Educational Sessions

CEO Track -- Compliance Track -- Investment Advisory Services Track 
Marketing Track -- Operations Track  

FIVE EDUCATIONAL TRACKS FOR NEW PERSPECTIVE . . . on the state of the client, the firm, the advisor – and the future.

OneVoice 2011 is pleased to present 19 educational sessions, featuring more than 50 speakers and panelists.

CEO TRACK

State of the Client:
“What Else is Keeping Your Clients Up at Night?”
A seemingly perfect storm of uncertainty surrounds today’s investor. Continued market volatility, regulatory and legislative reform, political discordance, and other high-visibility events are all impacting the perceptions – and the actions – of your advisors’ clients. This important session will offer a portal into client priorities directly from the mouths of investors from across the financial spectrum. As an organizational leader, seize this opportunity to equip yourself with fresh, unfiltered client feedback to mold into your business strategy, provide counsel to your advisors, and incorporate into your short-term action plans. Moderated by Linda Stern, personal finance correspondent, Thomson Reuters.

State of the Advisor:
“Making Clients’ Dreams Reality – and Making it Count”
It’s no secret that stellar client service can make the difference between high performance and mediocrity. An all-star panel of industry-leading advisors, moderated by Sanjiv Mirchandani, president of National Financial Services, will drive this dynamic dialogue on how advisors are providing exceptional client service for unprecedented client needs and demands. Concepts to be addressed will provide new perspective on how you and your advisors can influence multiple client profiles. In addition, you will also benefit from access to specific succession planning strategies that can be enacted within six months.

State of the Firm:
“Unearthing the Big Idea One Broker-Dealer Model at a Time”
Think there aren’t untapped ideas you can execute within 30 days to bolster your advisor and employee services? Think again! Join our panel representing a small, large, and network broker-dealer to discover their model-specific breakthroughs in strengthening their service platforms. This discussion will also touch on driving profitability within the context of the industry’s evolving regulatory footprint, and related factors that can impact your short- and long-term objectives. This session will be moderated by Dale Brown, president and CEO, Financial Services Institute, and will feature panelists David Stringer, president, Prospera Financial Services, Inc.; Adam Antoniades, president and CEO, First Allied; and Valerie Brown, CEO, Cetera Financial.

A View of the Future:
“Industry Game-Changers We CAN See Coming"

Two questions clients, advisors, and broker-dealers share as the financial sector emerges from recent historic events are: How do I anticipate what’s coming next? And, how can I prepare for it? Without a crystal ball at our disposal, the most effective method of foreseeing potential industry occurrences is to identify key catalysts that will drive future behavior among the constituencies you serve. Chip Roame, managing principal, Tiburon Strategic Advisors, will offer perspective on specific trends in the technology, regulatory, product, and service realms that will steer the direction of our future, and alter decision-making along the way.

 

 COMPLIANCE TRACK

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State of the Client:
“The New-Product Perspective: What’s ‘In Scope’ When Going to Market”
(joint session with Operations)
Due diligence, as it relates to the introduction of new products, has been fundamentally turned on its head. With an expanding list of considerations for broker-dealers and advisors to pour over as a means of ensuring client suitability, your compliance colleagues stand ready to help. Moderator Heather Lyon, senior vice president, operations, Equity Services, will lead a conversation zeroing in on the processes and resources needed to meet new product development, training, and sales obligations. Session panelists will include Derek Anderson, partner, Michaels, Ward & Rabinovitz; Stephen Smith, compliance manager, First Global, Inc.; and Kirk Montgomery, vice president, legal and compliance, Wells Real Estate Funds.

State of the Advisor:
“What You Haven’t Considered When Transitioning A Book of Business”
From both broker-dealer and advisor viewpoints, transitioning a book of business entails a significant application of resources, and meticulous attention to due diligence. Understanding the nuances of new legal and regulatory policies that apply to an affiliation, sale, acquisition, or book of business transfer will help make this major undertaking as seamless as possible for all parties. Gregg Johnson, branch office development and acquisitions, Securities America; Dennis Dice, partner, Marshall Dennehey; and Mark Quinn, chief risk officer, First Allied, will bring to light the challenges that should be weighed when evaluating transition options.

State of the Firm:
“A Peek Inside the Minds of Regulatory Agencies”
Interpreting regulatory policies is half the battle in structuring your compliance team and support resources appropriately. This insightful presentation, featuring senior executives from the SEC, FINRA, and NASAA, will offer a valuable dialogue that drills into the intent and execution of new regulatory policies instituted by these agencies. Participating in this session will enhance your understanding of how to interact with regulators and more efficiently position your compliance resources. This panel will feature Jim Shorris, executive director of enforcement, FINRA. and Rick Fleming, general counsel, Office of the Kansas Securities Commissioner.

A View of the Future:
“Risk Management: The New Seat at the Table”
With the catastrophic effects of systemic weakness within financial firms still fresh in their minds, risk management has become a core business focus among broker-dealer executives, advisors, and regulators. This session will address how firms of varying size can tailor their risk management programs for maximum effectiveness, based on individual business model and budget. Alyssa Martin, executive partner, risk advisory services, Weaver and Tidwell, and Fred Fram, executive vice president, Operations and Risk Management, Summit Brokerage Services, will clarify the distinctions, as well as overlap, between risk management and compliance initiatives. This session will be moderated by Tracy DeWald, senior vice president and general counsel, Securities America.

 INVESTMENT ADVISORY SERVICES TRACK

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State of the Client:
“Trust vs. Sophistication: What’s A Wealth Manager to Do?”
Institutional investing trends continue transitioning toward retail accessibility, while the proliferation of new products drives client demand for increasingly complex wealth management prescriptions. At the same time, clients are expressing to their advisors concerns over the security of their wealth. This presentation will explore new solutions, and mindsets, that the industry’s most progressive firms are employing through their asset management platforms to address the intricate needs of clients, including their emotional needs for safety. Moderator Phil Blancato, president, Ladenburg Thalmann Asset Management will facilitate an interactive discussion with Rob Dearman, senior vice president, Advisory Practice and Platforms Strategy, National Planning Holdings; and John Coyne, president, Brinker Capital.

State of the Advisor:
“Driving Practice Management Efficiency:  Old Conundrums and New Concepts”
Carving out sufficient time to devote to serving clients – this is the perpetual conundrum of the independent financial practitioner. While technology and program resources constitute the primary solutions to streamlining your business, these tools are only effective if incorporated in concert with fundamental business concepts. Consistency, repeatability, and predictability are the engines that drive practice management efficiency. This session, presented by Jim Barnash, vice president, business development, Capital Analysts Incorporated, will provide a fresh perspective on structuring business processes in a manner that can assure a client-centric focus business model.

State of the Firm:
“Setting RIA Firms Up For Success in a Fiduciary World”
Perhaps no model in our industry is more dependent on preparation to succeed than the registered investment advisor (RIA). Given the fiduciary duties that accompany operating an RIA, managing risk is a highly complex endeavor. This presentation will illustrate how to implement an integrated strategy consisting of organizing a failsafe structure, communicating business rules, interpreting regulatory expectations, managing advisor expectations, and educating staff members. Join moderator David Knoch, president, 1st Global, Inc., and panelists David E. Armstrong, vice president, Advisory Services and Product Planning, Lincoln Financial Network; Luanne Borowski, RIA CCO for First Allied; and Brian L. Rubin, partner, Sutherland, Asbill & Brennan LLP, for a lively conversation dedicated to understanding and managing risk in a fiduciary world.

 

A View of the Future:
“Understanding the Fiduciary Model: What Do You Have to Lose?”
Among the most prolific “water cooler” topics within independent firms in 2011 the application of fiduciary standards will likely top the list. A prudent response to this uncertainty involves tapping our RIA divisions and colleagues to review the nuts and bolts of the fiduciary model, considered by many regulators, legislators, and practitioners to be the ideal model. And, who knows what new business opportunities just might be uncovered along the way? Our panelists will discuss the real-world effects of incorporating fiduciary obligations into a practice, and key concepts on preparing for this potential reality. Jason S. Thackery, vice president, associate compliance director and RIA CCO, Raymond James Financial Services will moderate this dialogue between Lou Harvey, founder and president, DALBAR, and George Guerra, Esq., partner, Wiand Guerra King P.L.

 MARKETING TRACK

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State of the Client:
“Replacing Client Fears With Deeper Trust and Stronger Relationships”
One core truth recent financial upheavals have resurfaced is the notion that nothing supersedes communication when it comes to nurturing client trust and transparency. With clients today essentially expecting the next economic calamity, financial advisors can turn this reality into stronger client relationships. Speaker name/title will showcase how broker-dealers can help advisors communicate, in a high-impact fashion, their distinctive value proposition, business methodologies, and preemptive philosophies to fortify client trust. This session will drill deep into allaying client fears by communicating a purposeful strategy that highlights advisors’ capabilities to protect clients’ assets, and be ready to react to the inevitable next crisis. Chris J. Brown, principal, Sway Research LLC, and Laura H. Varas, president, Mast Hill Consulting will be the presenters for this session. Brown and Varas are also founders of Hearts & Wallets.

 
State of the Advisor:
“What’s the Plan? Helping Your Advisors Help Themselves”
Intensified client expectations and advisor recognition to demonstrate a robust long-term business strategy have fueled the expansion of coaching and business development resources among independent broker-dealers. Ironically, ongoing client demand for advisor time and attention is translating to fewer hours devoted to business planning. How can you help your advisors? Hear from Jim Komoszewski, first vice president and director of the Strategic Business Unit, NPC; Rick Murphy, executive vice president, Berthel Fisher & Company; Duncan MacPherson, co-founder, Pareto Systems. In this session moderated by Kathy Weiler, director, Pershing, learn how collaborating with advisors to adopt growth strategies is translating to tangible results for both parties. Performance statistics and program modeling will be wrapped into this highly topical discussion. 

State of the Firm:
“The Essence of Public Relations: It’s All In the Planning”
Positive media exposure can generate both advisor and client interest and strengthen your brand quickly and effectively. Understanding the nuances of leveraging this channel, however, requires effort, patience, and a high degree of discernment. Don’t miss this opportunity to cultivate your skills in crafting stories that are “newsworthy,” developing effective media resources, and planning strategies you need to be aware of before executing your public relations campaign. Our panel of media experts includes Joseph Kuo, senior vice president, Public Relations, LPL Financial Corporation; Jamie Green, group editor-in-chief, Investment Advisor Magazine; and Emily Guadagnoli, media relations manager, Commonwealth Financial Network.

 

A View of the Future:
“Has Social Media Entered Prime Time For Financial Services?”
FINRA has brought into focus its standards relating to marketing financial services through social media. Your next question is whether this communication channel is appropriate for your and your advisors’ business, and whether it’s worth the resource investment. Join this panel which includes representatives of two independent broker-dealers engaging in social media for answers to your questions surrounding this exploding cultural phenomenon: How is social media supervised? Can you effectively target and reach your intended audience? What are the success stories in the independent channel? Join Cindy Schaus, vice president, public relations and sales, Cambridge Investment Research; Melanie Taylor, vice president, compliance Ameriprise Financial; and, Sean Belka, senior vice president, Fidelity Center for Applied Technology.

 OPERATIONS TRACK

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State of the Client:
“The New-Product Paradigm: What’s ‘In Scope’ When Going to Market”
(joint session with Compliance)
Due diligence, as it relates to the introduction of new products, has been fundamentally turned on its head. With an expanding list of considerations for broker-dealers and advisors to pour over as a means of ensuring client suitability, your compliance colleagues stand ready to help. Moderator Heather Lyon, senior vice president, operations,, Equity Services, will lead a conversation zeroing in on the processes and resources needed to meet new product development, training, and sales obligations. Session panelists will include Derek Anderson, partner, Michaels, Ward & Rabinovitz; Stephen Smith, compliance manager, First Global, Inc.; and Kirk Montgomery, vice president, legal and compliance, Wells Real Estate Funds.

State of the Advisor:
“Testimonials and Tactics For Converting to the Proverbial Paperless Office”
Check 21, electronic signatures, document imaging, automated workflow. The efficiencies and benefits that transitioning to a “paperless” environment can deliver to your business, and your clients, are well-documented. What you may yet not fully grasp is the level of resource and effort it takes to automate your business and the array of available solutions in the marketplace. Donna Guinta, vice president, operations, Cadaret, Grant, will moderate this discussion, including solution-providers and firms that have experienced this conversion process. Panelists will include Evan LaHuta, director, customer experience, Pershing Advisor Solutions; Nino Palermo, vice president, American Funds; and Kyle Mallot, vice president, DST Systems.

State of the Firm:
“The Cost Basis Rollout for 2011 and Beyond”
With initial new cost-basis procedures (requirements?) becoming effective in 2011, broker-dealers are realigning their platforms to accommodate this shift. Take advantage of this session to clarify any remaining questions and, more importantly, to begin evaluating the longer-term ramifications of policies scheduled for implementation in 2012. This expert panel includes Bob Linville, director, product management, Broadridge Financial Solutions; Laura Stanley, director of operations, Invesco; and Arthur Goldsmith, senior vice president, The Strategic Financial Alliance, and will offer valuable guidance on preparation and execution strategies for cost basis requirements in 2011 and beyond.    

A View of the Future:
“Financial Reform: What Inquiring Minds Want and Need to Know”
Financial reform legislation may still be in the interpretation phase among broker-dealers, advisors, and clients, but we can likely all agree that none of us will sidestep its reach or impact. Rich O’Brien, senior vice president and COO, Fidelity Institutional; Neal Sullivan, partner, Bingham McCutcheon; and David Bellaire, general counsel and director of government affairs, FSI, will lead this session, exploring the foundational components of recently-enacted regulatory reform legislation. Their perspective will address questions many of us are mulling, including the unintended consequences that may accompany the legislation and real-world effects on new business sales, processing, and marketing activities.