pershing LLC, a BNY Mellon company
Benjamin Ludwig is the Director of Investments for Lockwood Advisors, an affiliate of Pershing LLC, a BNY Mellon company, where he is responsible for managing investment activities, including portfolio manager selection and portfolio construction. Mr. Ludwig also manages Lockwood’s Advisory Consulting Services. Prior to joining Lockwood in 2005, Mr. Ludwig was an investment analyst at SEI Investments, in charge of the implementation and oversight of the firm’s multi-manager investment process. He started his career at Vanguard, serving as a relationship manager in its high-net-worth group. Mr. Ludwig earned a Bachelor of Science degree in Finance from Bloomsburg University and a Master of Business Administration degree in Finance from St. Joseph’s University. He is a Chartered Financial Analyst (CFA) charterholder and is a member of the CFA Institute and the CFA Society of Philadelphia. He is also a Chartered Alternative Investment Analyst designee and member. Mr. Ludwig has over 12 years of investment experience.
Global Account Director, Good Technology
Jeremy Major is a professional with over 20 years of product marketing and sales management experience in a broad spectrum of high technology industries including security, networking storage and telecommunications. Mr. Major has managed accounts that include some of the world’s largest banks and service providers both in the U.S. and overseas. Prior to Good Technology, he was at Avaya where he held sales management positions and successfully introduced Unified Networking solutionsincluding the IP data range of solutionsinto the channel. Earlier in his career, Mr. Major held a product management position at Nortel where he launched its branch access multimedia solution for its Passport family of products. He is the Global Account Director for Good Technology, focusing on helping companies transform their business with secure mobile solutions. This includes helping companies protect against data loss, manage data and device remotely, secure their mobile applications and embrace BYOD and device choice. Mr. Major holds has a B.A. in Business from Brunel University in England.
Vice President, State Street Global Advisors
David Mazza is a Vice President of State Street Global Advisors and the Head of ETF Investment Strategy for the Americas within the SPDR ETF Sales Strategy Group. In this capacity, Mr. Mazza manages a team of investment and product strategists who generate strategic and tactical investment opportunities for the ETF marketplace. In addition, Mr. Mazza develops market outlooks and investment themes that integrate SSgA’s thought leadership from across different investment disciplines. Mr. Mazza also authors whitepapers on various market and ETF-related topics. Prior to this role, Mr. Mazza was a member of the firm’s Global Enhanced Equity Group, responsible for research, portfolio management and product positioning across multiple investment strategies. Mr. Mazza began his career in the firm’s Charitable Asset Management Group, where he supported the investment management and administration of planned gifts. He received his BA in Political Science and Philosophy from Boston College. Mr. Mazza holds the FINRA Series 7 and 63 licenses and is a member of the Investment Committee at the Notre Dame Education Center in Boston, MA. In addition, he serves on the Lawrence Academy Alumni Council and Boston College Maroon & Gold Committee.
Managing Director, Whitebox Advisors, LLC
Kyle McDaniel is the Managing Director for Strategic Partnerships for Whitebox Advisors, LLC, a $2+ billion investment advisor based in Minneapolis, with offices in Austin, TX; Europe; and Asia. Located in Austin, Mr. McDaniel is responsible for building and enhancing strategic relationships worldwide, as well as leading the marketing teams across the firm. Mr. McDaniel came to Whitebox from Dorchester Capital Advisors, a fund of hedge funds and private equity investor, where he served as chief strategy officer and chief administrative officer. In that role, he merged the investment and business strategies of the organization, rebranding the firm, laying out a plan for Dorchester to follow for the next 10 years. Prior to Dorchester, Mr. McDaniel held the role of Chief Risk Officer and Director in Strategic Research and Risk Management for the Teacher Retirement System of Texas (TRS), one of the largest pension plans in the U.S and one of the largest pools of capital in the world. Mr. McDaniel served as the Chief Risk Officer and Chief Financial Officer for Austin Capital Management for nearly eight years. He started his professional career at Ernst & Young, laying the ground work for a career in alternative investing. He has degrees from Texas A&M University in both Finance and Accounting and was in the Air Force Corps of Cadets.
President and Founder, McLaughlin Asset Management, Inc.
Michael A. McLaughlin is the President and Founder of McLaughlin Asset Management, Inc. and also manages the Investment Advisory & Wealth Management practice. For the past 25 years, Mr. McLaughlin has been a recognized wealth management professional helping high-net-worth clients achieve their goals and objectives related to asset accumulation, asset protection, and asset distribution. By applying a set of specialized knowledge and skill, he often orchestrates and coordinates a team of trusted internal and external advisors including estate attorneys, CPAs and insurance specialists. Mr. McLaughlin also has a long history of providing portfolio management for individuals, endowments, foundations and qualified plans for profit and non-profit entities. He is a member of The Resource Group, Lincoln Financial Advisors; Premier Partners, Top of Cabinet Level, Lincoln Financial Network; The Society of Financial Services Professionals and National Association of Insurance and Financial Advisors. He is a Certified Financial Planner®, Chartered Retirement Plans Specialist®, and Investment Advisor Representative with Lincoln Financial Advisors Corp. Mr. McLaughlin earned a Bachelor of Science in Finance from The Pennsylvania State University. He holds FINRA Series 7, 63 and 66 licenses.
Senior Vice President, Steben & Company, Inc.
Neil Menard is Senior Vice President of Distribution at Steben & Company. Mr. Menard joined the firm in June of 2006, bringing 20 years of experience in the independent broker-dealer and registered investment advisor marketplace. Prior to joining Steben & Company, Mr. Menard was the director of Sales for Engagement Systems, LLC, a strategic outsource solution for independent financial advisors. Previously, Mr. Menard served as managing director of New Business Development for SEI Investments Distribution Co., a provider of asset management, investment processing, and investment operations solutions for institutional and personal wealth management. Mr. Menard holds his Series 3, 7, 24 and 63 licenses, and is a general securities principal. He has been a CFTC-listed principal and associated person of Steben & Company since 2006. Mr. Menard earned his Bachelor of Arts in Political Science from Colby College in 1989.
Head of Asset Management, Compass Group
Antonio Miranda joined Compass in 2008 and is group-wide Head of Asset Management. Mr. Miranda began his career at Citibank São Paulo trading gold and derivatives. After his MBA at Insead, France, he returned to Citibank in London, as a capital markets syndicate manager. Later he spent eight years at UBS (London and New York), running debt capital markets for Latin America, followed by three years as a member of the executive committee at Unibanco Wholesale Bank (New York and São Paulo). He returned to New York as a consultant to hedge funds and in 2005 joined Mellon HBV, a multi-strategy hedge fund, to co-manage a Latin American event-driven portfolio.
Vice President, Albridge Analytics, a division of Albridge, a BNY Mellon company
Bradley Moore is a Vice President and Product Manager for Albridge Analytics, a division of Albridge, a BNY Mellon company. Mr. Moore is responsible for all aspects of product management and development for the Albridge Analytics platform. Prior to joining Albridge Analytics, Mr. Moore was responsible for business process reengineering for the operational innovations group within PNC Global Investment Servicing. Before working at PNC, he was part of a team that streamlined the analytical functions for the finance group at Pepco Holdings. Mr. Moore earned a Bachelor of Science degree in Business Administration and a Master of Science degree in Information Systems and Technology Management from the University of Delaware. He has also successfully completed an executive education program on Product Innovation at the University of Wisconsin.
Director, Pershing LLC, a BNY Mellon company
Sandy Motusesky is a Director for Pershing LLC, a BNY Mellon company, where she leads the Investment Solutions team in the Financial Solutions group. Her team is responsible for the development and enhancement of investment offerings for our clients. These offerings include FundVest, Pershing’s no-transaction-fee mutual fund platform; alternative investments; 529 college savings plans and the Exchange-Traded Funds (ETF) Center. Ms. Motusesky brings over 20 years of investment product experience to Pershing. She most recently led TD Ameritrade’s Mutual Fund and ETF divisions, where she managed fund family relationships and new product development for individual investors and registered investment advisors. Prior to that, she was responsible for the marketing and management of various investment offerings at Goldman Sachs Asset Management, Morgan Stanley and Merrill Lynch. Ms. Motusesky earned a Bachelor of Science degree in Business Administration from The College of New Jersey and a Master of Business Administration degree in Finance from Fairleigh Dickinson University. She is a graduate of the Securities Industry Institute® (SII) program, sponsored by the Securities Industry and Financial Markets Association, at the Wharton School of the University of Pennsylvania.
Senior Investment Director, Putnam Investments
Brendan Murray is a Senior Investment Director in Putnam’s Global Investment Strategies group, dedicated to Global Asset Allocation products. In this role, he is responsible for developing and launching new products; defining product messaging for existing products; providing ongoing marketing and sales support; interpreting and communicating performance, positioning, and strategy to existing clients; and gathering market intelligence on trends in the global marketplace. Prior to this role, he served as investment director and team leader within Fixed Income. Mr. Murray, who holds his FINRA Series 7, 24 and 63 licenses, has been in the investment industry since he joined Putnam in 2002.
Chief Information Officer, Pershing LLC, a BNY Mellon company
Ramaswamy (Ram) Nagappan is the Chief Information Officer and a Managing Director for Pershing LLC, a BNY Mellon company. Mr. Nagappan is also a member of Pershing’s Executive Committee and BNY Mellon’s Operating Committee. Mr. Nagappan is responsible for the firm’s architecture, technology development, infrastructure management and IT operations for Pershing’s NetExchange suite of solutions and Albridge solutions. This includes Pershing's Internet-based account management, clearance, settlement and trading solutions; NetX360® and NetExchange Client®; Albridge enterprise data management and wealth reporting; computer telephony and mobile technology. Mr. Nagappan began his career at Pershing in 1988. Prior to joining Pershing, he was a technology consultant to Pershing, Guardian Life Insurance, Bakst International and Data Software Research Corp. Prior to the assuming his current role, Mr. Nagappan also served as Managing Director for technology development for DLJdirect and CSFBdirect, pioneers in online Internet brokerage. He also had a significant role in establishing iNautix Technologies India Private Limited at Chennai, India, a technology affiliate of BNY Mellon that provides a wide array of technology development services. Mr. Nagappan has more than 30 years of information technology experience with strong financial services knowledge. Mr. Nagappan is a member of the Financial Industry Regulatory Authority Technology Advisory Committee. He has served as a member of technology advisory committees for various national securities exchanges. Mr. Nagappan earned a Bachelor of Engineering degree in Electronics and Communication from Anna University Chennai (India). Most recently, he was named to Computerworld's “Premier 100 IT Leaders” for 2013.
Chief Investment Officer, Reich & Tang
Tom Nelson serves as Chief Investment Officer for Reich & Tang. He is responsible for defining and overseeing the investment strategy for Reich & Tang’s family of money market mutual funds and individual client separate account portfolios. Mr. Nelson previously served as the Director of Institutional Sales at Institutional Deposits Corp. where he was responsible for building its FDIC-insured deposit program and introducing it within the trust, bank, broker-dealer and institutional markets. Prior to that, Mr. Nelson was head of SunGard’s STN Money markets, the firm’s money market mutual fund and commercial paper distribution facility. In addition to being a senior vice president at ICAP Capital Markets., Mr. Nelson was head of the Short-Term Asset Portfolio Management Group at Chase Asset Management, where he worked for 14 years, and was responsible for $80 billion in assets across all short-term asset management classes. Mr. Nelson received a Bachelor degree in Economics from Duke University.
Director, Pershing LLC, a BNY Mellon company
Nancy Newcome is a Director and Manager of the Conversion Department and Account Services Department for Pershing LLC, a BNY Mellon company. Ms. Newcome oversees the client conversion process, including the scheduling and implementation of all conversion-related events for introducing broker-dealers new to Pershing. She is also responsible for managing the operations of the Account Services Department, including the management and prioritization of enhancements to Pershing’s name and address database. Ms. Newcome joined Pershing in 1993 and has worked in various areas of the firm, including New Accounts and Conversions. She joined the Conversion Team in 1998, and was directly responsible for the successful execution of several of the largest conversions ever performed in the industry. Ms. Newcome earned a Bachelor of Science degree in Business Management and a Master of Science degree in Information Systems from St. Peters College.
Chief Strategy Officer, Pershing LLC, a BNY Mellon company
Caroline O’Connell is Chief Strategy Officer and a Managing Director for Pershing LLC, a BNY Mellon company. As Chief Strategy Officer, Ms. O’Connell collaborates with business leaders across the firm to develop and continuously refine Pershing’s global strategy. She is also responsible for overseeing Pershing’s innovation, global marketing and corporate communications efforts. She is a member of the BNY Mellon Operating Committee and Pershing’s Executive Committee. Ms. O’Connell is responsible for creating and building Pershing’s marketing function and is a member of the Marketing Leadership Group for BNY Mellon. She was the first co-chair of Pershing’s Diversity Advisory Board, which was instrumental in the evaluation and selection of a diversity philosophy and process for the organization. Ms. O’Connell was a member of the BNY Mellon Women’s Initiative Network (WIN) Executive Committee at its inception and has been a speaker for WIN. Ms. O’Connell is a member of the Board of Trustees and the Curriculum Committee for the Securities Industry Institute® (SII), sponsored by the Securities Industry and Financial Markets Association (SIFMA), at the Wharton School of the University of Pennsylvania. She served on the SIFMA Sales and Marketing and Private Client Services Committees for more than 10 years and is a past chair of the SIFMA Sales and Marketing Conference. Ms. O'Connell is a member of the Insured Retirement Institute (IRI), the chair of the Marketing Committee for IRI and their Annual Meeting Planning Committee and a member of the Marketing Conference Planning Committee. She is a member of the Financial Communications Society (FCS) and has been a judge for the Portfolio Awards and a speaker for the FCS. She is also a member of the FCS Marketing Leadership Roundtable. Ms. O’Connell is a member of the Women’s Forum, Inc. of New York. Ms. O’Connell earned a Bachelor of Arts in Education and a Master of Business Administration degree from Old Dominion University. She completed the SII program, which is sponsored by SIFMA, at the Wharton School of the University of Pennsylvania and The Women’s Leadership Forum, a leadership development program, at Harvard Business School.
Principal and Portfolio Manager, CFIP
Phil Ordway joined CFIP in April 2007 as an investment analyst, and was admitted as a Principal of the firm on March 1, 2012. Mr. Ordway is responsible for investment analysis across various industries including financials and energy, and is a member of the Investment Committee. Prior to his involvement with CFIP, Mr. Ordway was an analyst in Structured Corporate Finance with Citigroup Global Markets, Inc., where he was part of a team responsible for identifying financing solutions for companies initially in the Global Power & Utilities Group. Mr. Ordway earned his M.B.A. from the Kellogg School of Management at Northwestern University (with concentrations in Analytical Finance and Decision Sciences) and his B.S. in Education and Social Policy and Economics (with honors) from Northwestern University.
Chief Equity Market Strategist, Federated Investors, Inc.
Philip Orlando serves as Federated’s Chief Equity Market Strategist, Senior Vice President and Senior Portfolio Manager. With 33 years of industry experience, he is responsible for formulating and articulating Federated’s views about the equity market, as well as positioning strategies for the firm’s products. He serves as chairman of both the Macro Economic Policy and the PRISM Asset Allocation committees, and additionally as head of the Balanced/Macro team within Federated’s equity group. Mr. Orlando has been a contributor to CNBC’s “Squawk Box,” “Squawk on the Street,” “Power Lunch,” “Closing Bell,” “The Kudlow Report” and “Nightly Business Report” programs, as well as Fox Business News, Bloomberg, Reuters, The Wall Street Journal and The New York Times, among others. He was previously selected for five consecutive years by BusinessWeek to participate in their prestigious year-end Market Forecast Survey and was identified as a top investment strategist in 1999 for providing the most accurate forecast that year. He received his Master degree in Business Administration and his bachelor’s degree, both from New York University. He is a CFA charter holder.
Senior Managing Director, Guggenheim Investments
James Pass joined Guggenheim in 2009 and is responsible for the research, development and implementation of investment strategies for the firm’s municipal obligations, including tax-exempt and taxable bonds, Build America Bonds and tax-credit bonds. He is responsible for building and managing the firm’s military housing and municipal hybrid activities, making the firm a leader in those sectors among institutional investors. Mr. Pass and his Municipal Investment Team successfully grew municipal holdings from less than $1 billion as of December 2008 to over $8.5 billion as of December 2012 and launched multiple funds. Prior to joining Guggenheim, Mr. Pass was a managing director at RBC Capital Markets where he headed the firm’s Midwest Region. He earned his B.A. in Diplomatic History and Political Science from the University of Pennsylvania. Due to the breadth of his industry knowledge, Mr. Pass has been featured in multiple publications and spoke to various associations in the industry, including Bloomberg Press, Bloomberg Live, The Bond Buyer, National Federation of Municipal Analysts and National Association of State Treasurers.
Managing Director, Pershing LLC, a BNY Mellon company
Derek Penn is a Managing Director for Pershing LLC, a BNY Mellon company, where he is responsible for equity trading and execution services for Trading Services, including Pershing’s Institutional Agency Sales Desk, International Agency Trading Desk, Foreign Exchange Desk, Execution Services Desk, Pershing Advisor Solutions’ Trading Desk and the Options Trading Desk. He also has responsibility for the Market Making Trading Desk, Pershing’s trading operations on the New York Stock Exchange, as well as Pershing’s London trading operations. Mr. Penn brings nearly 30 years of trading and financial services experience to Pershing. Most recently, he was senior vice president and head of Equity and Fixed Income Trading at Fidelity Capital Markets, where he was responsible for overseeing a team of traders across the equity, taxable and nontaxable debt markets. Prior to that, Mr. Penn was senior vice president of International Equity Trading at Lehman Brothers Inc., where he oversaw a trading operation covering 36 countries from the Far East to Europe to Latin America. Previously, he held a number of senior trading positions at Merrill Lynch and Morgan Stanley, and has been recognized as one of the leading African-American executives on Wall Street. Mr. Penn is a graduate of Duke University and earned a Master of Business Administration degree from the Fuqua School of Business at Duke. He serves on Duke University’s Fuqua School of Business Board, and has served on Duke’s Athletic Advisory Board as well as Duke’s Cultural Committee.
President and Chief Executive Officer
Shirl Penney is the founder of Dynasty Financial Partners and serves as President and Chief Executive Officer. He is formerly director of Business Development for Global Wealth Advisory Services at Citi Smith Barney and previously served as head of Executive Financial Services and Director of Private Wealth Management at Smith Barney. During his tenure at Citi Smith Barney’s High-Net-Worth Group, which catered to the firm’s clients with $50 million or more investable assets, the group was named High-Net-Worth Platform of the year for 2002, 2003, 2005,and 2006 by Private Asset Management, the private client research arm of Institutional Investor. Mr. Penney is a graduate of Bates College and serves as president of the Clarence E. Townsend Foundation, which supports various individuals and groups in need in his home state of Maine.
Executive Vice President, Federated Investors, Inc.
Solon “Bud” Person is Executive Vice President of the Wealth Management and Cash Division of Federated Investors. Mr. Person is responsible for overseeing Federated's distribution into the wealth management market for asset allocation, retirement and liquidity applications. Mr. Person is also responsible for overseeing all liquidity management applications within the institutional and retail broker-dealer channels and the direct institutional market consisting of corporations, public entities and non-profit organizations. He joined Federated in 1981. Mr. Person earned a Bachelor of Science degree in Business and Economics from Lehigh University.
Vice President, Capital Group Institutional Investment Services
David Polak is a Vice President and Investment Specialist for Capital Group Institutional Investment Services and a former research portfolio coordinator in certain global equity portfolios. Prior to joining the Capital organization in 2005, Mr. Polak was a managing director at Deutsche Bank, where he managed a global equity hedge fund. He spent the previous 17 years with UBS in a variety of marketing and management positions within the equity division. Mr. Polak earned a BSc in Economics from University College London, graduating with honors. He is based in New York.
Chief Product Strategist, Highland Capital Management Fund Advisors
Ethan Powell is Chief Product Strategist at Highland Capital Management Fund Advisors. In this role, Mr. Powell is responsible for evaluating and optimizing the registered product lineup offered by Highland. Additionally, he works with portfolio managers and wholesalers on appropriate positioning of strategies in the market place. Prior to his current role, Mr. Powell was a senior fund analyst responsible for working with portfolio management teams and service providers in the operation and marketing of the funds. Prior to joining Highland in April 2007, Mr. Powell spent most of his career with Ernst and Young providing audit and merger and acquisition services within the firm’s Transaction Advisory Services Group in Houston, Texas. Mr. Powell’s primary focus was acquisitions in the Energy industry. Mr. Powell received an MS in Management Information Systems and a BS in Accounting from Texas A&M University. Mr. Powell has earned the right to use the Chartered Financial Analyst designation and is a licensed Certified Public Accountant.
Wael H. Rashidi
Financial Consultant, Associated Investment Services, Inc.
Wael H. Rashidi is a financial consultant with Associated Investment Services, where his fee-based practice specializes in asset management. As a CFP®, he examines a client's entire financial picture and provides each client with a financial plan. He finished as the top-producing financial consultant at Associated Investment Services in 2012. Before joining the firm in 2006, Mr. Rashidi held positions at both Morgan Stanley and JPMorgan Chase. He received a Bachelor of Science degree from the University of Wisconsin Green Bay. He holds Certified Financial Planner (CFP®) and Chartered Financial Consultant (ChFC) designations.
Senior Analyst, Invesco
Jeffrey Reemer is a Senior Research Analyst and Client Portfolio Manager for Invesco Senior Secured Management, Inc. Mr. Reemer joined Invesco in 2009 as a credit analyst and was promoted to vice president in 2012. Prior to joining Invesco Senior Secured management, Inc., Mr. Reemer worked as an investment banking associate in Credit Suisse’s Leveraged Finance Origination and Restructuring Group. He entered the industry in 2003. Mr. Reemer earned a BSBA degree in Finance and Accounting from Washington University in St. Louis. He is a CFA charter holder, and he holds the Series 7 and Series 63 licenses.
Partner, Drinker Biddle & Reath LLP
Fred Reish is an ERISA attorney whose practice focuses on fiduciary responsibility, retirement income and plan operational issues. He has been recognized as one of the “Legends” of the retirement industry by both PLANADVISER magazine and PLANSPONSOR magazine. Mr. Reish serves as a member of his firm’s Retirement Income Team and is a member of the Institutional Retirement Income Council (IRIC), which focuses on retirement income issues and products, and has written extensively about retirement income issues. He also received awards for: the 401(k) Industry’s Most Influential Person by 401kWire; one of RIABiz’s 10 most influential individuals in the 401(k) industry affecting RIAs for 2012; the Commissioner’s Award and the District Director’s Award by the IRS; the Eidson Founder’s Award by the American Society of Professionals & Actuaries (ASPPA); the Institutional Investor and the PLANSPONSOR magazine Lifetime Achievement Awards; and the ASPPA/Morningstar 401(k) Leadership Award. He has written more than 350 articles and four books about retirement plans, including a monthly column on 401(k) fiduciary issues for PLANSPONSOR magazine. Mr. Reish co-chaired the IRS Los Angeles Benefits Conference for over 10 years, served as a founding co-chair of the ASPPA 401(k) Summit, and has served on the steering committee for the DOL National Conference.
Executive Vice President, PIMCO
Mr. Reisz is an Executive Vice President in the Newport Beach office and a Product Manager covering the spectrum of Money Market, Enhanced Cash and Income strategies. Prior to joining PIMCO in 2000, he was with Transamerica Asset Management for more than 10 years, responsible for business development, client servicing and product development. He has 29 years of investment experience and holds an undergraduate degree from the University of California, Berkeley and an MBA from the Marshall School of Business at the University of Southern California.
President, Reliance Trust Company
Michael Roberts leads personal trust services at Reliance Trust and holds the officer title of Executive Vice President and serves on the Reliance Trust management committee. Mr. Roberts is also the President of the newly formed Reliance Trust Company of Delaware and serves on its board of directors. He directs all personal trust operations and contributes to the strategic development of the wealth management activities for Reliance Trust. In addition, he works closely with senior leadership to advance several of the company’s long-term initiatives and programs. He has more than 20 years of financial services experience. Prior to joining Reliance in 2010, he was a managing director of UBS Financial Services Inc. where he established a chartered national trust company in Delaware. He has also held positions at Wachovia Bank, Capital South Corporation and First National Bank of Atlanta. Mr. Roberts received a Juris Doctorate from the University of South Carolina and a Bachelor of Art degree in Political Science from the College of Charleston. He also has an LL.M. in Taxation from the Emory University School of Law.
Managing Director, BlackRock
Dominik Rohe, Managing Director, is Head of Retail and Institutional for the Latin America and Iberia region. Mr. Rohe is also a member of the Latin America & Iberia Executive Committee. In his current role, Mr. Rohe is responsible for BlackRock's Institutional and Retail businesses in the Latin America and Iberia region with offices in Madrid, Miami, New York, Sao Paulo, Mexico City and Santiago de Chile. Prior to moving to his current role in 2012, Mr. Rohe was head of Sales for the Retail & Institutional business in the Latin America and Iberia region. Mr. Rohe joined BlackRock in 2005 as a relationship manager within the International Global Client Group. Previously, Mr. Rohe was with Dresdner Kleinwort Wasserstein for six years where he worked on the private placement and frequent issuer desks within Debt Capital Markets. Mr. Rohe began his career in 1997 as an emerging markets credit analyst with Republic National Bank of New York. Mr. Rohe earned a BS degree, cum laude, in Finance with a minor in Economics from Saint Francis College in 1997.
Senior Director, S&P Capital IQ Equity Research
Todd Rosenbluth is a senior director at S&P Capital IQ and is Director of ETF and Mutual Fund Research in the United States, leading the firm’s holdings-based research efforts. Mr. Rosenbluth publishes regular thought leadership content on equity and fixed income products, maintains the quantitative fund models and supports client needs. Mr. Rosenbluth also serves as a member of S&P Capital IQ’s Equity Research’s Portfolio services Group. Mr. Rosenbluth has been interviewed and quoted numerous times in various newspapers and magazines, including Barron’s, Bloomberg, New York Times, Financial Advisor magazine, The Wall Street Journal and USA Today. Mr. Rosenbluth has also been frequently quoted on the Internet at Ignites.com and Smartmoney.com, and has appeared on Bloomberg and CNBC. Prior to his current role, Mr. Rosenbluth was a group head and had responsibility for stocks within the telecom services, telecom equipment, electric and gas utilities industries. Mr. Rosenbluth was named in the 2011 Wall Street Journal’s Best on the Street Survey for his coverage of telecom services stocks. Mr. Rosenbluth previously served in other financial positions at the company such as International Mutual Fund Sector Specialist and Large Cap Value and Large Cap Growth Analyst, as well as serving on the Fund Services Asset Allocation Committee. Prior to joining S&P in 2001, Mr. Rosenbluth was managing editor of Value Line Mutual Fund Survey and Senior Large Cap and Small Cap Value Mutual Fund Analyst. Mr. Rosenbluth also held the position of financial adviser with Morgan Stanley. In 1997, Mr. Rosenbluth received a Bachelor’s of General Studies in Finance from the University of Michigan and received an MBA in Finance from New York University in 2002.
Managing Director, Pershing LLC, a BNY Mellon company
Michael Row is a Managing Director for the Global Customers group and a member of the Executive Committee for Pershing LLC, a BNY Mellon company. Mr. Row has leadership responsibility for the Relationship Management, Account Management and General Customer Service teams for Pershing’s domestic introducing broker-dealer businesses. He is also responsible for Pershing’s efforts involving two key customer strategic growth initiativesRIA Complete and our efforts to attract Self-Clearing firms. Mr. Row joined Pershing’s Customer Service department in 1987 and has worked with a broad range of financial organization customers. During his career at Pershing, Mr. Row has assumed all roles within the core Pershing service model, including customer service representative, account manager and relationship manager. Mr. Row has also managed the Relationship Management function for Pershing Advisor Solutions, which provides custody, technology and reporting solutions to registered investment advisors. From 2005 through 2010, he served on the Financial Industry Regulatory Authority® (FINRA®) Membership Committee and was a member (2002 to 2004) and then chair (2004) of the FINRA District 9 Committee covering the Mid-Atlantic. He has also been a member of the Securities Industry and Financial Markets Association (SIFMA) Private Client Services Committee. Mr. Row earned a Bachelor of Arts degree in History from Rutgers University and has also completed the Securities Industry Institute® program, sponsored by SIFMA, at the Wharton School of the University of Pennsylvania.
Senior Regional Vice President, MetLife Broker Dealer Group
Alan Roycroft is a Senior Regional Vice President for the MetLife Broker-Dealer Group and is responsible for the national wholesaling team and national sales. Using a consultative approach, Mr. Roycroft specializes in helping advisors and sales managers meet client investment goals and objectives by leveraging the resources of the Broker-Dealer Group. Mr. Roycroft has 19 years of professional sales and management experience that began in asset management and has culminated with a variety of sales and marketing roles in the development, and management of the broker-dealer at MetLife. His goal is to help advisors develop the techniques and skills to become the best in the business and arm them with a wide array of business-building solutions and strategies to solve specific client problems. He has a Bachelor of Art from Salve Regina University and possesses Series 7 and 24 licenses.
Managing Director, Pershing LLC, a BNY Mellon company
Joan Schwartz is a Managing Director for Pershing LLC, a BNY Mellon company, where she is responsible for supervising the Legal department staff that handles litigation, employment matters and regulatory matters, as well as responding to legal notices, such as garnishments, levies, subpoenas and other court orders. Ms. Schwartz also provides advice and counsel to Pershing’s operational business units. She partners with Compliance on the firm’s regulatory examinations, regulatory inquiries, anti-money laundering related issues and inquiries from law enforcement. Ms. Schwartz has spent her entire career as an attorney in the financial services industry, beginning with Prudential Securities, Inc., and continuing with Wachovia Securities LLC and First Clearing LLC before joining Pershing in 2008. Ms. Schwartz is a member of the Compliance and Legal division of the Securities Industry and Financial Markets Association (SIFMA) and the SIFMA Regulation Clearing Firms Committee. Ms. Schwartz earned a Bachelor of Arts degree from Binghamton University and a Juris Doctorate degree from Brooklyn Law School.
Executive Vice President, FINRA
Thomas Selman, Executive Vice President, Regulatory Policy at FINRA, has served in this position since 2008. He oversees the departments of Corporate Financing, Advertising Regulation, Investment Companies Regulation, Member Education and Training, and the Office of Emerging Regulatory Issues. Tom joined the organization in 1996. From 1992 to 1996, Mr. Selman was associate counsel at the Investment Company Institute, a trade association for the mutual fund industry. Prior to that time, he served as special counsel in the Office of General Counsel at the United States Securities and Exchange Commission, a position he held beginning in 1987. Tom was an attorney-advisor to the European Union in Brussels, Belgium, from 1986 to 1987. In addition to his career accomplishments, Mr. Selman has authored articles that were published in Investment Lawyer, The International Lawyer and Insights. Mr. Selman received Bachelor degrees in Economics and History from Rice University, and a Doctor of Jurisprudence degree from The University of Texas School of Law, where he was associate editor of the Texas Law Review.
Member, Bressler, Amery & Ross, P.C.
Andrew Sidman is a member of Bressler, Amery & Ross. He heads the firm’s securities regulatory defense practice and is the Managing Partner of the firm’s New York office. Mr. Sidman specializes in representing clients in investigations and disciplinary proceedings by the SEC, FINRA, other self-regulatory organizations and state regulators. He also conducts internal investigations and reviews of clients’ policies and procedures. An important focus of his practice is counseling clients on best practices for conducting business in compliance with applicable law and in a manner that reduces litigation and regulatory risk. In addition, Mr. Sidman has extensive arbitration and litigation experience. Mr. Sidman is a frequent speaker on securities industry panels and before clients’ lawyers and business personnel. Mr. Sidman began his legal career in the SEC’s Office of the General Counsel in Washington, D.C. After leaving the SEC, and before joining the firm, he headed the securities industry defense practice at the law firm of Butler, Fitzgerald & Potter. Mr. Sidman received his Juris Doctorate from American University and his Bachelor of Arts degree, with Honors, from Colgate University. He is a member of the SIFMA Law and Compliance Division, and is co-chair of the ABA Securities Litigation Committee's Subcommittee on Self-Regulatory Organizations.
Head of Trading Technology, First Republic Securities Company
Dheeraj Soni is the Head of trading technology at First Republic Securities Company, where he is responsible for managing day to day technical operations for the broker-dealer division. Prior to joining First Republic in 2011, he was director of Business Systems at Stifel Nicolaus and Company. He started his career as a management consultant at PricewaterhouseCoopers. Mr. Soni has over 14 years of broker-dealer and investment banking technology experience. He graduated from ICFAI Business School with a MBA in Finance and Technology. He holds Series 7 and 63 licenses.
Vice President, Pershing LLC, a BNY Mellon company
James Spiegelhoff is a Vice President for Pershing LLC, a BNY Mellon company, and is the group manager for Pershing’s Practice Management team. The Practice Management group works with Pershing’s broker-dealer, registered investment advisor and hedge fund clients to deliver practice management services to help its customers drive growth, optimize human capital, maximize operational efficiency and manage risk. Mr. Spiegelhoff joined Pershing in 2012. Prior to joining Pershing, Mr. Spiegelhoff was a director at UBS within Advisor Marketing and Private Wealth Management and a senior manager at Vanguard within Financial Advisor Services. Mr. Spiegelhoff earned a Bachelor of Arts degree from University of Pennsylvania.
Managing Director, BNY Mellon
Jamie Spruyt is Head of Alternative Manager Research for BNY Mellon Investment Management. The Alternative Manager Research Group focuses on liquid and illiquid strategies across three major asset class sleeveshedge funds, private equity and real assets. In this role, he oversees alternative manager selection and due diligence functions for discretionary and nondiscretionary client accounts across institutional, retail and intermediary channels. Mr. Spruyt joined BNY Mellon Investment Management in 2010 within the Investment Strategy & Solutions Group. In this role, he helped develop research into topics relevant to institutional investors. In addition to the research agenda, he assisted in the development of multi-asset, multi-manager portfolios. Mr. Spruyt joined BNY Mellon Asset Management from Syracuse University, where he was the director of Public Markets investments for the University’s endowment and operating assets. He was responsible for the selection and monitoring of all public equity, fixed income, and hedge fund managers utilized within the endowment portfolio. He received his Bachelor degree from Loyola University Chicago.
Director, Pershing LLC, a BNY Mellon company
Aaron Steinberg is Director for Pershing LLC, a BNY Mellon company, and Head of Relationship Management for the Pershing Prime Services. In this role, Mr. Steinberg is responsible for a team of professionals who establish and maintain prime brokerage relationships with hedge funds, mutual funds and other alternative managers. Prior to joining Pershing in 2007, Mr. Steinberg was a vice president for Bear Stearns Global Clearing Services, where he was a member of the Prime Brokerage Consulting group. Mr. Steinberg was responsible for consulting hedge funds on all aspects of operational and infrastructure-related issues, including fund launches and service provider selection as well as effectively implementing growth plans. Before joining Bear Stearns, Mr. Steinberg was head of Trading Floor Technology for Dreyfus and Mellon HBV Alternative Strategies and also held a role as network engineer at Furman Selz (now UBS Prime Brokerage), supporting the technology needs of the firm’s hedge fund clients. Mr. Steinberg earned a Bachelor of Science degree in Communications from the State University of New York, Albany.
Director, Pershing LLC, a BNY Mellon company
Katie Swain is a Director in the Financial Solutions Group for Pershing, LLC, a BNY Mellon company. Ms. Swain has responsibility for leading Wealth and Cash Management, Lending and Investor Experience teams. The solutions and services offered include Trust Network and donor advised services, Corestone Account and securities lending. Ms. Swain also leads the Investor Experience team focused on supporting clients’ objectives to deepen and grow their client relationships by developing and implementing a strategy for statements, forms and letters. These teams and the solutions and services they offer are fundamental to helping Pershing clients grow their businesses and drive revenue. In addition, she has an enterprise focus on initiatives that deliver the whole firm, allowing our clients to better serve the high-net-worth and ultra-high-net-worth investor segment. Ms. Swain brings over 25 years of financial service experience to Pershing. Prior to joining Pershing in 2010, she was the affluent strategy director at Wells Fargo Advisors (formerly Wachovia Securities) where she was responsible for developing the firm’s enterprise affluent strategy and bank brokerage affluent market segment by leveraging market and client insights and research. Earlier in her career at Wells Fargo Advisors, she directed all facets of the Personal Trust Services product platform, defining brokerage needs for the firm domestically and internationally. From 1986 to 1997 Ms. Swain was in sales and focused on delivering investment, retirement and estate planning solutions to high-net-worth individuals at firms including Merrill Lynch and UBS. She holds a Bachelor of Arts from Old Dominion University.
Managing Director, Pershing LLC, a BNY Mellon company
Gerald Tamburro is a Managing Director of Pershing LLC, a BNY Mellon company, and is a member of Pershing’s Executive Committee and the BNY Mellon Operating Committee. He leads Pershing’s Collateral Funding and Trading unit and is the co-leader of Pershing Prime Services. Before joining Pershing in 2009, Mr. Tamburro was a managing director at UBS AG, where he was responsible for fixed income collateral trading, including U.S. Treasuries, agencies, mortgage-backed securities and credit repo activities. He also managed the short duration sales group. Mr. Tamburro began his career in the Audit Department of the Chase Manhattan Bank. He later joined its securities lending business in product development, eventually leading the bank’s entry into the international markets. Mr. Tamburro joined Lehman Brothers in 1989 in the International Equity Department. He was the leader of the London-based prime brokerage and equity finance groups (1991-1995) prior to returning to New York to lead the group globally. Mr. Tamburro is a member of the Asset and Liability Committee, the Credit and Market Risk Committee and the Possession and Control/Financial Reporting Steering committee for Pershing. He is a former board member of the Securities Industry and Financial Market Association (SIFMA). Mr. Tamburro earned a Bachelor of Science degree in Economics from Rutgers University.
President, First Republic Securities Company
David Tateosian is President of First Republic Securities Company, a position he assumed in 2003, where he is responsible for building and growing the firm’s brokerage, foreign exchange and overall wealth management businesses. He is a member of First Republic Bank’s Asset and Liability and Pricing Committees. Before joining First Republic, Mr. Tateosian was senior managing director of brokerage and trading services for New York Stock Exchange member firm PreferredTrade, Inc., in San Francisco, California, where he managed the development of the firm’s retail and institutional agency business lines. Prior to that role, Mr. Tateosian spent 10 years at Fidelity Investments, part of which he served as vice president and manager of Fidelity’s retail investor centers in San Francisco and Palo Alto, California. Mr. Tateosian is an arbitrator for the Financial Industry Regulatory Authority, Inc. He serves on the Board of Directors of the San Francisco Society for the Prevention of Cruelty to Animals (SF/SPCA) and chairs its Investment Committee. Mr. Tateosian earned his Bachelor of Science degree from the University of Vermont. He holds FINRA Series 4, 7, 8, 24, 55, 63 and 65 licenses.
Strategic Account Executive, LinkedIn
Brian Tietje has spent the last six years happily evangelizing LinkedIn. Being an Account Executive allows him to share first hand in his clients’ successes and challenges. Mr. Tietje’s unique professional background spanning account management, pre-sales engineering, process improvement, and technology implementations provides him with a unique perspective when analyzing a client situation. He does dare to compare. What is he comparing now? Sales methods of old vs. social selling. It is no contest. Sharpen the funnel, be more effective at qualifying, add velocity to your cycle and close more business.
President, American Endowment Foundation
Thomas Tobin is President, CEO, and Member of the Board of Directors of American Endowment Foundationthe sponsor of America’s largest independent donor-advised fund program. Mr. Tobin, along with Philip T. Tobin, co-founded AEF in 1993, and has been personally involved in almost every aspect of Donor Advised Fund administration and marketing. Prior to AEF, Mr. Tobin had nine years of experience in institutional investments, most recently as a V.P. with Lehman Brothers in New York and Chicago. Mr. Tobin holds a Bachelor degree in Business-Finance from Miami University, Oxford, Ohio. Mr. Tobin is on the boards of several community organizations in his hometown of Hudson, Ohio.
President/Chief Executive Officer, Wealth Management
Nick Ventura is the founder and President of Ventura Wealth Management. Mr. Ventura’s career spans over 30 years in the field of investment management, and many of the firm’s clients have been with him from the start. Mr. Ventura’s areas of expertise include portfolio strategy, asset allocation, and advanced financial planning. Mr. Ventura is a CERTIFIED FINANCIAL PLANNER and a Certified Private Wealth Advisor. After a successful career in the brokerage industry, Mr. Ventura founded Ventura Wealth Management to serve the client’s needs above all else. His strong desire to remove the biases and sales pitches from the investment experience was a guiding force to the firm’s independent philosophy. He was an early adopter of team-based investment management and feels strongly that the best client support is derived by a team of professionals with multiple fields of expertise. The firm’s mantra of “Do no harm” is testimony to the risk control Mr. Ventura maintains for clients assets. Working together with the firm’s other portfolio managers; Mr. Ventura is instrumental in the development of innovative and proprietary investment strategies. Mr. Ventura is active in the local community and serves on the Board of Directors of both the Children’s Home Society of New Jersey and PEI Kids, two well respected child welfare agencies. Mr. Ventura’s hobbies include skiing, hiking, golf, and sports cars. He graduated cum laude from Rider University in 1980 with dual degrees in Finance and Management.
Vice President, Pershing Advisor Solutions LLC, a BNY Mellon company
Adam Verchinski is a Vice President, Senior Relationship Manager for Pershing Advisor Solutions LLC, a BNY Mellon company. Mr. Verchinski and the relationship management team work with more than 400 firms, which custody over $78 billion with Pershing Advisor Solutions. He consults with registered investment advisors (RIAs) to develop and grow their practices, and help them manage business issues, enabling firms to become more scalable, profitable and productive. Mr. Verchinski joined Pershing in 2011 and previously led the Practice Management group, working with Pershing’s broker-dealer, registered investment advisor and hedge fund customers to deliver practice management services. Prior to joining Pershing, Mr. Verchinski was the director of strategic planning at AllianceBernstein in New York and a senior manager at Accenture, consulting to the capital markets industry. Mr. Verchinski earned a Bachelor of Science degree in Business Administration from University of Delaware with a concentration in Finance and Economics and completed the Advanced Capital Markets program with the NYU Stern School of Business.
Director, Pershing LLC, a BNY Mellon company
Timothy Walsh is a Director for Pershing LLC, a BNY Mellon company and a Relationship Manager for clients based in Europe, the Middle East and Africa (EMEA). Mr. Walsh is responsible for both new business development and client services in the region. He is a member of Pershing’s International Risk and Equity Best Execution Committees. Prior to his current role, Mr. Walsh was a client executive at BNY Mellon, covering banks in the South Eastern United States and a vice president at Brown Brothers Harriman & Co./BBH Limited London responsible for BBHCOnnect, and integrated execution, clearance and settlement offering. Mr. Walsh began his career at Scudder, Stevens & Clark. Mr. Walsh earned a Bachelor of Science in Finance, magna cum laude, from Kean University.
Senior Vice President, PFS Investments, Inc.
John S. Watts is Senior Vice President and Chief Counsel of PFS Investments Inc., the broker-dealer and registered investment adviser subsidiary of Primerica Inc. Primerica’s independent contractor representatives offer mutual funds, variable annuities and a mutual fund wrap fee program. As Chief Counsel, he advises executive management on a wide range of legal issues encountered by the broker-dealer, registered investment adviser and affiliated shareholder servicing entity. Prior to joining Primerica in 1996, Mr. Watts was a senior counsel in the Division of Enforcement, Securities & Exchange Commission (Atlanta Regional Office; 1990-1996), where he primarily focused on the investigation and prosecution of fraudulent offerings. Mr. Watts received his law degree from the University of Florida, where he served as senior managing editor of the University of Florida Law Review. He is admitted to practice law in both Georgia and Florida.
Vice President, Pershing LLC, a BNY Mellon company
Margaret Weaver is a Vice President for Pershing LLC, a BNY Mellon company, in the Technology Products and Services group. Ms. Weaver works closely with the relationship management and account management teams to develop product solutions that meet the needs of Pershing clients and investors. She joined Pershing management in June 2010 to lend her expertise to Pershing’s focus on e-delivery. In addition, she is also product manager for Pershing’s electronic document storage solution. Prior to joining Pershing, Ms. Weaver gained valuable experience in the industry and e-delivery field over a period of 16 years, including managing the e-mail and e-delivery products at Fidelity Investments. Ms. Weaver earned a Bachelor of Science in Marketing and Accounting from the University of Arizona. She also earned her Master of Business degree from Babson College’s F.W. Olin Graduate School of Business.
Vice President, T. Rowe Price
Jason White is a Portfolio Specialist in the Equity Division of T. Rowe Price. He is a member of the international equity investment team, participates in investment strategy calls, and regularly travels with other investment professionals to visit companies around the world. Mr. White is a Vice President of T. Rowe Price Group, Inc., and T. Rowe Price International Ltd. Mr. White has 11 years of investment experience, eight of which have been at T. Rowe Price. Prior to joining the firm in 2004, Mr. White was a principal of State Street Global Advisors and an investment analyst on the global active equity investment team, where he covered various non-U.S. equity strategies. Mr. White earned an A.B. in Economics from Kenyon College, an M.Eng. in Operations Research from Rensselaer Polytechnic Institute, and an MBA in Finance from the University Of Chicago Booth School Of Business.
Senior Vice President, Cole Real Estate Investments
Kevin White, CFA serves as Senior Vice President, Investment Strategy & Research at Cole Real Estate Investments. In this role, he is responsible for providing strategic analysis in support of the investment process, articulating Cole’s views on the U.S. economy and commercial real estate markets, and assisting in leading Cole’s research and strategy organization. Mr. White has more than 15 years of experience in macroeconomic and financial analysis, global real estate analysis and forecasting. He is an author, editor and seasoned speaker at industry conferences and client events. Prior to joining Cole, he was a Real Estate Strategist with Property & Portfolio Research, an economist with International Data Corporation, and a tax policy officer with the Department of Finance for the Government of Canada. Originally from Canada, Mr. White earned his B.A. in economics from Queen’s University and his M.A. in economics from the University of British Columbia. He is also a CFA charter holder.
Director, Lockwood Advisors, Inc., an affiliate of Pershing LLC, a BNY Mellon company
John Wren is the Head of Business Development for Lockwood Advisors, Inc. (Lockwood), an affiliate of Pershing, a BNY Mellon company, and a Director for Pershing. Based in King of Prussia, Pennsylvania, Mr. Wren is responsible for overseeing all business development initiatives related to Lockwood’s advisory programs. Previously, Mr. Wren was a regional director with Lockwood, where he developed and supported business relationships with advisors in the Mid-Atlantic States who use Lockwood’s managed money platform. Prior to joining Lockwood in 1997, Mr. Wren was a managing director with Systematic Financial Management and spent six years with the Smith Barney Consulting Group, based in Wilmington, Delaware, as a vice president and national product manager. He has more than 21 years of experience in the investment management and consulting industry. Mr. Wren earned a Bachelor of Science degree in Economics and Finance from Widener University.
Director, Pershing LLC, a BNY Mellon company
Patrick Yip is a Director for Pershing LLC, a BNY Mellon company, where he is the Business Technology Officer for Pershing Advisors Solutions. He is also responsible for advisory technology strategy at Pershing. Mr. Yip has more than 20 years of experience in information technologies in the financial industry. Prior to his current role at Pershing, Mr. Yip led the Enterprise Solutions product team at Albridge, an affiliate of Pershing, where he was responsible for business intelligence, compliance, document management, and compensation management solutions. He has developed data warehouse solutions for major insurance companies, credit card companies and fashion retailers. Mr. Yip earned a Bachelor of Science and Engineering degree from the University of Pennsylvania.
Director, Pershing LLC, a BNY Mellon company
Lynn Young is a Director in the Compliance department at Pershing LLC, a BNY Mellon company. Ms. Young became Pershing’s Anti-Money Laundering (AML) officer in 2006 and the Office of Foreign Assets Control (OFAC) officer in 2012. She currently manages a team of 14 AML associates and oversees the development of AML and OFAC policies and procedures, suspicious activity reporting, management of surveillance efforts, development and delivery of AML training, and management of the firm’s sanctions violation detection efforts. Ms. Young has more than 20 years of industry experience and has worked in various operations areas, including New Accounts, Corporate Actions, ACAT Transfers and Margin before becoming a compliance officer in 1996. Prior to joining Pershing, Ms. Young spent four years at Harrisdirect, where she was a director and the firm’s AML officer. Ms. Young actively participates in several industry associations, including the Securities Industry and Financial Markets Association’s (SIFMA) AML Committee, the SIFMA Micro-Cap Stocks Working Group, and the KPMG AML Share Forum. She completed the Securities Industry Institute® program, sponsored by SIFMA, at the Wharton School of the University of Pennsylvania, and is a Certified AML Specialist.
Portfolio Strategist, Richard Bernstein Advisors LLC
Joseph Zidle is a Portfolio Strategist with Richard Bernstein Advisors LLC. Before joining RBA, Mr. Zidle was a director with Bank of America Merrill Lynch Global Research and served as the deputy director of the Research Investment Committee (RIC), head of investment strategy for Global Wealth Management, and co-head of tactical asset allocation. Most recently Mr. Zidle served as the head of global research marketing for Global Wealth Management. Mr. Zidle has nearly 20 years’ investment experience in various research roles. Mr. Zidle holds degrees in economics and history from Emory University and served as a specialist in military intelligence for the U.S. Army Reserve. In 2010 Mr. Zidle was named one of the “40 Under Forty” rising stars by Crain’s New York Business.