Updated Tuesday, July 29, 2014 as of 6:43 AM ET

Podcasts


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Welcome Address


November 15, 2012

Frances A. McMorris, Editor in Chief, ON WALL STREET


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The Emotion Behind Money


November 15, 2012

We each have specific emotions, or emotional patterns, attached to money that were imprinted on us before we even had a choice to have a checking account. Whether you personally recognize this or not, today those emotions impact every financial decision you face. They are responsible for how you make money and how you keep it, or whether, as is often the case, it seems to go out the door faster than it comes in. Amazingly, those feelings are not just fleeting reactions; they actually influence how much money you'll make and amass throughout your entire life! The purpose of this book is to help you recognize your emotions behind money, and likewise help you discover healthier ways to respond to those feelings. Through everyday language, lively anecdotes, and engaging exercises this presentation will help you see your life and your money through a different lens;  Empower you to align your financial destiny by living from the inside out; Teach you how to discover and define what you truly desire to live abundantly. 


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Safeguarding Against Succession Sabotage


November 15, 2012
Denise Federer, Ph.D.

Denise Federer, Ph.D. FEDERER PERFORMANCE MANAGEMENT GROUP


"He Who Fails to Plan, Plans to Fail"-Proverb.

There is no way to deny it: a successful practice transition starts and ends with YOU.

How many times have you acknowledged that you "should" create a succession plan-but ultimately convinced yourself that you have plenty of time to complete it? Or have you generated a business continuity plan that focuses primarily only on the legal and monetary issues of your practice and ignores the human aspect of this transaction? NOT taking action in these crucial areas may result in you unwittingly sabotaging your business, your clients and your family's future.

If you are ready to face your "transition terrors" and accept responsibility for ensuring a Successful Succession outcome- this hour will be time well spent. By attending this workshop with behavioral psychologist and coach Denise Federer, PhD., you will be able to:

. Adopt the A, B, C's of a successful transition: Acknowledge Your Pivotal Role/Responsibility in the Succession Process; Be Willing to Embrace Change; and Commit to a Plan to Safeguard Your Clients, Business and Family.
. Consider the "Transition Terrors" you might be experiencing, your potential Succession Sabotaging Behaviors and strategies to overcome them.
. Identify, assess and retain key successor candidates.
. Recognize the four fundamental human capital elements that are essential for ensuring a sustainable practice and a successful transition of your business.
. Learn the specific steps necessary for creating a Succession Plan that will result in a smooth transition of your practice and ensure the future well-being of your clients, employees and family.


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Emerging Market Fund Update


November 15, 2012
Luz Padilla

Luz Padilla Portfolio Manager, Emerging Markets, DOUBLELINE


During this session, Luz Padilla, Manager of the Emerging Markets Portfolio at DoubleLine Partners will discuss the current state of Emerging Markets Funds and why advisors should consider them for their clients’ portfolios. Emerging Markets are attractive for clients because of their positioning in the global economy: 

Emerging Markets (EM) represent more than 70% of the global population, oil reserves and land mass 

EM hold more than 80% of the world’s foreign exchange reserves 

EM represent less than 50% of global GDP and 20% of stock market capitalization 


Ms. Padilla will also explore the resilience of EM economies during latest economic crisis, and the expectation that EM GDP growth rates will continue to outpace Developed Markets. Additionally, relative to EM equity and other U.S. debt and equity strategies, EM debt provided the highest annualized returns since the inception of the Merrill Lynch EM Sovereign Index, 20 years ago. Advisors will leave the session with a better understanding of the opportunity to be found within Emerging Markets.


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Ten Game Changing Opportunities to Enhance Your Client Relationships By Discussing Philanthropy


November 15, 2012
Eileen Heisman

Eileen Heisman President and CEO, NATIONAL PHILANTHROPIC TRUST


Ninety-seven percent of Americans want to discuss charitable giving with their financial management advisors, but only a small percentage are actually having the conversation. By working with your clients to create a philanthropic strategy, you can expand your expertise, deepen the client relationship, create a bridge to the next generation and potentially tap into new financial resources-all while benefiting important charitable causes. This presentation will give you help you understand the importance of a charitable giving strategy, initiate the philanthropy conversation with your clients, and capitalize on ten game-changing moments in your clients' lives that create charitable giving opportunities.


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Bridging the Generation Gap


November 15, 2012
Darla Sipolt

Darla Sipolt Regional Director, Institutional Sales, TD AMERITRADE


An uncertain economic environment coupled with the evolving needs of investors have created noteworthy shifts in client expectation sand interpersonal dynamics between advisors and clients. This session will explore the key drivers and proven techniques to establish a successful relationship with Generation X/Y clients.


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FINRA Communication Rules Update


November 15, 2012
Denise Morrison

Denise Morrison Chief Compliance Officer, SECURITIES AMERICA INC.


The Securities and Exchange Commission approved FINRA's proposed new rules governing communication with the public, and slated them to take effect Feb. 2013. During this panel, experts will walk advisors and asset managers through the specifics of the rules and how they affect advertisements, sales literature, correspondence, institutional sales material and public appearances. Another topic for discussion will be the new social media regulations and developing best practices.


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The Multi Million Dollar Woman


November 15, 2012

Attend this highly sought-after, exclusive session where these advisors with varied and unique professional backgrounds will share the triumphs and hiccups that formed their approaches to advising and reveal their best practices in building their businesses.

The dos and don'ts of attracting affluent clients

Perfecting the art of the deal

Cultivating new associations in the pipeline process

Knowing how to seize unusual opportunities to benefit you and your clients

Other success strategies


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Welcome Address


June 12, 2012

Frances A. McMorris, Editor in Chief, ON WALL STREET


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The $14 Trillion Opportunity


June 12, 2012

Barbara Kay, MA, LPC, RCC , BARBARA KAY COACHING

Women control 50% of the nation's wealth, an estimated $14 trillion. Today, 95% of women are actively involved in financial decisions and 84% of women want help. Yet, only 7% of women have a written financial plan. There is a huge opportunity to meet the needs of women investors. Find out how:

. Learn what's not working and what "turns off" women investors
. Learn easy ways to successfully reach new women prospects
. Learn the marketing benefits of activating women advocates

Barbara Kay, author of The $14 Trillion Woman: Your Essential Guide to Engaging the Female Client, the industry's leading work on reaching and engaging women investors, will present the compelling opportunity with easy and effective practical steps that advisors can implement immediately.


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Opportunity For Quantum Growth Through Practice Acquisition


June 12, 2012

Patricia Moll Franchise Field Vice President, AMERIPRISE FINANCIAL

You've worked hard to build your practice client by client. That's a great way to start, but top advisors know the key to quantum growth is to acquire another practice. Where do you start? How do you find the right practice to purchase, determine an equitable price for the practice, finance the purchase and, most importantly, transition clients? Leveraging real life examples, you'll learn the answers to these questions and take away best practices you can use to double or even triple the size of your practice.


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Truth and Consequences of Clients' Financial Goals


June 12, 2012
Joanne M. Woiteshek

Joanne M. Woiteshek President, ORGANIZAMERICA®


With Boomers trickling into retirement and the newly-graduated trying desperately to enter the working world, the generation already employed and working its way up the ladder—dubbed, “Generation Next”— has been all but ignored when it comes to financial education and planning. Joanne Woiteshek of Interactive Financial Advisors counsels that this generation should not be neglected, lest they find themselves nearing retirement undersaved and underserved.


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Demystifying Decumulation - 1 Ce Credit


June 12, 2012

Panelist: Lazetta Rainey Braxton, MBA, CFP© Founder and CEO, FINANCIAL FOUNTAINS LLC

Panelist: Sharon Egan, MBA, CFP© Director of Financial Planning Services, NORTH STAR INVESTMENT MANAGEMENT CORP.

Panelist: Mary Erl,CFP© Registered Investment Advisor, Owner, NESTBUILDER FINANCIAL ADVISORS LTD.

As investors slowly recover from the poor investment outcomes of 2008 and 2009, advisors are tasked with transforming their strategies and practices along with the advancing age of the baby boomers. "The shift from wealth accumulation to decumulation is where financial advisors and distribution firms must transform their practice-management skills," says Greg Cherry, senior analyst with Aite Group and author of a recent report on the topic of decumulation. This session will cover advanced practices in decumulation with strategies designed to prepare advisors for the changing needs of their clients.


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You're On In Making The Most Of Online Video


June 12, 2012

Samantha Allen Managing Director, INVESTIUS ©

Have you ever visited another advisor's Website and seen a video greeting from them welcoming you to their online business space or telling about the company's mission statement or history? Wondered whether that's something that might add value to your practice, but are unsure of how to go about producing such a project?

Having a robust online presence is now table stakes for advisors; integrating rich media is the next step that will distinguish you from your peers. This interactive session will present best practices for using video as a marketing and online communications tool, and help individual advisors find and develop their on-camera presence.


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Social Media And Compliance For The Advanced Beginner - 1 CE Credit


June 12, 2012

Panelist: Noël Goudreau Partner, KUBASIAK, FYLSTRA, THORPE & ROTUNNO, P.C. Panelist: Jodi Hrbek Director, Business Development, NEXTPOINT Panelist: Julie Murphy Casserly, CLU, ChFC, MBA, CFP© President, JMC WEALTH MANAGEMENT, INC. Panelist: Crystal Thies CEO and LinkedIn Ninja, CRYSTAL CLEAR BUZZ, LLC While many advisors use social media for business use, the most enthusiastic of the bunch tend to be RIAs, with advisors from major wirehouses being slightly cooler toward social tools due to compliance concerns. Many know the basics of Facebook, LinkedIn, and Twitter, but are unsure of how to use the tools to maximize their effectiveness while remaining compliant with the SEC and FINRA guidelines. Explore best practices among a rapidly-changing social media landscape and how you can ensure your business remains on the right side of compliance.


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Finding Your True North


June 12, 2012

Margaret Dunlap Vice President, Institutional Sales, TD AMERITRADE INSTITUTIONAL

Every firm needs to have a clear understanding of their identity, their ideal client profile and they must have a unique value proposition. Together, these attributes make up a firm's service model. Whether a firm is a money manager, wealth manager, investment advisor or family office, being disciplined about its service model can be a key contributor to success. This session will review the key components of a disciplined service model and why having a focused strategy will keep your firm on course.


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The Multi-Million Dollar Woman


June 12, 2012


Attend this highly sought-after, exclusive session where these advisors with varied and unique professional backgrounds will share the triumphs and hiccups that formed their approaches to advising and reveal their best practices in building their businesses. The dos and don'ts of attracting affluent clients Perfecting the art of the deal Cultivating new associations in the pipeline process Knowing how to seize unusual opportunities to benefit you and your clients Other success strategies…


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Welcome Address


May 22, 2012

Frances A. McMorris, Editor in Chief, ON WALL STREET


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Females & Financial Services - Why Clients Choose You


May 22, 2012

Ann Hughes, M.Ed. President, THE FEMALE AFFECT


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2012 Advisors Economic Outlook


May 22, 2012

Kathleen B. Cooper Ph.D., Senior Fellow, John G. Tower Center for Political Studies,
SOUTHERN METHODIST UNIVERSITY


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Demystifying Decumulation


May 22, 2012

Moderator: Frances A. McMorris, Editor in Chief, ON WALL STREET
Panelist: Joy Kirsch, Owner, KIRSCH & ASSOCIATES
Lynn Lawrance, MBA CLTC CFP®, Investment Advisor Representative, FINANCIAL
NETWORK INVESTMENT CORPORATION


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Remember the Alimony


May 22, 2012

Moderator: Frances A. McMorris, Editor in Chief, ON WALL STREET
Panelists: Patricia Barrett, CFP®, CDFAT, Mediator, LIFETIME PLANNING LLC
Patte Lee CFP® CDFAT RPA, Financial Advisor, MASSMUTUAL FINANCIAL GROUP
Joan Nye MBA, President, JPN FINANCIAL LLC
Cathy Threadgill, CDFAT
Sharon Washburn CDFAT, Second Vice President-Wealth Management, Financial
Planning Specialist, MORGAN STANLEY SMITH BARNEY


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Bridging the Generation Gap


May 22, 2012

Kristin North, Vice President, Institutional Sales, TD AMERITRADE INSTITUTIONAL


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An Advisor's Guide to Social Media Success & Compliance


May 22, 2012

Amy McIlwain, Social Media Strategist, FINANCIAL SOCIAL MEDIA


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The Multi-Million Dollar Woman


May 22, 2012

Moderator: Frances A. McMorris, Editor in Chief, ON WALL STREET
Panelists: Lynn Faust, Senior Vice President, Investments, THE FAUST-BOYER GROUP,
RAYMOND JAMES & ASSOCIATES
Lora Hoff, CFP®, Wealth Manager, INVESTMENT PLANNERS, INC. IPI WEALTH
MANAGEMENT, INC.
Kelly Rigas, First Vice President-Financial Advisor, Private Client Group, RBC WEALTH
Susan A. Riley-Hayes, CRPC, Private Wealth Advisor, AMERIPRISE FINANCIAL


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Welcome Address


April 26, 2012

Frances A. McMorris, Editor in Chief, ON WALL STREET


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Top 5 Mistakes Women Make While Being Recruited


April 26, 2012

Mindy Diamond, President, DIAMOND CONSULTANTS

It's known and understood that women often tend to undervalue themselves. As an advisor, you understand the importance of protecting and affixing the correct value to others' assets, and it's just as necessary to understand the value you bring to the table. When thinking about making the jump from one firm to another, or entering into a new client relationship make sure you're avoiding these most commonly-made mistakes.


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Demystifying Decumulation


April 26, 2012

Shannon Reid, Director, Retirement Solutions, RAYMOND JAMES

As investors slowly recover from the poor investment outcomes of 2008 and 2009, advisors are tasked with transforming their strategies and practices along with the advancing age of the baby boomers. "The shift from wealth accumulation to decumulation is where financial advisors and distribution firms must transform their practice-management skills," says Greg Cherry, senior analyst with Aite Group and author of a recent report on the topic of decumulation. This session will cover advanced practices in decumulation with strategies designed to prepare advisors for the changing needs of their clients.


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Social Media & Compliance for the Advanced Beginner


April 26, 2012

Moderator: Lorie Konish, Senior Editor, ON WALL STREET
Co-Presenters: Valentina Chtchedrine, Vice President, Digital Strategy & Social Media, MORGAN STANLEY SMITH BARNEY
Marie Swift, President & CEO, IMPACT COMMUNICATIONS, INC., COLUMNIST FINANCIAL PLANNING

While many advisors use social media for business use, the most enthusiastic of the bunch tend to be RIAs, with advisors from major wirehouses being slightly cooler with social tools due to compliance concerns. Many know the basics of Facebook, LinkedIn, and Twitter, but are unsure of how to use the tools to maximize their effectiveness while remaining compliant with the SEC and FINRA guidelines. Explore best practices among a rapidly-changing social media landscape and how you can ensure your business remains on the right side of compliance.


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Trends in Technology Implementation


April 26, 2012

Zohar Swaine, Managing Director, Institutional Strategy, TD AMERITRADE INSTITUTIONAL

The innovation and advancement of technology for advisors has never been as quick or as pervasive as it is today, and for many firms, technology is business critical. Looking ahead, what will the full impact of cloud, mobile, and social networking have on your practice? How will these technologies intersect with practice management's growth and productivity goals? Attendees will leave this session with a better understanding of the changing advisor technology landscape and thoughts on how to better leverage technologies in advisory practices.


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Luncheon Keynote: Gender Equality as an Investment Concept


April 26, 2012

Joseph Keefe, President & CEO, PAX WORLD INVESTMENTS

There is now substantial evidence that the status and role of women may be an excellent clue to a company's growth potential - that the best companies, and therefore the best investments, are those that take advantage of the talents, ideas and contributions of half of the world's population. Numerous studies have shown that companies that empower and advance women - e.g., through gender diversity on boards and in upper management - are likely to reap the benefits in terms of improved profitability and performance. If this is the case, then gender equality needs to be understood as an investment concept.


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Women & Retirement: What's the Plan?


April 26, 2012

Karen Wimbish, Director, Retail Retirement, WELLS FARGO & CO.

Affluent women surveyed are significantly less confident about retirement than men. The least confident of all are single women, and the most confident are married men.
"Despite the fact that women hold half the high paying managerial positions in the U.S. workforce and they make a majority of household buying decisions, women continue to lag behind men in their confidence in preparing for retirement and this is particularly true for single women," Wimbish says.
Twice as many affluent women as men agree they will need to work until age 80 to have enough savings to live comfortably in retirement (18% of women vs. 9% of men).
Less than half of women (42%) with investable assets of $100,000-$250,000, say they have a written plan versus 59% of women with assets greater than $250,000.
Nearly one third (31%) of affluent women say they aren't confident they will have enough saved to live the lifestyle they want throughout their retirement, vs. only 18% of affluent men.
Single women are the least confident that they will save enough to retire comfortably: 44% said they weren't confident, compared to 27% of married / partnered women and 17% of married / partnered men.
Among affluent women, - who are the lead drivers of America's consumer economy - two in five (42%) say they need to significantly cut back spending today in order to save for retirement, vs. 34% for men.
Asked to name their biggest fear about retirement, 48% of affluent women said they fear they "will do all the right things today and it still won't be enough for tomorrow," vs. 35% of affluent men. Affluent women are less likely to say they "have no fears, it will work itself out" than men (42% for women, 55% for men).
Women are more likely than men to cast aside the idea of a retirement age, with 80% of women vs. 67% of men saying it is more important to have a specific amount saved before retirement, regardless of age, than it is to retire at a specific age, regardless of savings. Karen Wimbish, Director of Retail Retirement at Wells Fargo, will discuss recent retirement planning trends for affluent women investors and share five critical steps to help you not only open the conversation with your clients, but also increase your business within this $7 trillion market.


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Plan Health & the Power of Women


April 26, 2012

Elaine Sarsynski, Executive Vice President, Retirement Services Division; Chairman & CEO, MASS MUTUAL INTERNATIONAL LLC

Establishing a strong connection with their clients through incorporating behavioral finance and sharing experiences and capabilities through storytelling are some of the keys that plan health differentiators focus on in order to ensure the overall fitness of their clients' retirement plans.


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What's Your Story?


April 26, 2012

Kim Sharan, Chief Marketing Officer, AMERIPRISE FINANCIAL

You're skilled at building your business, but how focused are you on building your brand? And not just your brand as a financial advisor-your personal brand. Think of it as You, Incorporated. In a world where our personal and business lives are so intertwined, telling an authentic, emotional and concise story to define your personal brand is more important than ever.


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The Multi-Million Dollar Woman


April 26, 2012

Moderator: Frances A. McMorris, Editor in Chief, ON WALL STREET Panelists: Lee DeLorenzo, President, UNITED ASSET STRATEGIES, INC. Carrie Gallaway, Financial Advisor, MORGAN STANLEY Sacha Millstone, Investment Advisor Representative, RAYMOND JAMES Dorie Rosenband, Managing Partner, &WEALTH AND PARTNERS

Attend this highly sought-after, exclusive session where these advisors with varied and unique professional backgrounds will share the triumphs and hiccups that formed their approaches to advising and reveal their best practices in building their businesses.

The dos and don'ts of attracting affluent clients
Perfecting the art of the deal
Cultivating new associations in the pipeline process
Knowing how to seize unusual opportunities to benefit you and your clients
Other success strategies


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Working Effectively with Widows


March 13, 2012

Kathleen Rehl, PhD, CFP#®, Speaker, Author, Trusted Guide

Working with widows presents special challenges and opportunities. This session covers information to help strengthen relationships with your widowed clients and other women you may reach out to assist in the future. We'll focus on:
-Powerful business reasons to serve widows, a fast growing demographic-the numbers may shock you!
-Understanding the grief process-a confluence of psychological factors and emotional forces that impact a widow's thinking and decision-making
-Why widows are often unprepared to deal with the financial reality that sinks in after the death of their spouse
-What widows want and need from advisors
-Speaking the right words and listening to widows-communication do's and don'ts that build empathy
-Common money mistakes widows make
-The importance of starting early to build trust and meaningful connections
-Using a Honeycomb MarketingT approach to promote your work with widows
-Other resources


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The Multi-Million Dollar Woman


March 13, 2012

Moderator: Frances McMorris, Editor in Chief, ON WALL STREET Panelists: Christina Cleveland, CFPT, First Vice President & Wealth

Management Advisor, MERRILL LYNCH WEALTH MANAGEMENT
Pamela Ghezzi, Financial Planner, SEQUOIA FINANCIAL GROUP LLC
Julie Neitzel, President, Miami Family Office, GENSPRING FAMILY OFFICES
Geri Eisenman Pell, CFP®, MBA, Senior Financial Advisor, GERI PELL & ASSOCIATES, AMERIPRISE FINANCIAL

Advisors with varied and unique professional backgrounds will share the triumphs and hiccups that formed their approaches to advising and reveal their best practices in building their businesses.
-The dos and don'ts of attracting affluent clients
-Perfecting the art of the deal
-Cultivating new associations in the pipeline process
-Knowing how to seize unusual opportunities to benefit you and your clients
-Other success strategies


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Social Media & Compliance for the Advanced Beginner


March 13, 2012

Introduction: Lorie Konish, Senior Editor, ON WALL STREET
Co-Presenters: Katie Berg, Product Manager, Digital Assets, RAYMOND
JAMES FINANCIAL, INC.
Alexandra Basak Russell, Esq., Head of Compliance, HEARSAY SOCIAL

Many FAs have begun to dabble with social media as a client acquisition and retention tool, and the major brokerages are beginning to implement this technology in ways to allow their advisors to take advantage of its benefits. However, inherent in the use of social media among advisors are concerns about compliance with SEC and FINRA regulations. In this session we'll take a look at best practices in social media usage and discussion of the latest in FINRA compliance.


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Our Clients, Ourselves


March 13, 2012

Eleanor Blayney, CFP#®, President, DIRECTIONS LLC

What we know and experience as women professionals can make us great advisors to women, and help us garner a big share of one of the fastest growing segments of the wealth market. It's not a matter of "pinking it up" or "dumbing it down" to attract women clients. Rather, it requires us to talk about the things that concern and directly affect us: work-life balance; gender inequality; our own ways of making decisions and responding to advice. In this session, we'll talk about all the things we know for sure as women, and use this knowledge to change the conversation we are having with women clients, and build deeper, lasting relationships.


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Demystifying Decumulation


March 13, 2012

Moderator: Frances McMorris, Editor -in -Chief, ON WALL STREET
Panelists: Mari Adam, President, ADAM FINANCIAL ASSOCIATES
Ellen Siegel, CFP#®, President, ELLEN R. SIEGEL AND ASSOCIATES
Margaret C. Starner, CFP#®, Senior Vice President, Financial Planning, STARNER GROUP OF RAYMOND JAMES & ASSOCIATES
Sharon Williams, CRPC#®, Financial Planner, LINCOLN FINANCIAL ADVISORS

As investors slowly recover from the poor investment outcomes of 2008 and 2009, advisors are tasked with transforming their strategies and practices along with the advancing age of the baby boomers. "The shift from wealth accumulation to decumulation is where financial advisors and distribution firms must transform their practice-management skills," says Greg Cherry, senior analyst with Aite Group and author of a recent report on the topic of decumulation. This session will cover advanced practices in decumulation with strategies designed to prepare advisors for the changing needs of their clients.


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2012 Advisors Economic Outlook


March 13, 2012

Beata Caranci, Vice President & Deputy Chief Economist, TD BANK FINANCIAL GROUP

With the markets so consistently in flux, having the clearest view of the direction local, national, and global markets are taking is important to you as an anchor and source of trust for your clients, This session will brief you not only on the outlook for the U.S., but also North America and globally, and will help you identify where the best investments for your clients can be found.


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Finding Your Inner Entrepreneur


November 17, 2011

Wendy Hanson, M.Ed, CPCC, Executive Coach

Don't Play Small-Valerie Brown, Chief Executive Officer, CETERA FINANCIAL GROUP


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Advising Men, Advising Couples


November 17, 2011

Cynthia Harrington, CFA, CFE, Founder, CYNTHIA HARRINGTON & ASSOCIATES LLC


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Panel Discussion: Rainmaker Secrets-Techniques that Bring in Business


November 17, 2011

Moderator: Frances A. McMorris, Editor-in-Chief, ON WALL STREET Panelists: Shirley Quackenbush, CPWA, Senior Vice President, Wealth Management Advisor, MERRILL LYNCH
Shannon T. Ryan, CFP, RYAN & ASSOCIATES, A PLATINUM FINANCIAL SERVICES PRACTICE OF AMERIPRISE FINANCIAL
Debra Taylor, CPA/PFS, Esq., LPL Investment Advisory Representative and Wealth Manager, TAYLOR FINANCIAL GROUP, LLC
Joni Youngwirth, Managing Principal, Practice Management, COMMONWEALTH FINANCIAL NETWORK

Closing Keynote: A New Era of Women and Financial Planning-
Marissa Fox-Foley, Senior Vice President, Advisor Marketing, LPL FINANCIAL


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Compliance and Business Value on Social Media: How Financial Firms and Professionals Can Succeed in the Facebook Era


November 17, 2011

Alexandra Basak Russell, Head of Compliance, HEARSAY SOCIAL

Remember the Alimony
Moderator: Frances A. McMorris, Editor-in-Chief, ON WALL STREET
Cinda Jones, CFP, CDFA, Certified Divorce Financial Analyst, DIVORCE FINANCIAL SOLUTIONS
Vivian Groman CPA, Senior Finance Specialist, STARMONT ASSET MANAGEMENT, LLC
Panelists: Susan Campbell, CDFA, CFP, BUENA VISTA FINANCIAL RESOURCES


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Luncheon Keynote: Opportunities for Financial Advisors in Today's Challenging Environment


November 17, 2011

Jennifer Williams, Director, Newport Beach Complex, MERRILL LYNCH


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Advising Men, Advising Couple


October 12, 2011

Denise Federer, Ph.D., FEDERER PERFORMANCE MANAGEMENT GROUP


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Gender and the Investor Personality


October 12, 2011

Frank Murtha, Ph.D.-Clinical Psychologies, Co-Founder, Managing Partner, MARKETPSYCH LLC.


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Regulatory Panel: Dodd-Frank, Fiduciary Standards and More Affecting Your Practice


October 12, 2011

Moderator: Frances McMorris, Editor-in-Chief, ON WALL STREET
Panelists: Susan John, CFP® AIF®, Founder & President, FINANCIAL FOCUS INC. & NATIONAL CHAIR, THE NATIONAL ASSOCIATION OF PERSONAL FINANCIAL ADVISORS (NAPFA)
Jean Loewenberg, Executive Vice President & General Counsel, LOOMIS SAYLES & COMPANY
Marilyn Mohrman-Gillis, Managing Director, Public Policy & Communications, CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC.


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Luncheon Keynote: Global Market Outlook


October 12, 2011

Kate Moore, Global Equity Strategist, BANK OF AMERICA MERRILL LYNCH GLOBAL RESEARCH


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Remember the Alimony


October 12, 2011

Moderator: Frances McMorris, Editor-in-Chief, ON WALL STREET
Panelists: Darlys S. Harmon-Vaught, CDFA, CDFP, CFFA, CFE, CTS, Certified Divorce Financial Analyst, President, FINANCIAL SOLUTIONS FOR DIVORCE, LLC
Ivy Menchel, CFP®, CDFAT, President, FAMILY WEALTH PLANNING PARTNERS
Lili A. Vasileff, CFP, CFDA, CDS, President-International Association of Divorce Financial Planners, Registered Investment Advisor, DIVORCE & MONEY MATTERS, LLC


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Panel Discussion: Rainmaker Secrets-Techniques That Bring In Business


October 12, 2011

Moderator: Frances McMorris, Editor-in-Chief, ON WALL STREET
Panelists: Geri Eisenman Pell, CFP®, MBA, Private Wealth Advisor, Senior Financial Advisor, GERI PELL & ASSOCIATES , AMERIPRISE FINANCIAL
Kathleen Gaffney, Portfolio Manager, LOOMIS, SAYLES & COMPANY
Dorie Rosenband, RIA, Managing Partner, & WEALTH PARTNERS


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WOMEN ADVISORS FORUM: WELCOME


April 28, 2011

Fran McMorris, Editor-in-Chief, On Wall Street, Conference Chair


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ADVISING MEN, ADVISING COUPLES


April 28, 2011

Nicole Spinelli Director of the Network for Women Advisors, RAYMOND JAMES
Ginger Snyder CFP®, AEP, Senior Vice President, Investments, RAYMOND JAMES

Female advisors are much more likely than male advisors to report that they're less comfortable advising the opposite sex; those most successful at it report that they employ subtle differences in strategy when advising men, women and couples. This session will offer a new mindset when it comes to navigating the complex dynamics of advising men and couples.


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EAR TO THE GROUND AT THE CAPITOL


April 28, 2011

Tracey Flaherty Senior Vice President, Government Relations, NATIXIS GLOBAL ASSOCIATES

Tasked with keeping abreast of all the changes going on within the U.S. government, Tracey Flaherty, Natixis Global Associates' SVP of government relations, will assess the impact on her asset management company and the advisors it serves. Topics include municipal bonds, credit card regulation, Freddie Mac and Fannie Mae reform, and high frequency trading.


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A WOMAN'S APPROACH TO BUSINESS PLANNING


April 28, 2011

Joni Youngwirth Managing Principle, Practice Management, COMMONWEALTH FINANCIAL NETWORK

Does a woman's approach to business planning differ from a man's? Think of some stereotypes of women (many held by women themselves): taking risk, strategic thinking, multitasking, financial management prowess, managing staff, serving clients, and making rain, to name a few. What are the legitimate differences a female entrepreneur should consider when developing a simple but elegant business plan? What you learn about yourself may surprise you.


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GENDER AND THE INVESTOR PERSONALITY


April 28, 2011

Frank Murtha Ph.D., Clinical Pscychologies, MARKETPSYCH LLC
Author of: Market Psych: How to Manage Fear and Build Your Investor Identity

With the volatile market activity of the past several years, behavioral finance is of growing interest and relevance to advisors. Since 2001, the behavioral finance consulting firm MarketPsych.com has been collecting and analyzing data on Investor Personality. This presentation, by MarketPsych.com co-founder, Frank Murtha, Ph.D., will explore gender differences in investor personalities, the implications for advisors in terms of portfolio construction and relationship management, as well as practical recommendations on how advisors can work with challenging investor personality types.


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LUNCHEON KEYNOTE: IF A CAT HAS NINE LIVES, HOW MANY DOES AN ADVISOR HAVE?


April 28, 2011

According to the top mother/daughter Craane team of Merrill Lynch's Craane Group, an advisor will face at least three to four major crises over the span of his or her career. Hear advice on best ways to manage those inevitable turning points. One solution: Reinvent yourself every time.

  • Stay relevant by keeping up with changes in global economic fluctuations
  • Motivate yourself with optimism
  • Stay current by offering new services
  • Utilize social media to get the word out about the value your practice offers

Valery Craane CRPC, Managing Director, CRAANE GROUP GLOBAL WEALTH MANAGEMENT OF MERRILL LYNCH
Janine Lee Managing Director, CRAANE GROUP GLOBAL WEALTH MANAGEMENT OF MERRILL LYNCH


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KEYNOTE ADDRESS: DODD-FRANK AND YOU: HOW THE REGULATORY LANDSCAPE AFFECTS YOUR PRACTICE


April 28, 2011

Marilyn Mohrman-Gillis Managing Director, Public Policy and Communications, CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC.

Recent regulatory and legislative activity in Washington, D.C. could have significant implications for financial planners and advisors as the Dodd-Frank Wall Street Reform and Consumer Protection Act is implemented. It's important for financial advisors to understand how the law, its proposed regulations and the new political dynamics in the nation's capital will impact them, their practice and how they work with their clients. This session will help sift through the jargon and the headlines, covering such issues as:

  • The role of the SEC, FINRA and other regulators post Dodd-Frank
  • What's next for the SEC's study on fiduciary standard
  • Prospects for future regulatory recognition of the financial planning profession


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PANEL DISCUSSION: REMEMBER THE ALIMONY


April 28, 2011

Vivian Groman Senior Finance Specialist, STARMONT ASSET MANAGEMENT, LLC
Stacy Francis CFP, CDFA, President, FRANCIS FINANCIAL, INC. & Founder, SAVVYLADY.ORG
Darlys Harmon-Vaught Certified Divorce Financial Analyst, Owner, FINANCIAL SOLUTIONS FOR DIVORCE
Lili A. Vasileff CFP, CDS, CDFA, Registered Investment Advisor, DIVORCE AND MONEY MATTERS, LLC

Among college-educated couples, 90-percent of divorces are initiated by women, and how they fare financially in the proceedings can have a dramatic effect on the rest of their lives. This makes divorce the time when women have the greatest need for independent financial advice, and for the soft skills that a female advisor can bring to the relationship. This session will teach advisors about:

  • Divorce certification and where to get the training you need
  • Cultivating a specialty practice that offers financial analysis for divorcing clients
  • How a financial advisor's skills can be utilized during the divorce process


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TRUE GRIT: ADVISING AGAINST THE GRAIN


April 28, 2011

Kathleen Gaffney portfolio manager, LOOMIS SAYLES & CO.

Speaking from experience, Gaffney discusses:

  • Investing and advising clients during tumultuous times doesn't always feel good
  • How to maintain your confidence when you're the only one buying
  • Build long-term relationships with clients that withstand the down markets
  • Strategies for handling stress that advisors can relate to


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PANEL DISCUSSION: SOCIAL MEDIA STRATEGIES


April 28, 2011

Clara Shih CEO, HEARSAY (Author of: The Facebook Era: Tapping Online Social Networks to Build Better Products, Reach New Audiences, and Sell More Stuff)

Just 35-percent of advisors say they use social media tools for work, but those that do report higher revenue growth and increased client book of business compared to those that don't. This session will offer best practices in social media for advisors and discuss regulatory limitations and requirements as well as share advisor's best strategies for building a bigger book of business.


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CLOSING KEYNOTE PRESENTATION: WHY AREN'T WE THERE YET?


April 28, 2011

Aditi Mohapatra Senior Sustainability Analyst, Governance and Diversity, CALVERT INVESTMENTS

Companies within the S&P 100 have made significant strides related to workplace diversity policies, programs and performance. There's more women at higher executive levels than ever before but they still don't earn as much money as the top men within that same group. All of these companies claim to be committed to diversity, but the disparity in such things as earnings, remains clear. So how do we turn good "intent" into "reality?" A senior sustainability analyst weighs in on ways to make a difference through advocacy, corporate commitment and accountability.


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COCKTAIL NETWORKING RECEPTION & CLOSING KEYNOTE PRESENTATION: MENTORING: WHAT'S IN IT FOR TOP ADVISORS?


January 31, 2011

Clara Sierra EVP, Director of Strategic Alliances, SENTINEL INVESTMENTS

Ask any well-seasoned advisor about who they've mentored throughout their career and you'll find a plethora of success stories. Statistics show that professionals who've used a mentor, earn up to $20,000 more every year in salary. But what if you're the one giving the advice? What's in it for you and why should you care? Discover how mentoring can be mutually beneficial and can boost one's career.

  • Study reveals that women who have been involved with a mentoring relationship, have reported an increase of almost 94% in their professional productivity.
  • 77% of US companies report that mentoring programs were effective in increasing employee retention.
  • For women in particular, mentoring is one of the most effective ways of enhancing their advancement.  Almost no one makes it to the top without a mentor of some sort.

 


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PANEL DISCUSSION: RAINMAKER SECRETS: TECHNIQUES THAT BRING IN BUSINESS


January 31, 2011

Moderator: Frances McMorris Editor-in-Chief, ON WALL STREET

Panelist: Michelle R. Alberda CFP®, CLU® Senior Financial Advisor, AMERIPRISE FINANCIAL

Panelist: Nadia Allaudin, CIMA® Resident Director, SVP and Financial Advisor, MERRILL LYNCH

Panelist: Denise Villanueva Managing Director, AMERICAN FINANCIAL NETWORK

Panelist: Cheryl Young CFP®, ChFC® Financial Advisor, RJFS, RAYMOND JAMES FINANCIAL SERVICES, INC. & CEO OF YOUNG & ASSOCIATES

  • The Do's and Don'ts of attracting affluent clients
  • Bringing the Art of the Deal to Top-Notch Levels
  • Cultivating New Associations in the Pipeline Process
  • Building Your Star Performer Image
  • Success Strategies

 


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ADVISOR RECRUITING: WIREHOUSE AND INDEPENDENT SNAPSHOT OF RECENT CHANGES AND A LOOK AT YOUR OPTIONS


January 31, 2011

Jodi L. Perry Regional Director & Vice President, RAYMOND JAMES FINANCIAL SERVICES Julianne Wasserman Vice President & Senior Financial Advisor Recruiter, MICHAEL WASSERMAN & ASSOCIATES * Understanding the current financial industry work environment * Compensation and transition Packages being offered * Competitive intelligence on matching an advisor to a particular firm * Achieving "back end" bonus incentives that reward raised asset levels in the wirehouse world and how to assess the long term benefits of independence


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PANEL DISCUSSION: ADVISOR STRATEGIES FOR WOMEN IN PHILANTHROPY


January 31, 2011

Moderator: Frances McMorris Editor-in-Chief, ON WALL STREET

Panelist: Julia Gordon Relationship Manager, SCHWAB CHARITABLET

Panelist: Annie Hildreth Vice President, FIDELITY® CHARITABLE GIFT FUND

Panelist: Ellen Sloan Senior Philanthropic Advisor, Philanthropic Management, BANK OF AMERICA MERRILL LYNCH & BOARD MEMBER OF WOMEN'S FOUNDATION OF CALIFORNIA- LOS ANGELES

  • Advisory expertise needed to facilitate the intergenerational wealth transfer expected over next 40 years
  • Women now control more than half of the private wealth in the U.S. and donate more of their wealth than men do- learn how you can meet this growing need
  • Find out why organizations such as the Women Moving Millions Campaign are experiencing exponential growth

 


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KEYNOTE ADDRESS: WOMAN'S WORK: REDEFINING THE AMERICAN DREAM


January 31, 2011

Esther Stearns President & Chief Operating Officer, LPL FINANCIAL

Esther Stearns, president and COO of LPL Financial, will discuss the growing role of women in generating wealth, making financial decisions, and redefining the American Dream for their families, while exploring the increasing demand for financial advisors who understand and relate to these clients' changing needs. Drawing on her experience as a senior executive for a leading financial services firm, as well as her interactions with some of the most successful female financial advisors in the country,Ms. Stearns will share her insights into the potential for women to change the face of our industry and the way we work with clients.

 


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LUNCHEON KEYNOTE: LIFE HAPPENS: PRACTICE WHAT YOU PREACH ADVISORS


January 31, 2011

Kim Michel CEO, MICHEL FINANCIAL GROUP, A MEMBER OF THE MASSMUTUAL FINANCIAL GROUP

 


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INTERACTIVE WORKING SESSION: MASTER YOUR MONEY MINDSET


January 31, 2011

Kathleen Burns Kingsbury Wealth Psychology Expert, PRINCIPAL, KBK WEALTH CONNECTION

Talking openly and honestly about money, wealth and emotions is the key to good client communication and retention.   Before an advisor can teach these skills to her clients, she needs to learn to master her money mindset first. In this interactive and fun workshop, you will learn how to identify your attitudes about money and wealth, how to start letting go of unwanted money beliefs that secretly sabotage your success, and how to add wealth psychology techniques to your client toolbox.

  • Gain an understanding of wealth psychology and how it impacts your client relationships and income
  • Simple techniques for changing money beliefs that stand in the way of your career aspirations
  • Put the skills learned in this workshop into action at the office tomorrow

 


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