Breakfast
Ryman Exhibit Hall
7:00 AM - 7:45 AM
Breakfast
Ryman Exhibit Hall
7:00 AM - 7:45 AM
General Session
Delta Ballroom
8:00 AM - 10:00 AM
General Session
Delta Ballroom
8:00 AM - 10:00 AM
A Guide to Financial Planning for Divorce
Bayou CD
10:15 AM - 11:05 AM
Description
Provided by Resource - Financial professionals are invaluable during major life events, like a birth, death, marriage, and divorce. With nearly 50 percent of marriages ending in divorce, you can play an integral role in helping your clients understand the most important issues in reaching an equitable agreement, and planning for the impact divorce may have on their future finances. Key Takeaways: • The differences in state laws that govern the division of assets in divorce • The key steps to take in helping clients prepare for a divorce, including updating beneficiary forms and protecting separate assets • The decisions that must be made before, during, and after the divorce to put your clients in the best financial position.
Speaker
- Theodore Segal
EVP, Head of Sales, Resource Securities
Speaker
Adding Value by Adding a NextGen Advisor to your Team
Presidential Chamber B
10:15 AM - 11:05 AM
Description
Provided by Advisor Group - Hosted by FSC’s NextGen Council, come listen as a panel of firm owners and NextGen advisors share their experiences on working together to grow their practice to new heights. Some specific areas they will address are the benefits (the “why”) and the application (the “how”).
Speaker
- Michael Cozad
Advisor Group (FSC)
Speaker
- Brant Spesshardt
Advisor Group (FSC)
Speaker
- Christopher Musick
Advisor Group (FSC)
Speaker
- Joe Vahlberg
CFP®, MBA – President, Senior Financial Planner, NextGen Council Chairman, Advisor Group (FSC)
Speaker
- David Smith
Advisor Group (FSC)
Speaker
Advising Clients Through the Toughest Times of Life
Presidential Ballroom A
10:15 AM - 11:05 AM
Description
Provided by Symetra - You know what to do with money. How many times do you wonder what to say to the client? When clients cope with death, divorce, retirement, empty nest, or other life transitions, what you say and do in the office has more influence on your client relationship than your financial savvy ever did. Understand how to answer the dreaded “bad news” phone call, the unique issues that your clients face, the differences between men and women, and the best ways to communicate at appointments and on the phone. Find out how to handle a crying client and whether the stages of grief are applicable. Gain skills to deal with irrational fears, bring humor into meetings, and help clients make wise decisions in the midst of loss. Walk away with practical, proven strategies that you can implement immediately.
Speaker
- Amy Florian
CEO, Corgenius
Speaker
Beyond Cash: Planning Strategies for Complex Charitable Contributions
Bayou E
10:15 AM - 11:05 AM
Description
A thought-provoking presentation where attendees will learn about the growing trend of contributing complex assets, such as privately-held C-and S-Corp stock, limited partnership interests, and certain publicly-traded stock, to public charities. These can often be the most highly appreciated assets in a client's portfolio, and contributing them to charity can potentially minimize capital gains exposure. Based on industry research, key insights, and best practices from top advisors, you’ll: • Learn best practices from real life case studies • Understand how to put complex assets to work as charitable contributions • Be able to identify which assets to give and which vehicle to give them through
Speaker
- James Carpenter
Vice President, Charitable Planning Consultant, Fidelity Clearing & Custody Solutions
Speaker
Business Consultations
Jackson A-F
10:15 AM - 11:05 AM
Description
Pre-registration required. Details on how to register will be emailed to you closer to event time.
Customize the Look and Feel of the WMP to Meet Your Business Needs
Washington B
10:15 AM - 11:05 AM
Description
Provided by Advisor Group - Join us for this interactive session to learn tips and pointers on how to tailor the Wealth Management Platform to your business. We’ll cover how to customize reports, page layouts, and provide suggestions on how to avoid some of the most common errors. This will also be a forum where you can ask and get answers to your WMP operational questions.
Speaker
- Renee Maloney
Investment Advisory Business Analyst, Advisor Group
Speaker
- Tiffany Boone
Investment Advisory Business Analyst, Advisor Group
Speaker
Financial Planning Software: Which One Is Right For Me?
Presidential Chamber A
10:15 AM - 11:05 AM
Description
Provided by Advisor Group - Financial Planning software programs offer various capabilities that can make your decision to choose one program seem impossible. We are frequently asked by advisors, which program should I choose and why? Join Lori Anderson, AVP of Financial Planning at Advisor Group as we review a client case from the lenses of three different financial planning programs. You will experience a discussion around navigation and the various points of client interaction within the software programs.
Speaker
- Ted Denbow
VP, Head of Sales, Right Capital
Speaker
- Lori Anderson
CFP®, AVP, Financial Planning, Advisor Group
Speaker
- Justin Bishop
Envestnet MoneyGuide
Speaker
- Kelly Brennan
eMoney Advisor
Speaker
Finding, Hiring, and Training Future Financial Planning Team Members
Presidential Ballroom C/E
10:15 AM - 11:05 AM
Description
Provided by Advisor Group - Want a multigenerational and gender diverse firm? Want this job to be your employee’s first and last? Then come listen to Barron’s and Forbes Top 100 Financial Advisor Kevin Myeroff and his team to learn how they have accomplished all of the above.
Speaker
- Connor Fife
Advisor Group (RAA)
Speaker
- Kevin Myeroff
Advisor Group (RAA)
Speaker
- Bob Casarona
Advisor Group (RAA)
Speaker
First Line Supervisors in Arbitration & What to Expect
Bayou AB
10:15 AM - 11:05 AM
Description
Provided by Advisor Group - An opportunity to observe the interactions between a claimant’s Attorney and a First Line Supervisor as part of a client arbitration. This session will expose the audience to the types of questions asked of witnesses as well as insight into both favorable and unfavorable responses to those questions.
Speaker
- Scott Hernberg
Vice President, Field Supervision, Advisor Group
Speaker
- Greg Curley
Senior Litigation Counsel, Advisor Group
Speaker
Going Paperless with Document Management
Canal AB
10:15 AM - 11:05 AM
Description
Provided by Advisor Group - Interested in creating a paperless office? Have you been considering subscribing to Document Management (provided by Docupace) and want to learn more about this powerful system? Are you looking for a way to strengthen your business continuity process? If you answered yes to any (or all) of these statements then you won’t want to miss this session. We will introduce the features, benefits and roadmap for this fully integrated SEC/FINRA compliant electronic filing solution. Come learn how to get on the path to transitioning your office into a paperless environment.
Speaker
- Del Payne
Corporate Trainer, Advisor Group
Speaker
Growing After-Tax Wealth: Tax Managed Investing
Governor's Ballroom AE
10:15 AM - 11:05 AM
Description
Provided by Russell Investments - Advisors are having success incorporating tax-managed investing into their practice with both uncovering hidden assets and gaining new clients. This session will help you understand the research and strategies from Russell Investments to help you find success with this growing opportunity.
Speaker
- Troy Espeseth
AAMS®, AIF®, CIMA®, CPWA®, Divisional Director , Russell Investments
Speaker
Longevity Planning: An Objective Discussion on Strategies to Consider for Your Clients
Presidential Ballroom B
10:15 AM - 11:05 AM
Description
Provided by Advisor Group - Join us in an engaging discussion on the challenges of longevity planning. We will take an objective approach to help identify your clients longevity needs; including, risk/return tradeoff for various strategies, as well as implementation within your established investment process. We will also discuss financial planning and ways to analyze and implement risk transferring strategies. During this session, you will hear from risk-transferring and also best practices from a top advisor; including: • Mark Halloran, Managing Director, Business Development and Individual and Workplace Markets, Transamerica • Brooke Juniper, CFA, CAIA, Managing Director, Portfolio Solutions Group, BlackRock • Top advisor, that leverages both managed accounts and annuities in their business.
Speaker
- Mark Halloran
Business Development Individual and Workplace Markets, Transamerica (Retirement Plans)
Speaker
- Brooke Juniper
CFA, CAIA, Managing Director, BlackRock
Speaker
- Shannon Larson
Senior Vice President, Product Management & Development, Advisor Group
Speaker
- Scott Dewhurst
CLU, ChFC, CPFA, Investment Advisor Representative, Diversified Financial Group
Speaker
Opening Accounts Quickly & Easily In eQuipt
Canal CD
10:15 AM - 11:05 AM
Description
Provided by Advisor Group - In this session we will demonstrate the new account process in eQuipt. This includes selecting the desired client (or creating a new one), inputting their investment goal(s), determining the risk tolerance for each goal, establishing the desired account(s) for each goal, and generating the required documents. In this “beginner” session we will look at a basic example where we establish a single individual brokerage account.
Speaker
- Tomer Busidan
Corporate Trainer, Advisor Group
Speaker
Spousal Protection Strategies: Providing for a Surviving Spouse in Retirement
Governor's Ballroom B
10:15 AM - 11:05 AM
Description
Provided by Prudential - Fundamental change has shaken the foundation of the U.S. retirement system. The three traditional pillars of that system—Social Security, employer-sponsored retirement plans, and individual savings—no longer provide adequate retirement security for a growing number of Americans. For widows and widowers, the outlook can be particularly unnerving. Additionally, economic and societal trends are contributing to the uncertain outlook, including rising healthcare costs, increasing longevity, and mounting household debt. This presentation will address changes to the retirement system and potential solutions and strategies, using life insurance and annuities, to overcome certain challenges couples likely face planning for and while in retirement.
Speaker
- Brandon Buckingham
VP, National Director, Advanced Planning Group, Prudential Annuities
Speaker
TechBytes: Become Efficient with Mobile Check Deposit (NFS)
Canal E
10:15 AM - 10:35 AM
Description
Provided by Advisor Group - Come learn how to use your mobile devices to quickly and easily deposit checks into your clients brokerage accounts.
Speakers
The Golden Hour – Retention through Attention
Presidential Ballroom D
10:15 AM - 11:05 AM
Description
Provided by Invesco - Losing a top client is never a pleasant experience. Worse still, research shows that 72.7% of advisors lose one top client per year. This makes everyone have to run harder just to maintain present production levels, and it hamstrings organic growth. However, we have found it does not have to be this way and that it is surprisingly simple and easy to maintain top clients-the very clients that form the foundations of the viability of advisors’ businesses. In fact, by breaking one bad habit and replacing it with a new habit, we have seen that advisors can easily maintain client relationships for their careers. Most client retention models are so intensive and time-consuming as to prevent most advisors from ever using them. “The Golden Hour” model aims to deliver maximum benefit.
Speakers
Transitioning to Advisory
Governor's Ballroom C
10:15 AM - 11:05 AM
Description
Provided by Advisor Group - My business transition to a fee-based model was uncomfortable and extremely disruptive… but necessary. How I started and ended in this journey was very different than expected. I think we made it harder than what it needed to be but, in the end, it became an easier and more productive way to do business. Join me for this session if you are interested in transitioning to an Advisory business and want to learn real world tips to a smoother path.
Speakers
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Mark Weber
Advisor Group (WFS)
Unleash the Power of Charitable Trusts to Increase Your Business
Governor's Ballroom D C
10:15 AM - 11:05 AM
Description
Provided by Advisor Group - Speaker Sandeep Varma will show you how to identify opportunities with clients and prospects that have highly appreciated assets and how to position the use of charitable trusts and planned giving strategies, sometimes in conjunction with wealth replacement strategies using life insurance, to help your clients deal with appreciated stocks or real estate that they no longer want to own. Rex Ritchie, VP Advanced Sales and Qualified Plans - Advisor Group, will be co-presenting and discussing tax and legal implications of the strategies.
Speakers
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Rex Ritchie
JD, CLU, ChFc, Vice President Advanced Sales and Qualified Plans, Advisor Group
Speaker
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Sandeep Varma
Advisor Group (FSC)
Speaker
TechBytes: New Check Logging Process in Advisor Portal
Canal E
10:45 AM - 11:05 AM
Description
Provided by Advisor Group - To remain compliant, we have added and changed a few fields regarding the check logging process in Advisor Portal. During this session you will learn about these new fields and how to properly log a check in Advisor Portal.
Speakers
5 Unique Strategies Using Life Insurance You May Not Have Heard Before
Bayou E
11:20 AM - 12:10 PM
Description
Provided by Pacific Life - Life insurance provides death benefit protection for estate, business and retirement planning needs. This course will explore five (5) unique estate, business and retirement planning strategies that may help individuals effectively use life insurance for those needs in an ever-changing tax environment. The five (5) strategies are: 1) Entity Redemption in lieu of an ILIT, 2) Life Expectancy Split Dollar Loan Regime, 3) Split Premium Bonus Arrangements, 4) Life Insurance with Long Term Care (LTC) Benefits, and; 5) Insured Spousal Lifetime Access Trusts (SLATs).
Speakers
Are you getting the Most Possible Out of OneView?
Canal AB
11:20 AM - 12:10 PM
Description
Provided by Albridge, a BNY Mellon company - This course will discover best practices within the new platform by incorporating the newly redesigned reports as well as both advisor and investor data mining capabilities to help advisors best service their client base. It is meant for all advisors looking to provide Performance, Asset Allocation, Transactional and Holding activity to their client.
Speakers
Attracting the Next Generation of High-Net Worth Clients with Student Loan Planning
Bayou CD
11:20 AM - 12:10 PM
Description
Provided by Advisor Group - For most Gen X and Gen Y clients, the biggest financial concern in their lives is how they should manage their student loan debt. With 44.7 million Americans currently holding over $1.56 trillion in student loan debt, the need for expert guidance is large and growing quickly. Student loan planning is a great way to position your firm to attract the next generation of clients, create new opportunities with your current clientele, as well as build the generational relationships that ensure the longevity of your firm. Such topics we will discuss include:• How Public Service Loan Forgiveness can help advisors reach high net worth millennial clients (doctors, physicians, nurses, etc).• A brief description of income-driven student loan repayment plans.• Using student loan planning to create generational relationships with your current client households.• Avoiding the Parent Plus loan “tax bomb” with life insurance planning.• How taxable forgiveness programs can create savings/investing opportunities.• How your clients' estate plans are impacted by student loan planning.
Speakers
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Ryan Galiotto
Advisor Group (RAA)
Speaker
Best Practices and How to Overcome Common Errors on WMP
Canal CD
11:20 AM - 12:10 PM
Description
Provided by Advisor Group - In this session we will provide best practices to help you become more efficient on the WMP, as well to help you avoid common errors.
Speakers
Business Consultations
Jackson A-F
11:20 AM - 12:10 PM
Description
Pre-registration required. Details on how to register will be emailed to you closer to event time.
Coaching & Speaking Your Client’s Language
Governor's Ballroom B
11:20 AM - 12:10 PM
Description
Provided by Brighthouse Financial - This session prepares advisors to evolve their role into being a financial and behavioral coach to clients. Three specific coaching topics are discussed with specific and immediate application ideas. Advisors will learn four important financial principles to deliver to clients so they can feel more confident when evaluating financial decisions. A five-question communication assessment is introduced as well as a discussion on how to effectively communicate with various types of clients.
Speakers
Earning Client’s Trust and Loyalty by Providing an Exceptional Client Experience
Presidential Ballroom B
11:20 AM - 12:10 PM
Description
Provided by Advisor Group - Providing clients with a repeatable, customized, high-quality experience is crucial to a practice's success. By incorporating consistent standards and operating techniques into your business process, you will establish connections, relationships, trust, referrals and ensure your clients receive an overall systematic experience. During this panel we will hear from your colleagues on how they set that experience and what is working the best for their clientele. Panelists will share tips and ideas in areas such as: initial meetings, client reviews, special events, personalized communications, and how provide that care for their clients. All these strategies will establish your personalized “standard of care” for your clients, consistently and effectively, maintaining your client loyalty.
Speakers
Horror Stories – The Importance of Annuity Beneficiary Reviews
Governor's Ballroom C
11:20 AM - 12:10 PM
Description
Provided by Lincoln Financial Distributors -
Speakers
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Robert Vashko
JD, CFP®, CFS®, CPFA, Advanced Sales Attorney - Variable Annuities, Lincoln Financial Distributors
Speaker
Impact Your Practice with Digital Technology – eQuipt For Life
Presidential Chamber A
11:20 AM - 12:10 PM
Description
Provided by Advisor Group - Embrace the digital age using eQuipt and learn how to integrate this all-digital solution into your business. Join a panel of your peers as they discuss how they leverage the eQuipt tools to streamline their business processes. Hear how advisors and their staff have modernized their methods by adapting eQuipt for onboarding, servicing and managing clients.
Speakers
Let’s Go Grow! Five Top Marketing Tips from Experts in Your Corner
Presidential Ballroom C/E
11:20 AM - 12:10 PM
Description
Provided by Advisor Group - Take a deeper dive into marketing expertise and best practices with your Advisor Marketing Team. We’ll share answers to some of our most commonly-asked questions and offer insight on actionable solutions we’ve found to help advisors grow their business using proven marketing solutions. Bring your questions for the team as we share our thoughts on the best Integrated Digital Marketing, Email Marketing, Website Marketing, Social Media Marketing, and Events.
Speakers
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Veronika Saparova
Senior Advisor Marketing Strategist, Advisor Group
Speaker
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Brittany Abbate
VP, Advisor Marketing and Growth Programs, Advisor Group
Speaker
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Kristi Toland
Senior Advisor Marketing Strategist, Advisor Group
Speaker
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Susan Theder
Executive Vice President, Chief Marketing Officer, Advisor Group
Speaker
Mastering First Impressions
Governor's Ballroom AE
11:20 AM - 12:10 PM
Description
Provided by Franklin Templeton - Lasting relationships often start with a positive first impression. The challenge is, there are many ways for people to gain insights about you, possibly without you even knowing. This presentation looks at first impressions from the client’s point of view and offers tips for making them favorable.
Speakers
Navigating the New Rollover Reality: Uncover Asset Gathering Opportunities to Grow Your Business
Bayou AB
11:20 AM - 12:10 PM
Description
Provided by Retirement Learning Center - Please join us to learn about unique asset gathering strategies in the IRA and retirement plan space with our new partner Retirement Learning Center (RLC). Our program is designed to give you insight, technical information and actionable implementation strategies to win new business. During this session you will learn how to identify hidden retirement planning opportunities that are often missed by financial advisors, and hear about some of the best practices that RLC has seen on increasing business. The session will cover topics including:•In-service distributions from employer-sponsored retirement plans•Special tax rules related to employer stock and Net Unrealized Appreciation (NUA)•Lump sum distributions from defined benefit plans•Tax efficient rollovers to Roth IRAs•How to incorporate pension de-risking activities into client conversations
Speakers
Planning to Outsmart Cancer
Presidential Ballroom D
11:20 AM - 12:10 PM
Description
Provided by Transamerica - “You have cancer” are among the three most alarming words anyone can hear. It is the nation’s second leading cause of death. 87% of all cancers are diagnosed after age 50. Beyond the anxiety and fear regarding the disease and prospects of mortality, cancer poses a significant financial threat to patient and family – regardless of clinical outcome. Assets intended to support a comfortable retirement are drained to finance the high costs of care which may not be covered by insurance. Transamerica, as part of its Wealth+Health initiative, has created Planning to Outsmart Cancer, a comprehensive suite of educational assets with interactive tools designed to support the financial and medical needs of individuals diagnosed with cancer. Overall cancer survivorship has increased 24% since 1990 and it continues to climb. Planning to Outsmart Cancer provides answers regarding cancer diagnosis, finding the right experts, current treatment strategies and clinical trials. Cancer affects the entire family and this program offers helpful, realistic advice to address the mental, emotional and interpersonal problems that may arise. Patients can’t fight cancer without expert help; neither should they singlehandedly attempt to navigate the financial challenges related to financing cancer. Planning to Outsmart Cancer takes a step-by-step approach to inform cancer patients regarding smart ways to organize all of their assets with the guidance of an experienced finance professional.
Speakers
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Chris McGovern
CFS®, CLU®, ChFC®, AEP, Director, Advanced Markets, Transamerica (Retirement Plans)
Speaker
Practice Management: Growing a Practice & Perfecting the Client Experience
Washington B
11:20 AM - 12:10 PM
Description
Provided by Advisor Group - In this session, you will learn how to implement the key drivers to help with the growth of both clients and revenue in a practice. In addition, we’ll discuss successful ideas for client retention and boosting referrals, all to focus on perfecting the client experience. There will be best practices for implementing a survey, calculating the results, and hosting client events. And you’ll have key strategies to take back to the office for implementation.
Speakers
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Kim Stine
Advisor Group (RAA)
Speaker
Securities Based Lending Solutions
Presidential Chamber B
11:20 AM - 12:10 PM
Description
Provided by Advisor Group - Securities-based lending is the practice of making loans using securities as collateral. Securities-based lending (SBL) creates “ready cash” that can be used for almost any purpose such as buying real estate, purchasing personal property, or business related needs.
Speakers
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Robert McAfee
Director of Cash Management, Advisor Group
Speaker
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Brad Silverman
Vice President, Private Banker, BNY Mellon Private Bank
Speaker
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Tom Stampfli
BNY Mellon Private Bank
Speaker
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Gary Basso
Vice President – Head of Institutional Sales & Distribution, Goldman Sachs Private Bank Select™ (“GS Select”)
Speaker
Supervision Hot Topics
Share Presidential Ballroom A
11:20 AM - 12:10 PM
Description
Provided by Advisor Group - This session will highlight current functionality of TRP, TRS and Account Periodic as well as future enhancements. Additionally, we will discuss ways to ensure compliance with logging checks and documenting rollovers. Lastly, we will have an open Q&A to address general matters of supervision for both the Advisor and First Line Supervisor.
Speakers
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Susan Robinson
VP, Supervision Controls, Advisor Group
Speaker
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Leslie Ayers
Chief Supervision Officer, Advisor Group
Speaker
TechBytes: Customizing Views in Salesforce
Canal E
11:20 AM - 11:40 PM
Description
Provided by Advisor Group - This session will highlight current functionality of TRP, TRS and Account Periodic as well as future enhancements. Additionally, we will discuss ways to ensure compliance with logging checks and documenting rollovers. Lastly, we will have an open Q&A to address general matters of supervision for both the Advisor and First Line Supervisor.
Speakers
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Susan Robinson
VP, Supervision Controls, Advisor Group
Speaker
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Leslie Ayers
Chief Supervision Officer, Advisor Group
Speaker
Understanding & Marketing to Today’s High Net Worth Investor
Governor's Ballroom D
11:20 AM - 12:10 PM
Description
Provided by Goldman Sachs - We believe now is a great time to be in the financial services industry. However, what was successful in the past may not serve as a useful guide in the future. Old sales and service models simply do not work. Today’s HNW investor is more informed, more aware, and more demanding than ever before. They represent a tremendous, multi-generational opportunity for wealth management professionals that can attract and retain these advice-seeking investors.In this workshop, Strategic Advisory Solutions’ Business Practices team will explain the needs of today’s HNW investor and discuss how advisors and firms can address those needs to successfully grow their businesses. We also introduce highly effective marketing strategies that top organizations around the globe have utilized to help capture this dynamic opportunity.
Speakers
TechBytes: Getting the Most Out of Using the Ops Portal
Canal E
11:50 AM - 12:10 PM
Description
Provided by Advisor Group - Ever wonder what the process is for a client that has a major life event (ie. Married or Reaches Age of Majority). The Ops Portal provides you with this information and more. During this session we will cover locating information and forms in Ops Portal using the Wizards feature and how to bookmark it for ease of future use.
Speakers
Lunch and Partner Exhibition
Ryman Exhibit Hall
12:10 PM - 1:40 PM
Business Consultations
Jackson A-F
1:40 PM - 2:30 PM
Description
Pre-registration required. Details on how to register will be emailed to you closer to event time.
Expedite Your Process with eSignature
Canal AB
1:40 PM - 2:30 PM
Description
Provided by Advisor Group - Join this session to learn the eSignature process utilizing Quik! eForms Library. In this session you will gain insight on the overall eSignature process to include the key triggers necessary to generate forms for eSignature and how to effectively generate forms with signatory/trustee roles. In addition you will learn the process of how emails are sent to signers, utilizing MyDox to view the status of documents and how to view signed documents in Salesforce and Document Management.
Speakers
Grow Your Investment Practice with Tax Preparation Services
Bayou CD
1:40 PM - 2:30 PM
Description
Provided by Advisor Group - If you’re interested in generating leads, retaining your own clients by developing stronger relationships while eliminating the need for them to search out other professionals or simply wanting to ensure your clients are sharing their whole financial picture with you, you’ll want to join us for this session. Mike Savolt, from Tax Management Services, Inc. (TMS), will share how integrating a tax preparation planning strategy into his business helped his group accomplished all of these goals. There are many ways to offer tax preparation services for your clients and Mike will discuss the three most popular used by financial advisors throughout his Producer Group, Tenacity Advisory Group (TAG).
Speakers
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Mike Savolt
Advisor Group (WFS)
Speaker
Growing an Enterprise Through an Active Recruitment Strategy
Presidential Ballroom B
1:40 PM - 2:30 PM
Description
Provided by Advisor Group - Are you looking to grow your business, but not solely through client acquisitions? Building an enterprise model through recruiting might just be for you. Learn from three of the top recruiting OSJs at Advisor Group on what it takes to be a recruiting OSJ. We’ll discuss solutions to common recruiting challenges, crafting an impactful value proposition that resonates with prospective advisors, effectively managing your downlines and leveraging your resources. Growth is just around the corner! Join us to learn more!
Speakers
Growing an Enterprise Through an Active Recruitment Strategy
Presidential Ballroom B
1:40 PM - 2:30 PM
Description
Provided by Advisor Group - Are you looking to grow your business, but not solely through client acquisitions? Building an enterprise model through recruiting might just be for you. Learn from three of the top recruiting OSJs at Advisor Group on what it takes to be a recruiting OSJ. We’ll discuss solutions to common recruiting challenges, crafting an impactful value proposition that resonates with prospective advisors, effectively managing your downlines and leveraging your resources. Growth is just around the corner! Join us to learn more!
Speakers
Perspective on Today’s Fixed Income Environment
Governor's Ballroom AE
1:40 PM - 2:30 PM
Description
Provided by Clark Capital - Uncertain monetary policy overhangs the capital markets and the global economy. Clark Capital will share with you our perspectives on the current rate environment, the lens through which we view recession possibilities, and our outlook for the markets and economy into 2020.
Speakers
Protecting a Client’s Principal in a Volatile Market
Presidential Ballroom D
1:40 PM - 2:30 PM
Description
Provided by Griffin Capital Securities, LLC - Even as the economy continues to grow modestly, volatility is wreaking havoc in the stock market. Find out more about an asset class that offered consistent, high income and outperformance with almost no volatility. Join Dr. Randy Anderson, President, Griffin Capital Asset Management Company, as he shares his views on the economy, the state of the markets and one asset class that investors need to own in their portfolios.
Speakers
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Dr. Randy Anderson
President, Chief Economist, Griffin Capital Asset Management Company, Griffin Capital Company, LLC.
Speaker
Solving for Longevity
Presidential Ballroom A
1:40 PM - 2:30 PM
Description
Provided by Sammons Retirement Solutions - As a financial professional, you hear life stories that range from harrowing to heroic. While clients bring a variety of issues to their retirement planning sessions, there's often an overarching concern that weaves into each of them: "Will my money last?" Running out of money is the number one financial concern of clients nearing retirement. People are living longer and facing increased retirement expenses – from higher daily living expenses to increased health care and needs for assisted living. Find out how you can address this top cause of concern with strategies that help ensure your clients won't outlive their money.
Speakers
Split-Dollar Life Insurance
Presidential Chamber B
1:40 PM - 2:30 PM
Description
Provided by MassMutual - This presentation explores the function and application of split-dollar life insurance in the business context. Participants will have an opportunity to review the mechanics of the arrangements and identify prospects for whom split-dollar might work.
Speakers
Succession & Acquisition – Secrets to Buying and Selling
Bayou AB
1:40 PM - 2:30 PM
Description
Provided by Advisor Group - Learn the secrets to buying and selling a financial services business from our award winning Succession & Acquisition Team at Advisor Group. In this session you will learn key takeaways from both the buyer’s and the seller’s side of the table. Todd Fulks and Tina Vallelonga will discuss what they have seen work well, and what they have seen work not so well in these transitions. They have completed over 1,000 deals specifically within our industry and have experience and knowledge that you need in order to complete a deal right.In addition, they will provide you with information on the resources that you have at your disposal from Advisor Group. This is a “can’t miss” session.
Speakers
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Todd Fulks
Senior Vice President, Succession & Acquisition, Advisor Group
Speaker
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Tina Vallelonga
VP, Succession and Acquisition, Advisor Group
Speaker
Target Audiences: How to Identify and Grow Your Business with a Niche Market
Presidential Ballroom C/E
1:40 PM - 2:30 PM
Description
Provided by Advisor Group - What’s your niche? How to find it — and use it, better than everyone else is key. Learn from our advisors, Michael Bonnell, Justin Klein, Jennifer Scroggins, Rob Schultz how they identified their particular niche, leveraged their skills and knowledge and employed an effective strategy to grow their businesses.
Speakers
Tax Efficient Retirement Income
Governor's Ballroom D
1:40 PM - 2:30 PM
Description
Provided by Nationwide - When investors think about their retirement plan, taxes are usually not top of mind. But many of the decisions you make as you invest -- and eventually begin to live off the money you saved -- have significant tax implications. Some decisions may lock you in to certain tax consequences that you may not be aware of, and could cost you thousands of dollars in lost savings. With proper planning around tax-efficient opportunities and sequencing strategies, you can potentially make your assets last longer throughout retirement and keep more of the money you earned and saved for your financial future. The goal of this session is to help you understand the importance of retirement planning with tax efficiency and tax flexibility in mind.
Speakers
TechBytes: Set it and Forget it Reports in OneView
Canal E
1:40 PM - 2:00 PM
Description
Provided by Advisor Group - Have you been looking for a way to send performance reports to your clients on a regulars basis? During this session, we will show you how to set up Set it and Forget reports for your clients known as Batch Jobs.
Speakers
Technology to Magnify Your Business
Presidential Chamber A
1:40 PM - 2:30 PM
Description
Provided by Advisor Group - There are a number of technology solutions that can be leveraged to effectively modernize the way you do business. Take advantage of this opportunity to listen to a panel of your peers as they discuss the technologies they use to position their business for success.
Speakers
The Brokerage Experience
Washington BA
1:40 PM - 2:30 PM
Description
Provided by Pershing LLC, a BNY Mellon company - Learn to Leverage Pershing’s Tools: View Client information, Asset Movement, Manage Work Flow, Notifications
Speakers
The Household Balance Sheet as the Center of a Retirement Plan
Governor's Ballroom B
1:40 PM - 2:30 PM
Description
Provided by Investments & Wealth Institute - The Household Balance Sheet™ is a concept developed from the RMA curriculum that produces a unique record of a client's household assets and liabilities, including hard-to-quantify elements like human and social capital. The perspective gained from the methodology helps advisors understand the custom approach needed for each client to successfully navigate retirement, and helps clients understand and commit to a retirement plan with confidence.
Speakers
The HSA Advantage: Covering Healthcare Costs with Tax-Free Dollars
Governor's Ballroom C
1:40 PM - 2:30 PM
Description
Provided by Lord Abbett - As health care costs continue to rise, tax-advantaged savings for health future expenses plays an increasingly important role in creating a financial plan. Join Brian Dobbis as he discusses the impact of increasing health care costs on retirement savings. Learn how tax-advantaged Health Savings Accounts (HSAs) can have a significant impact on building a health care funding strategy, and how they interact with retirement accounts. The seminar will help you develop proven strategies that can be implemented immediately.
Speakers
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Brian Dobbis
Lord Abbett
Speaker
The Riley Case: Can this Case be Saved after Tax Reform?
Bayou E
1:40 PM - 2:30 PM
Description
Provided by The American College of Financial Services - Meet JD and Mary Riley who at age 70 are considering exiting their $18 million business (an S-Corp) and are transitioning to family philanthropy. Tens of thousands of dollars have been spent, over the last couple years, on planning fees. The attorney, CPA, and financial planner crafted the perfect plan. But did JD and Mary sign? And now, will Tax Reform kill it dead? In this interactive session, we will work across our disciplines to advance this case to a successful conclusion. Learning objectives - Appreciate why, particularly after tax reform, planning for legacy must touch both head and heart - Be able to open a conversation with JD and Mary that will uncover the motivation required to drive the case forward - Be able to collaborate better across our disciplines, to unleash the latent generosity of business-owning families like the Rileys.
Speakers
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Phil Cubeta
MSFS, CLU®, ChFC®, CAP®, The American College of Financial Services
Speaker
TechBytes: Adding Contacts and Segmenting Clients with MyCMO
Canal E
2:10 PM - 2:30 PM
Description
Provided by Advisor Group - MyCMO offers pre-approved marketing content to help you connect with the right person using the right message at the right time. In this session, you’ll learn how to segment your contacts in MyCMO, helping you build deeper relationships and become more referable!
Speakers
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Veronika Saparova
Senior Advisor Marketing Strategist, Advisor Group
Speaker
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Brittany Abbate
VP, Advisor Marketing and Growth Programs, Advisor Group
Speaker
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Kristi Toland
Senior Advisor Marketing Strategist, Advisor Group
Speaker
Advice in a New Era
Presidential Ballroom D
2:45 PM - 3:35 PM
Description
Provided by American Funds by Capital Group - Advances in technology and efficiencies in the markets have evolved our industry. We find ourselves in a new era. The role of the advisor has expanded beyond investment advice and portfolio allocation. Today’s most valued advisors have become trusted coaches. They are tasked with having to understand and manage client behavior. In this program, we equip advisors with tools to help develop a mastery of approaching advice in the new era. Together, we will: Improve client outcomes with a proven framework for crucial client conversations, based on an understanding of human biases; Drive growth and create efficiencies by identifying a client’s real relationship value and integrating a service-level matrix; Acquire new relationships by demonstrating a lifetime of value, with return on life.
Speakers
Best Strategies from Top Practices
Presidential Ballroom C/E
2:45 PM - 3:35 PM
Description
Provided by Advisor Group - What do the top practices do to reach even higher levels? They set up systems that are high-end and scalable. This panel of three $1,000,000+ producing advisors will share the keys to growing your practice in a scalable efficient way. The panel will be moderated by Ken Unger, the founder of the Academy of Preferred Financial Advisors (APFA) and the leader of the Advisor Group Exclusive Coaching Program. If you are looking for business building strategies, then this breakout is a no-brainer!
Speakers
Bridging the Gap Between My Clients’ Goals and My Advice
Presidential Ballroom B
2:45 PM - 3:35 PM
Description
Provided by Advisor Group - Do your clients recognize the goals you’ve helped them achieve? Do they even remember the goals you set with them? How are you engaging your clients about meeting their goals? Hear from other advisors as they discuss how they draw out, support and reinforce the progress and achievement of their clients’ goals and objectives.
Speakers
Business Consultations
Jackson A-F
2:45 PM - 3:35 PM
Description
Pre-registration required. Details on how to register will be emailed to you closer to event time.
Client-Level Profitability
Governor's Ballroom B
2:45 PM - 3:35 PM
Description
Provided by Pershing LLC, a BNY Mellon company - Understanding and realigning profitability drivers can help set the right price for the right service. Focusing on the five critical components advisors can control: capacity, service packages, client classification, pricing and profit, results in a profitability model that supports both client and advisor long-term results.
Speakers
Communications with the Public
Presidential Ballroom A
2:45 PM - 3:35 PM
Description
Provided by Advisor Group -This session will focus on using the various forms of social media to promote your practice and doing so in compliance with firm and regulatory policy. We will also review the available technology that can be leveraged to deliver high-quality content to your clients with the click of a button.
Speakers
Compensation and Retention Strategies for Staff and Advisors
Governor's Ballroom C
2:45 PM - 3:35 PM
Description
Provided by Advisor Group - How you reward your team is a critical part of attracting and retaining quality staff, but most advisors deal with compensation in a reactive manner rather than a proactive manner. As advisors hire both support and professional (advisor) team members, questions around how to best compensate them and how to address career development and ownership expectations begin to crop up. In this session, we will address some of the thorny issues around compensation, career progression, and ownership, with the goal of helping you successfully reward and retain high-performing team.
Speakers
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Matt McGinness
Advisor Group
Speaker
Developing and Navigating Personal Financial Planning Realities
Bayou CD
2:45 PM - 3:35 PM
Description
Provided by Advisor Group - We all know what we would like to do and achieve, but how realistic are those expectations? Are your clients’ goals truly attainable? Do you feel like you can help your clients accomplish their financial planning goals? This session focuses on developing real world applications under various case study scenarios to ensure that when your work with a client in this area, a model will be developed for use by you in tackling these exposures of the client and providing keen insight and practical recommendations in tackling those problems.
Speakers
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Jeff Rattiner
CPA, CFP®, MBA, JR Financial Group, Inc.
Speaker
Examples of Excellence: How to Elevate the Client Experience
Presidential Chamber B
2:45 PM - 3:35 PM
Description
Provided by Fidelity Clearing & Custody Solutions - Please join Fidelity Investments for a presentation full of ideas and strategies to elevate the client experience. You’ll hear tactical and practical examples of how advisors can refresh and enhance the ways they engage with existing and prospective clients to build greater loyalty and win new business. Specifically, we’ll help you lay the right foundation for a delightful client experience, clearly communicate your value, segment your clients, engage with COIs (centers of influence), and create memorable moments through events and activities.
Speakers
Expedite Your Process with eSignature
Canal AB
2:45 PM - 3:35 PM
Description
Provided by Advisor Group - Join this session to learn the eSignature process utilizing Quik! eForms Library. In this session you will gain insight on the overall eSignature process to include the key triggers necessary to generate forms for eSignature and how to effectively generate forms with signatory/trustee roles. In addition you will learn the process of how emails are sent to signers, utilizing MyDox to view the status of documents and how to view signed documents in Salesforce and Document Management.
Speakers
Increasing Practice Productivity Through Advanced Portfolio Solutions
Bayou E
2:45 PM - 3:35 PM
Description
Provided by Envestnet - Today’s advisor is challenged with providing clients with a broader set of solutions and value than ever before, putting a premium on portfolio solutions that can help increase productivity and efficiency. This session will take a close look at solutions that can provide advisors a more scalable approach to asset management, allowing more time for client service and prospecting.
Speakers
Memory Switch – Discovering Your Memory Power
Governor's Ballroom AE
2:45 PM - 3:35 PM
Description
Provided by Advisor Group - Your profession demands that you remember a wealth of knowledge including client information, market data, presentations…and most importantly names. A simple slip of the mind can result in thousands of dollars in lost sales or credibility. If you would like to learn how to strengthen your memory and boost your confidence leading to increases in listener’s retention of key information, referrals and repeat business, you’ll want to join Matt for this impactful session. You will walk away with several actionable ideas on how a powerful memory will help you be more effective, improve time management while reduce stress along the way.
Speakers
Peer-to-Peer Round Table Discussions
Washington B
2:45 PM - 3:35 PM
Description
Provided by Advisor Group - Meet peers from all four broker-dealers and learn from each other as you share best practices, tips and processes used in all facets of the business. Topics will include Salesforce, social media, compliance and much more.
Speakers
Rebalancing AMP Accounts in the WMP
Canal CD
2:45 PM - 3:35 PM
Description
Provided by Advisor Group - This session will demonstrate how to rebalance Advisor Managed Portfolios on the Wealth Management Platform, whether trading in a single account or rebalancing multiple accounts simultaneously.
Speakers
Social Security: Advanced Case Studies & Making Sense of the WEP & GPO
Bayou AB
2:45 PM - 3:35 PM
Description
Provided by Securian Financial - Please join Securian Financial for a presentation focused on advanced Social Security case studies and an in-depth look at the Windfall Elimination Provision and Government Pension Offset. The advanced case studies will focus on claiming strategies available for your clients and how the rules change based on a variety of scenarios. These scenarios include: Are you really retired? Are you indecisive? Who is your spouse for Social Security purposes? Who is eligible for survivor benefits? What about divorce and remarriage? Is it possible for grandchildren to claim Social Security benefits? We will examine the unique rules that apply to individuals who earned non-covered pensions during their working years. How will the Windfall Elimination Provision and Government Pension Offset affect both retirement and survivors Social Security Benefits for your clients?
Speakers
TechBytes: Valuable Reports in the Advisor Business Intelligence Tool
Share Canal E
2:45 PM - 3:05 PM
Description
Provided by Advisor Group - If you have been looking for a way to gather statistical information regarding your firm and your clients, then this is the session for you. During this session we will cover how to gather information such as how many clients reside in each state, how you compare to your peers in several categories, your top clients and much more.
Speakers
The Evolution of Communication in the Financial Services Industry
Presidential Chamber A
2:45 PM - 3:35 PM
Speakers
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Derrick Girard
Speaker
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Nate Anderson
Speaker
Your High Net Worth Client Strategy: It’s What They Want, Not What You Know
Governor's Ballroom D
2:45 PM - 3:35 PM
Description
Provided by SEI Investments - Did you know that nearly half of high-net-worth (HNW) investors—even those who claim they’re satisfied with their primary advisor—plan to switch some or all of their business in the next 12 months? For HNW clients, it’s not about what you know. It’s about what they want, and whether they trust you to provide it. In this presentation you’ll learn how to service HNW clients, and get techniques to help keep them. We’ll discuss why HNW investors may leave – even when they’re satisfied, what it means to truly understand their needs, how to earn your HNW client’s trust, and how to create a service model that focuses on making your client experience personal.
Speakers
TechBytes: Stay in the Know with MyNotifications
Canal E
3:15 PM - 3:35 PM
Description
Provided by Advisor Group - Would you like to be alerted about an outgoing ACAT? Would you like to be notified if a ServiceNet ticket status changes? During this session we will show you how to set up notifications that can be sent to your email or your assistants email regarding items such as equipt status, transfer status and much more.
Speakers
TechBytes: Stay in the Know with MyNotifications
Canal E
3:15 PM - 3:35 PM
Description
Provided by Advisor Group - Would you like to be alerted about an outgoing ACAT? Would you like to be notified if a ServiceNet ticket status changes? During this session we will show you how to set up notifications that can be sent to your email or your assistants email regarding items such as equipt status, transfer status and much more.
Speakers
Annual Compliance Meeting
Delta Ballroom
4:00 PM - 5:30 PM
Description
Segment 1 – Regulatory & Sales Hot Topics – Rob Guldner, Justin Sacca & Steve Wastek Segment 2 – Supervisory Issues & Best Practices – Leslie Ayers, Greg Curley, Dori Hammond & Steve Schlegal
Speakers
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Michael Burns
Chief Compliance Officer, Advisor Group
Speaker
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Justin Sacca
Chief Compliance Officer, RAA, Advisor Group
Speaker
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Rob Guldner
Chief Compliance Officer, Investment Advisory, Advisor Group
Speaker
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Leslie Ayers
Chief Supervision Officer, Advisor Group
Speaker
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Steve Wastek
Associate General Counsel, Senior Regulatory Attorney, Advisor Group
Speaker
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Dori Hammond
Chief Compliance Officer, FSC, Advisor Group
Speaker
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Steven Schlegel
Chief Compliance Officer, SPF
Speaker
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Greg Curley
Senior Litigation Counsel, Advisor Group
Speaker
Closing Festivities
Delta Ballroom
6:30 PM - 10:30 PM
