SCHEDULE PLANNING GUIDE - Financial Services Institute

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ED SESSIONS Mary Sieck, president of the Financial Service Group for Management Advisors International, an executive search firm, is based out of Charlotte, NC. She has completed several retained searches for senior level executives in the securities, broker-dealer, investment advisor, insurance, and mutual fund industries nationwide. In addition to retained executive searches, she had partnered with client companies, also on a contingency basis, helping to build sales supervision and compliance audit teams, financial analysts, and modelers, throughout the United States. Mary’s division places all levels of candidates in these industries and provides consultants and contractors for projects or merger/acquisition initiatives to allow clients to have the best temporary talent available in the industry. Session Outline—Recruiting Best Practices I. Industry Highlights—Financial Reform & its Impact on Recruiting II. Positioning for Growth—How to Differentiate in a Commoditized Marketplace III. Strategies to Attract Your Target Profile—Marketing & Recruiting IV. On-boarding Best Practices—Transition & Retention V. Open Forum for Group Discussion & Questions State of the Annuity Business Tuesday, January 26, 1:00pm–2:15pm (75 minutes) This session has been approved for 1.0 hour of continuing education for CFP ® , CLU ® , and ChFC®. Given the market declines of the last two years, what was the impact on variable annuities and their riders What does the future hold, and how should advisors be marketing these products And, looking ahead to 2011 when equity indexed annuities may be treated as securities, what do firms need to be concerned about when looking at their product lists Cathy Weatherford, president and CEO of the Insured Retirement Institute (formerly NAVA), will present and examine the changing regulatory climate for annuities. Speaker: Cathy Weatherford, President & CEO, Insured Retirement Institute 34 2010 FSI Broker- Dealer Conference
ED SESSIONS Catherine (Cathy) Weatherford is the president and CEO of IRI, the organization that supports the importance of retirement planning, including the growth, acceptance, and understanding of annuity and variable life products. Prior to joining IRI, Cathy served for 12 years as the EVP and CEO for the National Association of Insurance Commissioners. Cathy was also the first woman to serve as Oklahoma’s insurance commissioner, a position she held from 1991–1995 after serving as a senior policy advisor to Oklahoma Governor David Walters. She began her career serving in several capacities in her 13-year tenure at the Oklahoma Insurance Department. Yes, You Do Need To Know About Social Media! Or, What’s All This Tweeting Going On (Joint Session with Compliance) Tuesday, January 26, 2:30pm–3:45pm (75 minutes) Facebook, Twitter, LinkedIn, Tumblr—social media has exploded in the last couple of years, encouraging both firms and their customers to communicate, network, and share information. Who’s using it (Some of you are—and so are some of your advisors.) How do you participate in it—and how do you “control” it What are the regulatory views on social media What are the risks If you can’t beat them, join them. Just know how to do it the right way. Speakers: Karalyn Carlton, Vice President, Marketing, Pacific West Securities, Inc. Tom Pappas, Vice President and Director of Advertising Regulation, FINRA Jeff Williams, Vice President & CCO, Northwestern Mutual Investment Services Karalyn Carlton’s focus as vice president of marketing for Pacific West Financial Group is to create programs that add value to the firm’s financial professionals’ practices, manage the firm’s marketing efforts, improve communication, and expand business through field development. Prior to joining Pacific West in 2002, Karalyn worked in business development for a branding agency, concentrating in sales and assisting clients with their marketing initiatives. She also has served as marketing manager for a national craft beverage company and as project manager for a business interiors firm. Karalyn holds the 7 and 66 licenses and obtained the Accredited Asset Management Specialist (AAMS) designation. She is a member of the American Marketing Association and serves on FSI’s Marketing Council. 2010 FSI Broker- Dealer Conference 35
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