FSI One Voice 2020 | Financial Services Institute (FSI) | 27 January 2020 | Sheraton San Diego Hotel & Marina, San Diego, CA, 1380 Harbor Island Drive San Diego, CA 92101

FSI’s OneVoice conference is the annual in-person gathering for independent financial services firm executives. Education and networking sessions are specifically designed for CEOs, senior executives, managers and employees of FSI member and prospective member firms.

2020 Speakers

SPEAKERS:

Nancy Giordano
Strategic Futurist

Matt Chisholm
SVP, Head of Practice Management & Consulting, Fidelity Clearing & Custody Solutions

Elatia Abate
Entrepreneur and Chief Explorer

PANELS:

Erinn Ford
President & CEO, KMS Financial Services Inc.

Amy Gordona
Senior Vice President, Head of Marketing, Kestra Financial, Inc.

Chris Perry
President, Global Sales, Marketing & Client Solutions, Broadridge Financial Solutions, Inc.

Marcus Arneaud
EVP, Chief Compliance Officer, Investacorp, Inc.

Seth A. Miller
SVP, Risk Management & General Counsel, Cambridge Investment Research, Inc

Brian Rubin
Partner, Eversheds Sutherland Tax Group

Tom Langseth
SVP, Relationship Management, Allianz Life Financial Services

Ryan Beasley
Executive Vice President, Individual Division, Ameritas

Summer Pretzer
Vice President, Head of Supervision, Cetera Advisor Networks LLC

Mary Creagh
Manager, Human Resources, Commonwealth Financial Network

Mary Hjorth
EVP, Chief Human Resources Officer, Kestra Financial, Inc.

Angel Sugleris
Vice President, Human Resources Administration & Facilities, PlanMember Securities Corp.

David A. Greene
General Counsel, Cetera Advisor Networks, LLC

Mike Pedlow
SVP, Chief Compliance Officer, Kestra Financial, Inc.

Chad Weaver
Partner, Freeman, Mathis & Gary, LLP

Bill Brady
SVP, Capital Group

Maura Creekmore
Managing Director, BNY Mellon | Pershing

Kim Jenson
COO, Private Client Group, Raymond James Financial Services, Inc.

Matt Fries
Head of Product, Cetera Financial Group

Brian Dixon
Manager of Business Practices, Lincoln Financial Advisors

Robert Molinari
Chief Regulatory Affairs Officer, Commonwealth Financial Network

Suzann LoCoco
Vice President, Product Management, CUSO Financial Services

Beth Dendinger
SVP, Head of Strategic Relationships, Cetera Financial Group

Mike Matkovic
Managing Director, National Accounts, SEI Investments

Mike Pagano
EVP, Compliance, Licensing & Risk Assessment, 1st Global, Inc.

Jodie Papike
Partner, Cross-Search

Ryan Shanks
Co-founder & CEO, Finetooth Consulting

Heather Murphy
AML Compliance Manager, Commonwealth Financial Network

Matt Gootson
Vice President, Advisor Activity Supervision, Raymond James Financial

Matthew J. Kinsella
Vice President and Chief Compliance Officer, Securities America

Seth Miller
SVP, Risk Management & General Counsel, Cambridge

Dave Patchen
SVP, PCG Education and Practice Management, Raymond James Financial Services

Joni Youngwirth
Managing Principal, Practice Management, Commonwealth

Ken Bell
SVP, Audit, Cetera Financial Group

John Schobel
CEO, Reg Ed

Shawn Scholz
Vice President, Wealth Management Compliance, Waddell & Reed

Amit Chogle
Director, Enterprise Business Process Management, Commonwealth Financial Network

Katy DeLorenzo
Director of Technology & Operations Strategy, Lincoln Investment

Jim Adelman
General Counsel, Commonwealth Financial Network

Erin Linehan
Associate Corporate Counsel, Raymond James Financial

Doug Ketterer
CEO and Founding Partner, Atria Wealth Solutions

James Poer
CEO, Kestra Financial, Inc.

Jeffrey Stein
Managing Director, Warburg Pincus

Jim Walsh
Vice President Content, Broadridge Advisor Solutions

Elizabeth Hansen
SVP, Chief Compliance Officer, Waddell & Reed, Inc.

Sarah Johnson
Vice President, Sr. National Accounts Manager, Capital Group I American Funds

Brandon Reif
Managing Partner, Reif Law

Julie Schadt
Regulatory Response Manager, Ameritas Investment Corp.

Alexis Schumann
Chief Regulatory Officer, Advisor Group

Doug Fritz
CEO & Founder, F2 Strategy, Inc.

Martin Small
Managing Director, BlackRock

Andrew Stavaridas
Executive Managing Director, Head of Enterprise Sales Channel, Envestnet

Mitch Bell
Director, Global Client Relationships, BNY Mellon l Pershing

Christopher Vaccaro
SVP, Regional Managing Director, Fidelity Clearing & Custody Solutions

Brian Walsh
Sr. Business Development Manager, American Funds

Courtney Haddad
SVP, Head of RJFS Supervision, Raymond James Financial Services, Inc.

Chris Osborne
Head of Supervision, Thrivent Investment Management

Summer Pretzer
Vice President, Head of Supervision, Cetera Advisor Networks LLC

MODERATORS:

Christina Townsend
Director, Advisor Solutions, BNY Mellon | Pershing

Kevin Miller
EVP & General Counsel, Securities America, Inc.

Adam Roosevelt
Director, Advisor Solutions, BNY Mellon | Pershing

Paula Testa
Vice President, Client Experience Strategy and Planning, Fidelity Clearing & Custody Solutions

Gregory J. Smith
Senior Vice President, Supervision, Securities America

Noreen Beaman
CEO, Brinker Capital

Michael Gilliland
BD & IA Consulting Leader-Compliance & Ethics, MML Investors Services, Inc.

Dan Weiss
SVP, Product Due Diligence & Research, Advisor Group

Wellington Choi
Senior National Accounts Manager, Capital Group

Lisa Burns
SVP, Strategic Platform Development, Fidelity Investments

John DeVincent
Vice President, Marketing, OS33 Services Corporation

Valerie Mirko
Deputy General Counsel, Baker & McKenzie

Julie Sullivan
SVP, Group Chief Compliance Officer, The Strategic Financial Alliance, Inc.

Amy Starkey
Director, Risk & Due Diligence, Ameritas Investment

Mike Alexander
President, Wealth & Capital Markets Solutions, Broadridge Financial Solutions, Inc.

David Hopkins
Chief Financial Officer and a Managing Director for BNY Mellon | Pershing

Joseph Kuo
President & Managing Partner, Haven Tower Group LLC

Mark Quinn
Director of Regulatory Affairs, Cetera Financial Group

CO-PRESENTERS:

Kerry Pierce
Head of Investment Solutions, Cetera Financial Group

Dana Rhodes
Managing Director, Enterprise Services, Riskalyze

2020 Sponsors

AMBASSADOR SPONSORS:
• BNY Mellon | Pershing
• Fidelity Investments
• OS33 Services Corporation
• Riskalyze

PREMIER SPONSORS:
• Brinker Capital
• Broadridge Financial Solutions, Inc.
• Capital Group | American Funds
• Envestnet, Inc.
• Refinitiv

SUSTAINING SPONSORS:
• Allianz Life Financial Services, LLC
• Arthur J. Gallagher & Co.
• AssetMark, Inc.
• CUNA Mutual Group
• Disability Specialists, Inc.
• Docupace Technologies, LLC.
• Envision Financial Systems
• Fiserv
• Jackson National Life Insurance Company®
• Nelson Partners
• Quik! Forms
• RegEd, Inc.
• Sammons Institutional Group
• SEI
• Skience

ASSOCIATE SPONSORS:
• AIG Financial Distributors
• Aon
• Appway Inc
• Ashar Group – Life Settlements and Policy Valuations
• ATA RiskStation, LLC
• AXA Distributors, Inc.
• BlackRock
• CGI
• Charles Schwab Investment Management
• CNL Financial Group Inc.
• DTCC
• eMoney Advisor, Inc.
• Griffin Capital Company, LLC.
• Howard Capital Management
• Impact Financial Systems
• Inland Real Estate Investment Corporation
• Owl Rock Capital Partners
• Pinnacle Insurance and Financial Services, LLC
• Redi2 Technologies, Inc.
• Redtail Technology
• Vestmark, Inc.

LAW PARTNERS:
• Eversheds Sutherland
• Freeman Mathis & Gary, LLP
• Winget, Spadafora & Schwartzberg, LLP

SUSTAINING LAWS:
• Baker & McKenzie LLP
• Wiand Guerra King P.A.
• Pension Resource Institute, LLC & Retirement Law Group
• Reif Law Group, P.C.