Agenda

Please note: All sessions will be held in Pacific Time (PT). Early registration is open Tuesday, June 13 between 4:00 p.m. – 7:00 p.m.

To view presentations approved for distribution, select “Show Details” and click the highlighted session title. In order to view the presentations, please refer to the password that was included in the conference guide.

For your continuing education (CE) requirements, Pershing has applied for CFA CFP CWS and IMCA credits. Eligible sessions are noted on the agenda.

Day One Wednesday, June 14

6:00 AM | 1 Hour

Sunrise Yoga


7:15 AM | All Day

Registration Open


7:30 AM | 1 Hour 45 Minutes

Breakfast in the Grand Exhibit Hall


7:30 AM | 4 Hours 45 Minutes

Grand Exhibit Hall Open


7:30 AM | 9 Hours 30 Minutes

Harbor Exhibit Hall Open


8:30 AM | 45 Minutes

Pavilion Open


9:15 AM | 1 Hour 15 Minutes

Pre-Conference Session I

Bionic Advisors Who Have Embraced the Power of Technology* CFA CWS IMCA

Bionic advisors are those who have embraced digital methods to enhance their practice. Learn how they are leveraging portals, financial planning tools, data, analytics and social media to differentiate themselves and prove their value.

Moderator: Kathleen Johnson, Vice President, Pershing
Jim Cook, Founder, J. Cook Financial
Kyle Ryan, Executive Vice President, Personal Capital
Tim Van Lohuizen, Personal Financial Advisor, Sagepoint Financial Inc.

Theme: Boost Your Efficiency

Managing Your Profitability and Growth With Metrics CFA CWS IMCA

Top-performing advisory firms manage for maximum profitability and growth by using benchmarks and tools to drive strategic business decisions. Listen to experts from leading firms as they share how understanding and utilizing metrics helped them to make more informed choices.

Moderator: Barbara Novak, Vice President, Pershing
Lisa Crafford, Vice President, Pershing Advisor Solutions
Mark O'Keefe, Chief Financial Officer, Chief Operating Officer and Partner, Bainco International Investors
Spenser Segal, Chief Executive Officer, ActiFi, Inc.

Theme: Boost Your Efficiency

RIA Mythbusters: The Rise of the Breakaway Team CFA CWS IMCA

With all the noise in the marketplace, it's becoming more difficult to decipher facts from assumptions. Join this session to hear leading firms discuss trends such as why advisors are leaving their firms, what considerations are driving the decision to break away, and whether recruiting breakaways should be part of your inorganic growth strategy.

Moderator: Sean Keenan, Director, Business Development, Pershing Advisor Solutions
Shirl Penney, Founder, President and Chief Executive Officer, Dynasty Financial Partners
Elliot Weissbluth, Founder and Chief Executive Officer, HighTower

Theme: Accelerate Your Business

Supercharge Your ETF Strategies for the Year Ahead CFP CWS IMCA

As the ETF industry continues to innovate we are introducing new, multi-faceted approaches to passive investing, including multiple trading solutions, enhanced access to data, the rise of digital advice and strategies for managed accounts.

Moderator: Michael Ludwig, Director, Institutional Equity Sales and Trading BNY Mellon Capital Markets
Anna D'Amico, Director, Pershing
Justin Fay, Director, Pershing
JC Mas, Managing Director, BNY Mellon Capital Markets

Theme: Accelerate Your Business

Wealth Journey: Follow the HNW Brick Road* CWS

What are the best HNW solutions for your clients? Learn how to solve complex client needs, deepen your relationships and increase your competitive advantage. We'll share the latest strategies for protecting and growing your investors' wealth.

Moderator: Noha Nakhla, Director, Pershing
Joel Hempel, Chief Operating Officer, Lockwood Advisors, Inc.
Robert LaRue, National Director, Private Banking, BNY Mellon
Paul Pigman, National Managing Director, Insurance Alliances, BNY Mellon Wealth Management
Katie Swain, Director, Pershing

Theme: Accelerate Your Business


10:30 AM | 30 Minutes

Networking Break and Pavilion Open


11:00 AM | 1 Hour 15 Minutes

Pre-Conference Session II

Are You Ready for Your Share of the $1.3 Trillion Advisor-serviced Defined Contribution Market? CFA CFP CWS

Join our retirement experts for an interactive discussion on what it takes to expand your presence in the defined contribution market. Learn where the opportunities are as well as how to get started or grow your practice.

Moderator: Marc Caras, Director, Pershing
Ross Brown, Vice President, Pershing
Tony Robbins, Vice President, Pershing
Hans Schemmel, Director, Pershing

Theme: Accelerate Your Business

The Experience Factor: The Future of NetX360* CWS

We are moving from a functional to an experience-based strategy. Learn about plans for the next generation of NetX360.com and the advisor experience, including design and innovation. Join the discussion about what is changing and how it will impact your business.

Moderator: Christina Townsend, Director, Pershing
Danielle Gordon, Director, Pershing
Arghya Mondal, Director, Pershing
Ioannis Vasmatzidis, Director, Pershing

Theme: Boost Your Efficiency

In Plain Sight: An Investment Manager's Key to Efficiently Navigating Our Solution Chest CWS

Learn about the range of solutions available to investment managers working with us, specifically how we act as your advocate to provide a client experience that best fits with the unique challenges and opportunities at your firm.

Moderator: Dennis ChenFu, Vice President, Pershing
Eric Goodbar, Managing Director, BNY Mellon Wealth Management
Jeffrey Gray, Director and Senior Relationship Manager, The Boston Company
Benjamin Yaffee, Managing Director, Business Development, HedgeMark Advisors

Theme: Accelerate Your Business

Is M&A a Healthy Choice for Your Advisory Firm? CFA CWS CFP

According to industry benchmarks, over 40% of advisory firms are seeking to merge or make an acquisition in the next two years. Hear leading experts present key trends around understanding current M&A strategies, making yourself an attractive buyer (or seller) and financing the deal.

Moderator: Ben Harrison, Managing Director, Pershing Advisor Solutions
Jason Carroll, Managing Director, Live Oak Bank
Daniel Seivert, Chief Executive Officer and Founder, ECHELON Partners

Theme: Accelerate Your Business

My Custodian Can Do That? New Solutions to Give You Greater Capabilities* CWS

Learn about integrated solutions that will excite your clients and help you grow your practice. Discover new capabilities including practice management programs, mobile technology, enhancements to the ETF platform and advisory options.

Moderator: Crystal Andrus, Vice President, Pershing
Karen Bruno, Director, Pershing
Marc D’Angelillio, Director, Pershing
George Limberis, Vice President, Pershing

Theme: Accelerate Your Business


12:15 PM | 1 Hour 15 Minutes

Lunch and Pavilion Open


1:45 PM | 1 Hour 45 Minutes

General Session

1:45 PM | 15 Minutes

Welcome Remarks

Lisa Dolly, Chief Executive Officer, Pershing

2:00 PM | 45 Minutes

The Economic Outlook With Former Secretary of the Treasury, Jack Lew CFP

Introduction: Solon "Bud" Person , Executive Vice President, Wealth Management and Cash Division, Federated Investors, Inc.
Moderator: John Brett, Managing Director, Pershing and Chairman, Lockwood Advisors, Inc.
Speaker: Jack Lew, United States Secretary of Treasury (2013-2017)

Sponsored by:

Federated Investors, Inc.

2:45 PM | 45 Minutes

Three Steps and a Stumble CFP

Moderator: Pimm Fox, Co-Host, Bloomberg Markets, Bloomberg Radio
Jack Lew, United States Secretary of Treasury (2013-2017)
Wesley Phoa, Portfolio Manager, Capital Group
Brian Wesbury, Chief Economist, First Trust Advisors L.P.

2:30 PM | 30 Minutes

Presence: Bringing Your Boldest Self to Your Biggest Challenges* CFA CWS

Amy Cuddy, PhD, Social Psychologist; Associate Professor at Harvard Business School

Sponsored by:

Federated Investors, Inc.

3:00 PM | 30 Minutes

From the Battlefield to the Boardroom: Secrets to Lead and Succeed in Business* CFA CWS

Colonel Jill Morgenthaler, Retired U.S. Army Colonel


3:30 PM | 30 Minutes

Networking Break and Pavilion Open


3:30 PM | 30 Minutes

Pershing Pavilion Open

4:00 PM | 1 Hour

Breakout Session I

All Roads Lead to ETFs CFP CWS IMCA

Hear from industry experts on trends in the global ETF industry, including the current regulatory environment, anticipated global growth, new innovations, smart beta investing and actively managed solutions.

Moderator: Rosalia Koopman, Managing Director, BNY Mellon
William Belden III, Managing Director, Head of ETF Business Development, Guggenheim Investments
John Feyerer, Vice President, Director of Equity ETF Product Strategy, PowerShares by INVESCO
Deborah Fuhr, Managing Partner and Co-Founder, ETFGI
Stacy Fuller, Partner, K&L Gates

Theme: Accelerate Your Business

An "Alternative" Focus: A Change Can Do You Good* CFA CWS IMCA

Amid today's volatile markets, which alternative investments are effective in realizing alpha? How much tolerance do your clients have when it comes to diversification and active management? Join leading asset managers as they discuss incorporating alternative investments into client portfolios.

Moderator: Justin Fay, Director, Pershing
Marc Dummer, Managing Director and Portfolio Manager, Principal Portfolio Strategies
R. Scott Henderson, Senior Vice President and Portfolio Specialist, Calamos Investments
John Simmons, Senior Investment Strategist, William Blair

Sponsored by:

Federated Investors, Inc.

Theme: Accelerate Your Business

As the Pendulum Swings: The Economic and Financial Market Midyear Outlook for 2017 CFA CWS IMCA CFP

Phil Orlando returns to share his candid views on the increasingly entwined nature of politics, economics and the financial markets. Phil will review the transition from “Obamanomics” to “Trumponomics” and address the pros and cons of Trump’s fiscal policy platform.

Philip Orlando, Group Head of Macro/Balanced and Growth/Income Teams, Chief Equity Strategist and Senior Portfolio Manager, Federated Investors, Inc.

Sponsored by:

Theme: Navigate Markets and Regulation

Crossroads: Making Key Decisions to Advance Your Advisory Firm CFA CWS IMCA

Life's crossroads force us to make critical decisions that have a lasting impact. Advisory firms also face their own choices. As they grow and evolve, they have to determine when to hire employee advisors or professional management, when to merge or acquire, and when to create a firm-level brand. We will review these and other crossroads, while sharing best practices to inform your decisions.

Moderator: Adam Verchinski, Vice President, Pershing Advisor Solutions
Philip Palaveev, Founder and Chief Executive Officer, The Ensemble Practice LLC

Theme: Accelerate Your Business

Deciphering the Alphabet Soup: Ins and Outs of Mutual Fund Share Classes CFA CFP CWS IMCA

The mutual fund landscape is changing and we are all hearing different messages. New share classes are emerging, others are being pulled from product shelves, and what is the 'triple zero' everyone is talking about? Join a panel of experts to hear what's ahead for the mutual fund world.

Moderator: Rich Calvario, Director, Pershing
Mitch Bell, Director, Pershing
Carly Maher, Senior Vice President, Enterprise Initiatives, Ladenburg Thalmann & Co. Inc.
Pete Thatch, Product Management Director, American Funds

Theme: Accelerate Your Business

Diversity and Inclusion: Learn How Employee and Business Resource Groups Can Help the Bottom Line CFA CWS

Unlock the power of diversity and inclusion to improve employee and client engagement and add substantial value for your firm. Benefit from best practices learned from the Women’s Initiatives Network (WIN) and from the Global Citizenship and Sustainability team on how they are leveraging Return on Equality, BNY Mellon’s recent gender equality study, in a comprehensive employee and client activation program to extend the brand, help spark innovation and fuel social transformation.

Moderator: Maura Creekmore, Managing Director, Pershing
Yau Cheng, Director, Head of Americas – Diversity and Inclusion Global Citizenship and Sustainability, BNY Mellon
Heidi DuBois, Global Head, Corporate Social Responsibility and Social Finance, BNY Mellon
Christina Townsend, Director, Pershing

Theme: Strengthen Your Bench

The New Normal: A Look at the Investment Landscape in 2017 CWS

Political changes are reverberating in the global markets, creating new challenges for asset allocation and manager selection. Alternative investment experts will share their strategies for promising opportunities as we make our way through yet another new era for investing.

Moderator: Aaron Steinberg, Director, Pershing
Karl Dasher, Chief Executive Officer, North America and Co-Head of Fixed Income, Schroders
Anne Mathias, Senior Managing Director and Macro Strategist, Guggenheim Investments
Howard Nifoussi, Vice President Head of U.S. Alternative Investment Solutions Group, Goldman Sachs Asset Management

Theme: Navigate Markets and Regulation

The Winning Combination: Digital Relationships With a Human Touch CFA CWS

Investors are looking for personalized service, financial planning, on-demand information, insights and performance. Learn how to increase your value and enhance your client engagement style by leveraging digital tools and human consultation.

Moderator: John Berglowe, Vice President, Pershing
Kevin Hughes, Executive Vice President, Enterprise Sales, MoneyGuidePro, created by PIEtech, Inc.
Jeff Hendren, Chief Commercial Officer, Quovo

Theme: Boost Your Efficiency

5:00 PM | 30 Minutes

Pershing Pavilion Open


5:00 PM | 2 Hours

Reception in the Grand Exhibit Hall

Day Two Thursday, June 15

6:00 AM | 1 Hour

5K Fun Run and Walk


7:30 AM | 1 Hour and 45 Minutes

Breakfast in the Grand Exhibit Hall


7:30 AM | 9 Hours

Exhibit Hall Open


8:00 AM | 45 Minutes

Pavilion Open


8:45 AM | 1 Hour 45 Minutes

General Session

8:45 AM | 5 Minutes

Opening Remarks

Jeffrey McCarthy, Chief Executive Officer, Exchange-Traded Funds, BNY Mellon

8:50 AM | 40 Minutes

Strategy to Support Your Success

Lisa Dolly, Chief Executive Officer, Pershing
Jim Crowley, Chief Relationship Officer, Pershing
Ram Nagappan, Chief Information Officer, Pershing
Tom Sholes, Managing Director, Pershing

9:30 AM | 1 Hour

The Science of Innovative Technology CWS

Introduction: Mark Santero, Chief Executive Officer, The Dreyfus Corporation
Moderator: Carol Massar, Co-Anchor, Bloomberg Markets, Bloomberg Radio
Rana el Kaliouby, Co-Founder and Chief Executive Officer, Affectiva
Alexis Ohanian, Co-Founder, Reddit and Initialized Capital, Bestselling Author
Oscar Salazar Gaitan, Entrepreneur, Investor and Founding Arhcitect, Uber

Strategic Partner:

BNY Mellon | Dreyfus


10:30 AM | 30 Minutes

Networking Break and Pavilion Open


10:30 AM | 30 Minutes

Pershing Pavilion Open

11:00 AM | 1 Hour

Breakout Session II

All Roads Lead to ETFs CFP CWS IMCA

Hear from industry experts on trends in the global ETF industry, including the current regulatory environment, anticipated global growth, new innovations, smart beta investing and actively managed solutions.

Moderator: Rosalia Koopman, Managing Director, Business Executive, BNY Mellon
William Belden, Managing Director, Head of ETF Business Development, Guggenheim Investments
John Feyerer, Vice President, Director of Equity ETF Product Strategy, PowerShares by INVESCO
Deborah Fuhr, Managing Partner and Co-Founder, ETFGI
Stacy Fuller, Partner, K&L Gates

Theme: Accelerate Your Business

An "Alternative" Focus: A Change Can Do You Good CFA CWS IMCA

Sponsored by:

Federated Investors, Inc.

Amid today's volatile markets, which alternative investments are effective in realizing alpha? How much tolerance do your clients have when it comes to diversification and active management? Join leading asset managers as they discuss incorporating alternative investments into client portfolios.

Moderator: Justin Fay, Director, Pershing
Marc Dummer, Managing Director and Portfolio Manager, Principal Portfolio Strategies
R. Scott Henderson, Senior Vice President, Portfolio Specialist, Calamos Investments
John Simmons, Senior Investment Strategist, William Blair

Theme: Accelerate Your Business

Best Practices: Financial Performance of Advisory Firms* CFA CWS IMCA

The 2016 InvestmentNews Financial Performance Study points to some good news for advisory firms, as well as areas that demand your attention. Join us as we highlight the recent data, review case studies on what top-performing firms are doing differently and share the latest strategies for building a lasting business.

Gabriel Garcia, Managing Director, Pershing Advisor Solutions

Sponsored by:

BNY Mellon | Dreyfus

Theme: Accelerate Your Business

Deciphering the Alphabet Soup: Ins and Outs of Mutual Fund Share Classes CFA CFP CWS IMCA

The mutual fund landscape is changing and we are all hearing different messages. New share classes are emerging, others are being pulled from product shelves, and what is the 'triple zero' everyone is talking about? Join a panel of experts to hear what's ahead for the mutual fund world.

Moderator: Rich Calvario, Director, Pershing
Mitch Bell, Director, Pershing
Carly Maher, Senior Vice President, Enterprise Initiatives, Ladenburg Thalmann & Co. Inc.
Pete Thatch, Product Management Director, American Funds

Sponsored by:

First Trust Portfolio, L.P.

Theme: Accelerate Your Business

Global Markets: Bull, Bear or Bunny? CFA CFP CWS IMCA

It's easy to say that emotion should play no part in investing but how often is that true? What is weighing heavily on the investor's psyche? Join us to learn how to navigate across the asset classes in a sentiment-driven market.

Moderator: John Goodheart, Managing Director, Pershing
Simon Carling, Head of FX, Commodity and Bullion Investor Solutions within Global Structured Products, BMO Capital Markets
Karyn Cavanaugh, Senior Market Strategist, Voya Investment Management
Darrell Reilly, Vice President, T. Rowe Price Group, Inc.

Theme: Navigate Markets and Regulations

Two Distinct Approaches to Dividend Investing CFA CFP CWS IMCA

Join Brendan Voege and Joe Zidle as they offer distinct approaches to total return strategies and dividend investing. The discussion will cover how best to manage a client’s appetite for dividend-yielding instruments (such as unit investment trusts and equities) and the considerations when building a portfolio that offers dividend safety, dividend yield and dividend growth.

Brendan Voege, Portfolio Manager, Skybridge Dividend Value Fund
Joe Zidle, Portfolio Strategist, Richard Bernstein Advisors LLC

Sponsored by:

First Trust Portfolio, L.P.

Theme: Navigate Markets and Regulations

What's Ahead for Retirement: Thriving in the Brave New Fiduciary World CFA CFP CWS IMCA

New fiduciary standards are creating disruption in the retirement business. Learn about advisors' top priorities when it comes to helping investors achieve better retirement outcomes.

Moderator: Crystal Andrus, Vice President, Pershing
Tonia Bottoms, Managing Director and Managing Counsel, Pershing
Ross Brown, Vice President, Pershing
Hans Schemmel, Director, Pershing
Jeff Schwantz, Head of Client Solutions, Morningstar, Inc.

Theme: Accelerate Your Business

The Winning Combination: Digital Relationships With a Human Touch* CFA CWS IMCA

Investors are looking for personalized service, financial planning, on-demand information, insights and performance. Learn how to increase your value and enhance your client engagement style by leveraging digital tools and human consultation.

Moderator: John Berglowe, Vice President, Pershing
Kevin Hughes, EVP, Enterprise Sales, MoneyGuidePro, created by PIEtech, Inc.
Jeff Hendren, Chief Commercial Officer, Quovo

Theme: Boost Your Efficiency


12:00 PM | 1 Hour 15 Minutes

Lunch and Pavilion Open

12:00 PM | 1 Hour 15 Minutes

Pershing Pavilion Open

12:30 PM | 45 Minutes

Coffee and Dessert in the Exhibit Hall


1:30 PM | 1 Hour

Breakout Session III

Active or Passive Investing? Or When to Use Both* CFA CFP CWS IMCA

With the ETF industry seeing consistent growth and assets recently passing a major milestone of $3.5 trillion, many continue to seek ways to incorporate passive strategies into client portfolios. But are ETFs the silver bullet? This session will examine the benefits and challenges of passive and active investing.

Moderator: Jeffrey McCarthy, Chief Executive Officer, Exchange-Traded Funds, BNY Mellon
Robert Bush, Director, Thought Leadership US ETFs, Deutsche Asset Management
Christopher Davis, Portfolio Manager and Chairman, Davis Advisors
Michael Jones, Chairman and Chief Investment Officer, RiverFront Investment Group

Theme: Accelerate Your Business

Global Markets: Bull, Bear or Bunny? CFA CFP CWS IMCA

It's easy to say that emotion should play no part in investing but how often is that true? What is weighing heavily on the investor's psyche? Join us to learn how to navigate across the asset classes in a sentiment-driven market.

Moderator: John Goodheart, Managing Director, Pershing
Simon Carling, Global Head of FX, Commodity and Bullion Investor Solutions within Global Structured Products, BMO Capital Markets
Karyn Cavanaugh, Senior Market Strategist, Voya Investment Management
Darrell Reilly, Vice President, T. Rowe Price Group, Inc.

Theme: Navigate Markets and Regulation

Integration is the Key to Delivering Optimized, Digitized and Ultimate Experiences* CFA CWS

Industry experts discuss the power of intelligent integration and how your firm can deliver the most impactful digital experiences. Learn how to develop an integrated, flexible, plug-and-play technology ecosystem and how that can add value to the bottom line.

Moderator: Paul Sussman, Senior Managing Partner, Gartner Consulting
Rob Foregger, Co-Founder, NextCapital
Jennifer Goldman, Founder, My Virtual COO
Anthony Johnson, Director, Albridge

Theme: Boost Your Efficiency

Navigating the Regulatory Landscape for RIAs CFA CFP CWS IMCA

As advisory firms grow, they need to stay abreast of the changing regulatory landscape. In this session, attendees will hear the latest views on the custody rule, enforcement actions around mutual fund share class use, and oversight of money managers, among other critical regulatory topics.

Moderator: Michelle Logue, Director, Pershing, Chief Compliance Officer, Lockwood Advisors, Inc.
Erica Farber, Director of Operations and Chief Compliance Officer, Balentine
Nina Weiss, Chief Compliance Officer, Pershing Advisor Solutions
Richard West, General Counsel and Chief Compliance Officer, Snowden Lane

Theme: Navigate Markets and Regulations

Strategic Uses of ETFs in Asset Allocation Models CFP CWS IMCA

ETFs now offer exposure across multiple asset classes including global equities, fixed income, commodities, active management and non-capital weighted strategies. Hear both issuers and industry participants discuss how to achieve investment targets with ETFs and important considerations.

Moderator: Matthew Forester, Chief Investment Officer and Director of Investments, Lockwood Advisors, Inc.
Aram Babikian, Senior Vice President, Capital Markets and Institutional ETF Strategist, Direxion
Jack Horgan, Vice President, BlackRock Portfolio Solutions
Roger Nusbaum, ETF Strategist, AdvisorShares

Theme: Accelerate Your Business

Succession Planning: Can't Grow Without It CFA CFP CWS IMCA

Do you consider succession and transition a growth strategy? Is your fiduciary duty to act in the best interest of your clients? Learn best practices for a well thought out transition plan to ensure the future value of your business is enhanced.

Moderator: Andrew Hirschler, Vice President, Pershing
Margaret Dechant, Chief Executive Officer and Partner, 6 Meridian LLC
John Furey, Founder and Principal, Advisor Growth Strategies, LLC
Heather Guardado, Vice President, Northstar Capital Management

Theme: Strengthen Your Bench

Transformers: Changing Your Business Model CFA CWS IMCA

With a fiduciary mindset grasping the entire industry, learn how financial services firms are transforming their business models. Is it time to consider changing yours?

Moderator: Cheryl Tuosto, Vice President, Pershing
Frank Bub, Director, Pershing Advisor Solutions
David Crow, Managing Director, Pershing
Jennie Devlin, President, Cantella and Company

Sponsored by:

Gotham Asset Management

Theme: Accelerate Your Business

What's Trending Now: Trends in Institutional Asset Allocation and Portfolio Construction CWS

Investment managers who oversee institutional and individual assets across the globe share thoughts on what is driving current institutional allocation models. You will also learn how you can use these models for your investment strategies.

Moderator: JamiLynn Cimino, Vice President, Pershing
Sharam Honari, Partner, BlackGold Capital Management
Michelle McCloskey, President, Man Americas and Man FRM
Nathan Palmer, Managing Director, Wilshire Associates

Theme: Navigate Markets and Regulations


2:30 PM | 30 Minutes

Networking Break and Pavilion Open


2:30 PM | 30 Minutes

Pershing Pavilion Open

3:00 PM | 1 Hour

Breakout Session IV

Does This Make My Returns Look Big? How Shorts Can Fit Into Your Investment Strategy CWS

Short-enabled investment strategies can work well in both bull and bear market environments but do they fit into your portfolio strategy? Alternative managers will share the nuances of incorporating a shorting strategy into your investment plan.

Moderator: Lisa Lewin, Vice President, Pershing
Nicholas Amato, Managing Director, Wilshire Associates
John Moore, Managing Director, Head of Platform Distribution, K2 Advisors
Ethan Powell, Chairman of the Board, Highland Liquid Alternatives Market

Theme: Navigate Markets and Regulations

Gen Why? How to Succeed With Young, HNW Clients Who Question Everything* CFA CFP CWS IMCA

The times are changing. This is a look at the psychographics of the generations of investors who are behind Baby Boomers, including differences in buying habits, technology and social media use, along with their views on retirement.

Moderator: Owen Perrin, Vice President, Pershing
Connor Dunlop, Financial Consultant, Benjamin F. Edwards & Co.
Ajene Oden, Relationship Manager, Pershing
Katie Swain, Director, Pershing

Theme: Accelerate Your Business

Global Fixed Income: What's Ahead for the Fed, Central Banks and Rates? CFA CFP CWS IMCA

With tightening credit conditions and a more aggressive Fed, what do potentially rising rates mean for high yield, corporate and sovereign debt? Learn about the measures you can take under this scenario.

Moderator: Marvin Loh, Managing Director, Senior Global Market Strategist, BNY Mellon
Kevin Curtiss, Senior Vice President and Account Manager, PIMCO
Steven Thompson, Senior Client Portfolio Manager, Invesco Distributors
Scott Zaleski, Client Portfolio Manager and Director of Consultant Relations and Product Management, BNYM Investment Management

Theme: Navigate Markets and Regulations

Is the Smart Money Headed Toward Smart Beta ETFs? CFP CWS IMCA

You’ve heard about the emergence of ETF strategies, such as Smart Beta and Multi-Factor Investing. Now learn what they mean for current market cycles and how they will affect the industry in the future.

Moderator: Tom Porrazzo, Managing Director, Business Executive, Relationship Management, Structured Products, BNY Mellon
Edward Lopez, Head of ETF Product Management and Marketing, Van Eck
David Mazza, Head of ETF Specialists and Head of ETF Investment Marketing, OppenheimerFunds
Alexandra von Obelitz, Head of Institutional and Key Accounts ETF Distribution, Goldman Sachs

Theme: Accelerate Your Business

LatAm: Trends Influencing the Markets* CFA CFP CWS IMCA

Economic and geopolitical events that influence Latin American investors are also impacting those investing in this region from abroad. What were the major issues over the past year and what does the future hold?

Moderator: Timothy Walsh, Director, Pershing
Kevin Creeden, Vice President, Product Manager-Global Fixed Income, BlueBay Asset Management
Jeffrey Rosensweig, Ph.D., Director of the Robson Program for Business, Public Policy and Government, Goizueta Business School of Emory University

Theme: Navigate Markets and Regulations

Navigating the Regulatory Landscape for Broker-Dealers CFA CFP CWS IMCA

Hear about major regulatory changes facing firms, including Consolidated Audit Trail, FinCen's Enhanced Customer Due Diligence Rule, FINRA's proposed rule for addressing the Financial Exploitation of Seniors, and other topics.

Moderator: Wendy Schmidt, Director, Pershing
Susan Axelrod, Executive Vice President, Regulatory Operations, FINRA
Jeff Horowitz, Managing Director and Global Head of Compliance, Pershing
Joan Schwartz, Chief Legal Officer and Managing Director, Pershing

Theme: Navigate Markets and Regulations

Retirement 2.0: New Investment Solutions for Today's Plans CFA CFP CWS IMCA

It's not your father's defined contribution retirement plan. Today's plans feature new investment solutions to help participants, including the growing use of target date funds, SMAs, in-plan retirement income solutions and more.

Moderator: Joseph Spatucci, Director, Pershing
Marc Caras, Director, Pershing
Christopher O'Neill, Managing Director, Chief Investment Officer and Director of Research, Mesirow Financial Investment Strategies
Mike Yasin, Vice President, Pershing

Theme: Accelerate Your Business


4:00 PM | 30 Minutes

Networking Break and Pavilion Open


4:00 PM | 30 Minutes

Pershing Pavilion Open

4:30 PM | 1 Hour

General Session

Powerful Portraits: An Intimate Look at Humanity and Leadership CWS

Platon, World-renowned, Award-winning Photographer and Founder, The People's Portfolio


7:00 PM | 3 Hours

Block Party at Gaslamp Quarter

Day Three Friday, June 16

6:00 AM | 1 Hour

Sunrise Fitness Activities

Yoga

7:30 AM | 45 Minutes

Grab and Go Breakfast


8:15 AM | 1 Hour

Breakout Session V

Business Management: Put a Spotlight on Your Value CFA CFP CWS

Do your clients understand what you do and what makes you special? Fee compression, increased competition and changes prompted by the DOL Conflict of Interest rule mean that, now more than ever, your clients should understand the value you bring. Join us as successful advisors discuss the secrets behind how they differentiate themselves and deepen relationships.

Moderator: Steven Berglund, Vice President, Pershing
Megan Carpenter, Chief Executive Officer and Co-Founder, FiComm Partners, LLC
Darren Reinig, Founding Partner and Chief Invsetment Officer, Delphi Private Advisors
Jerry Wackerhagen, Executive Vice President, Operations and Technology, First Command Financial Services

Theme: Strengthen Your Bench

Explore the State of Cybersecurity in Financial Services CFA CFP CWS IMCA

Learn about ever-evolving cybersecurity threats, regulatory requirements, and the latest in privacy and information security best practices.

Moderator: Melissa Bernstein, Director, Pershing
Jeff Davis, Vice President, Pershing
Liza Mermegas, Vice President, Pershing
Jodi Pinedo, Director, Pershing
Kathryn Sherman, Special Agent, Federal Bureau of Investigation

Theme: Navigate Markets and Regulations

Global Fixed Income: What's Ahead for the Fed, Central Banks and Rates? CFA CFP CWS IMCA

With tightening credit conditions and a more aggressive Fed, what do potentially rising rates mean for high yield, corporate and sovereign debt? Learn about the measures you can take under this scenario.

Moderator: Marvin Loh, Managing Director, Senior Global Market Strategist, BNY Mellon
Kevin Curtiss, Senior Vice President and Account Manager, PIMCO
Steven Thompson, Senior Client Portfolio Manager, Invesco Distributors
Scott Zaleski, Client Portfolio Manager and Director of Consultant Relations and Product Management, BNYM Investment Management

Theme: Navigate Markets and Regulations

Is the Smart Money Headed Toward Smart Beta ETFs? CFP CWS IMCA

You’ve heard about the emergence of ETF strategies, such as Smart Beta and Multi-Factor Investing. Now learn what they mean for current market cycles and how they will affect the industry in the future.

Moderator: Tom Porrazzo, Managing Director, Business Executive, Relationship Management, Structured Products, BNY Mellon
Edward Lopez, Head of ETF Product Management and Marketing, Van Eck
David Mazza, Head of Beta Solutions Investment Marketing and ETF Specialists, Oppenheimer
Alexandra von Obelitz, Head of Institutional and Key Accounts ETF Distribution, Goldman Sachs

Theme: Accelerate Your Business

Strengthening Client Relationships With Behavioral Analytics CFA CFP CWS IMCA

In the experience world, you earn client loyalty by delightful moments. To play in this arena, you must optimize, digitize and deliver impactful experiences. A path to success can be achieved through advanced analytics, robotics, planning tools, algorithms and artificial intelligence.

Moderator: Dan Skiles, President, Shareholders Service Group
Shawn Rodgers, Vice President, Pershing
Rob Stanich, Global Wealth Management Offering Manager, IBM Watson Financial Services

Sponsored by:

First Trust Portfolios L.P.

Theme: Boost Your Efficiency

Top Disruptive Trends in Wealth Management CFA CFP CWS

The wealth management space is evolving rapidly amid regulatory pressures, fast-paced customer demands, demographic and behavioral changes, competition from unconventional sources and breakthroughs in new technologies. This session will provide clarity on the key emerging trends shaping the wealth management industry and unique insights, knowledge and value propositions to help you navigate these changes.

Moderator: Michael Partnow, Director, Pershing
Larry Agin, Director, Pershing
Dan Malley, Director, Chief Operating Officer, Managed Investments, Pershing
Daniel McCarron, Director, Pershing Advisor Solutions

Theme: Accelerate Your Business


9:15 AM | 30 Minutes

Networking Break and Pavilion Open


9:45 AM | 1 Hour 15 Minutes

General Session

9:45 AM | 5 Minutes

Opening Remarks

Joan Schwartz, Chief Legal Officer and Managing Director, Pershing

9:50 AM | 1 Hour

A Conversation With Aaron Rodgers CWS

Moderator: Mark Tibergien, Chief Executive Officer, Pershing Advisor Solutions
Aaron Rodgers, Super Bowl-Winning Quarterback & Two-Time NFL MVP

10:50 AM | 10 Minutes

Closing Remarks

Joan Schwartz, Chief Legal Officer and Managing Director, Pershing


*Denotes that the session will be live streamed