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Wednesday, September 29 Symposium Speakers - Click on the individual speaker tabs to access bios and presentations
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| 12:00-1:00 pm |
Registration, Sponsor Expo, Light Refreshments |
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| 1:00-1:10 pm |
Welcome & Opening Remarks |
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| 1:10-2:25 pm |
General Session |
Gail Chrisley, JD, Nationwide
Legislative & Tax Update
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CFP 1, INS 1, CPA 1 |
| 2:25-3:30 pm |
Track 1A |
Wiliam J. Breen, Ph.D., Horizon Investments
Funding Retirement-A Novel Approach
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CFP 1, CPA 1 |
| 2:25-3:30 pm |
Track 1B |
David R.P. Houston, JD, ING
Basic and Creative Uses of Insurance in Estate Planning
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CFP 1, INS 1, CPA 1 |
| 3:30-4:00 pm |
Break/Sponsor Expo |
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| 4:00-4:55 pm |
General Session |
Dr. Robert Froehlich, PLANCO/The Hartford
Market Update
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CFP 1.5, CPA 1 |
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www.nationwide.com
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Ms. Chrisley is Assoicate Vice President of Nationwide’s Advanced Sales Team and is responsible for advanced sales support for multiple channels, distributions and products across Nationwide Financial. She joined Nationwide in 1992 and has held various positions within Nationwide, including Director of Finance and Performance Management for Nationwide Retirement Solutions, and compliance positions supporting the independent broker dealer and financial institutions channels. Prior to joining Nationwide, she was employed by American Express Financial Services and by AT&T. She brings a strong regulatory and compliance background to the table, with over 30 years of experience in the financial services industry.
Ms. Chrisley received a Juris Doctorate of Law from Capital University Law School, completed the Program on Negotiation at Harvard Law School and recedived and a Bachelor of Science in Accounting from Radford University. She is member of the Ohio Supreme Court, a Certified Public Accountant, a Charted Life Underwriter and is licensed with the NASD.
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www.horizoninvestments.com
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William Breen is Emeritus Professor of Finance at the Kellogg Graduate School of Business at Northwestern University. He was Chairman and a founding director of Disciplined Investment Advisors, an Evanston, Illinois-based equity management firm that managed more than $2 billion in equities. He also founded and was CEO of Breen Financial Corporation, a firm providing investment content to the financial advisors community.
Professor Breen has published more than 40 articles and scholarly papers and co-authored three books on investment strategy, corporate finance, asset pricing, and econometric theory. He has consulted for major financial institutions, pension consulting firms and corporations, and has served as chairman of the Finance Department and head of Doctoral Studies at the Kellogg. He also was the program chairman for “Kellogg on Retirement”, a four day program at Kellogg on retirement issues for industry professionals and has lectured to numerous groups in the financial planning community. In addition, he served or serves as a director of the LaSalle Trust Company, Barton-Ashmann, X10ion Inc., and the Evanston Community Foundation.
Professor Breen received a Bachelors Degree in Economics and Mathematics from Ripon College. He did graduate work at the London School of Economics as a Rotary International Fellow, and received a Ph.D. in Econometrics from Cornell University. He was an Assistant Professor and Associate Professor of Economics at Purdue University, and Associate Professor and Professor of Finance at Kellogg.
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David joined ING in 2004 as an Advanced Marketing Attorney. He has over ten years experience in estate and business planning, life insurance sales, and non-qualified employee benefits. David started his career in private practice with a small Minneapolis law firm and has since worked as an advanced marketing attorney with several major life insurance companies and for a major vendor of bank-owned life insurance (BOLI).
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www.thehartfordfunds.com
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Dr. Bob Froehlich is Senior Managing Director for The Hartford Mutual Funds.
Froehlich serves as spokesperson on the markets, economy and investing to financial advisors and investors. In this role, he provides insight on the markets through investment commentary, public appearances, customer engagement and media visibility. He is also a member of Hartford Life’s investment oversight and strategy committee and an officer of The Hartford Mutual Funds.
Froehlich brings over 30 years of Wall Street and Main Street experience to his new role. He began his career in the public sector, as chief financial officer for a utility and as city manager for Beavercreek, one of the youngest city managers ever in the state of Ohio. Then he transitioned to the private sector, joining Ernst & Whinney as an economic, financial and investment consultant. From Ernst & Whinney, Froehlich joined Van Kampen Merritt as director of research and later became the firm’s first chief investment strategist. He then joined Kemper Funds which became Scudder Funds and is now part of DWS Investments, the investment arm of Deutsche Bank.
Froehlich has a bachelor’s degree in history and a master’s degree in public administration from the University of Dayton, a master’s degree in management from Central Michigan University and a doctorate in public policy from California Coast University.
About The Hartford
Celebrating nearly 200 years, The Hartford (NYSE: HIG) is an insurance-based financial services company that serves households, businesses and employees by helping to protect their assets and income from risks, and by managing wealth and retirement needs. A Fortune 500 company, The Hartford is recognized widely for its service expertise and as one of the world’s most ethical companies. More information on the company and its financial performance is available at www.thehartford.com.
You should carefully consider investment objectives, risks, charges and expenses of The Hartford Mutual Funds before investing. This and other information can be found in the Funds’ prospectus which can be obtained by calling 888-843-7824 or by visiting www.hartfordmutualfunds.com. Read it carefully before investing.
“The Hartford is The Hartford Financial Services Group, Inc. and its subsidiaries. The Hartford Mutual Funds are underwritten and distributed by Hartford Investment Financial Services, LLC and Hartford Securities Distribution Company, Inc.
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Thursday, September 30 Symposium Speakers - Click on the individual speaker tabs to access bios and presentations
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| 7:30-8:00 am |
Registration, Breakfast, Sponsor Expo |
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| 8:00-8:10 am |
Welcome & Opening Remarks |
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| 8:10-9:25 am |
General Session |
James J. Dunn, Wake Forest University Endowment
Asset Allocation in the New Normal
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CFP 1, CPA 1 |
| 9:30-10:30 am |
General Session |
Andrew D. Goldberg, JP Morgan Funds
Market Insights
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CFP1.5, CPA 1 |
| 10:30-10:55 am |
Sponsor Expo |
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| 10:55-11:50 am |
Track 2A |
Ron King, Capital Investments
Compliance Today - Social Media & Technology
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CFP1, CPA 1 |
| 10:55-11:50 am |
Track 2B |
Holly W. Stubbing, JD & C. Barton Landess, JD, Foundation for the Carolinas
Trends in Philanthropy-Donor Advised Funds and Other Strategies
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CFP 1, INS 1, CPA 1 |
| 11:50-12:50 pm |
Lunch/Expo |
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| 12:55-1:50 pm |
Track 3A |
Josef Schuster, Direxion
Tactical Asset Allocation Strategies
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CFP 1, CPA 1 |
| 2:55-1:50 pm |
Track 3B |
Dan Starishevsky, Jackson National
Rollover: The Right Remedy for Retirement
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CFP1, INS 1, CPA 1 |
| 2:00-2:50 pm |
Track 4A |
Michael Kitces, MSFS, MTAX, CFP, CLU, CHFC, RHU, REBC, CASL, Pinnacle Advisory Group
Safe Withdrawal Rates
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CFP 1, INS 1, CPA 1 |
| 2:00-2:50 pm |
Track 4B |
Michael Raymond, Prudential /Jennison-Dryden
Annuities and the Changing World of Living Benefits
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CFP 1, INS 1 , CPA 1 |
| 2:50-3:15 pm |
Sponsor Expo |
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| 3:15-4:10 pm |
Track 5A |
David Marcus, Evermore Global Advisors
Global Equity Opportunities-A 20 Year Outlook
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CFP1, CPA 1 |
| 3:15-4:10 pm |
Track 5B |
Bill Bell, JD, MBA, Pacific Life
Business Succession and Retirement Planning for Business Owners
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CFP 1, INS 1 , CPA 1 |
| 4:15-5:10 pm |
General Session |
Michael Kitces, MSFS, MTAX, CFP, CLU, CHFC, RHU, REBC, CASL, Pinnacle Advisory Group
To Roth or Not To Roth
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CFP 1, INS 1, CPA 1 |
| 5:10-5:20 pm |
Closing Remarks/Evaluations |
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www.wfu.edu
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James Dunn is vice president and chief investment officer at Wake Forest University, responsible for investment of the University's endowment, working capital and life income assets of over $1.2 billion. Jim was appointed chief investment officer at Wake Forest University in July 2009 and he works closely with the investment policy committee of the University's Board of Trustees in partnering with the most sophisticated investment management organizations throughout the world.
Previously, Jim was managing director, chief investment officer, for Wilshire Funds Management, the money management arm of Wilshire Associates. At Wilshire, Jim was responsible for asset allocation, portfolio construction and manager research. During Jim’s tenure, Wilshire Funds Management assets grew from $9 billion to $53 billion under management. Jim served as the chairman of the Wilshire Funds Management investment committee and served as portfolio manager for all of Wilshire’s alternative investment portfolios. Prior to Wilshire, Jim’s background was primarily in alternative investments and capital markets. He served as vice president for Altvest and Investor Force, managing director for One Maverick Funds and president of Philadelphia Brokerage.
Jim holds a BBA in Finance from Villanova University. He is married and the father of two boys.
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www.jpmorgan.com
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Andrew D. Goldberg, Vice President, is a Market Strategist on the J.P. Morgan Funds U.S. Market Strategy Team. In this role, Andrew is responsible for delivering timely market and economic insight to financial advisors across the country. He is consistently ranked as a top speaker at major industry conferences and events.
As a member of the strategy team from its inception, Andrew is one of the co-creators of the Market Insights program, J.P. Morgan’s industry leading value-add offering to the financial advisor marketplace. Andrew also leads the team’s research effort and oversees the production of the quarterly Guide to the Markets.
Andrew joined J.P. Morgan in 2002, and prior to joining the strategy team was an investment analyst on the Behavioral Finance Client Portfolio Management Team and a trade coordinator for the firm’s separately managed account business.
Andrew obtained a B.S. in Business Administration from Bryant University, and holds series 7 and 63 licenses.
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A graduate of The Southeastern Trust School of Campbell University, Ron brings extensive brokerage experience to the position of Chief Compliance Officer. Prior to joining Capital Investment Companies, Ron has served as Managing Partner of the King Garner Group of the Carolinas, LLC, as Regional Director for Berthel Fisher & Company Financial Services Inc., as Vice President and Branch Manager for Josephthal & Co., and as a Financial Consultant with Marion Bass Securities. Ron holds his general securities (Series 7), general securities and options sales supervision (Series 9 & 10), securities principal (Series 24), registered options principal (Series 4), municipal securities principal (Series 53), and investment advisor representative licenses (Series 66). He is also licensed to sell Life and Health, Medicare Supplement, and Long Term Care Insurance.
On the Regulatory front Ron has worked as a Securities Investigator with the NC Secretary of State Securities Division.
Ron served as President of the Raleigh Association of Insurance and Financial Advisors for 2003-2004 term and was designated as that organizations “Advisor of the Year” for 2006. He is a 2006 graduate of the National Association of Insurance and Financial Advisors’ Leadership in Life Institute.
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Holly Welch Stubbing is Senior Vice President of Client Services & Legislative Affairs at Foundation For The Carolinas in Charlotte, North Carolina. Her responsibilities include overseeing the Foundation’s client servicing and grantmaking activities which includes managing a 13-member client services team. She also supervises the Foundation’s efforts related to public policy, compliance and advocacy.
In that role, Holly currently serves on the Legislative and Public Policy Committee and the Legal & Regulatory Action Committee of the Council on Foundations as well as the Legislative Committee for the Southeastern Council on Foundations, and the Public Policy Committee of the North Carolina Network of Grantmakers. Holly also serves on the Board of Directors of The Philanthropic Collaborative which ensures policymakers fully understand the important role of foundation giving which generates substantial and widespread economic and social benefits for all Americans. Prior to joining the Foundation in 1998, Holly served as Planned Giving Officer for the East Tennessee Foundation.
She currently serves as chair of the Planned Giving Advisory Council at Queens University, Treasurer of the EcoAmerica Board of Directors, Advisory Board member of Global Impact Funds and also assists with a variety of local nonprofit initiatives in the Charlotte area.
Holly is a member of the North Carolina and Tennessee Bar Associations and Charlotte Women Executives. In 2005, she was recognized by the Charlotte Jaycees as one of the Top Ten Outstanding Young Charlotteans. In 2003, the Charlotte Busines Journal named Holly to its annual 40 under 40 ranking of young business executives. Holly holds a B.A. from Wake Forest University and a J.D. from the University of Dayton School of Law. She is married to Matthew Stubbing and has a daughter.
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Bart Landess is SVP-Development & Planned Giving at Foundation For The Carolinas, the community foundation for the Charlotte region. He came to FFTC in 2000. Bart regularly works with donors and nonprofits on tax and estate planning and lifetime gifts of non-cash assets. In addition to his work with donors, he also assists with management of the institution, including Board governance, investment of the approximately $700 million of assets FFTC holds for the community, grantmaking, community development and legal matters. In the last five years, FFTC has received $78 to $263 million per year in gifts and made $62 to $110 million per year in grants.
Before coming to FFTC, Bart worked for Davidson College for nine years as a fundraiser, General Counsel and the President’s Executive Assistant. Prior to that, he practiced law at Smith Helms Mulliss & Moore from 1986-1990 and was on the staff of US Senator Sam Nunn and an analyst at the US Department of Justice prior to attending law school at the University of Virginia. His undergraduate degree is from Davidson College.
Bart is a member of several professional organizations, including the North Carolina Network of Grantmakers, Association of Fundraising Professionals, Charlotte Estate Planning Council, North Carolina Planned Giving Council, North Carolina Bar Association Estate Planning Section and the ABA Section of Real Property, Probate and Trust. He also assists several community groups as a Board or Committee member, including Legal Services of the Southern Piedmont, Partners for Parks, Johnson C. Smith University, Charlotte Country Day School and the Charlotte School of Law.
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www.jacksonnational.com
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Dan Starishevsky serves as senior vice president of Marketing at Jackson National Life Distributors LLC. He oversees
Jackson® literature development and fulfillment systems, resulting in innovative marketing material for the Company’s
lineup of annuities and life insurance products. Dan has also been the primary driver of Jackson’s technology-driven
marketing platform.
With more than 20 years in the financial services industry, Dan spent his first several years at Hancock Financial before
becoming Vice President at Allmerica Financial. Prior to joining Jackson in 2004 as Vice President of Marketing Strategy,
he was a Senior Vice President at Putnam Investments for three years.
Dan holds a Business Certificate Degree from Harvard University and a BA in business administration from Hofstra
University. He also holds FINRA Series 6 and 63 registrations.
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www.kitces.com
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Michael E. Kitces, MSFS, MTAX, CFP®, CLU, ChFC, RHU, REBC, CASL, CWPP™, is the Director of Research for Pinnacle Advisory Group, a private wealth management firm located in Columbia, Maryland that oversees approximately $650 million of client assets. In addition, he is the publisher of the e-newsletter The Kitces Report and the blog Nerd’s Eye View through his website www.Kitces.com, dedicated to advancing knowledge in financial planning.
Beyond his website, Michael is an active writer and editor across the industry and has been featured in publications including Financial Planning, the Journal of Financial Planning, Journal of Retirement Planning, Practical Tax Strategies, and Leimberg Information Services, as well as The Wall Street Journal, BusinessWeek, CNBC PowerLunch, NBC Nightly News, and more. In addition, Michael has co-authored numerous books, including “The Annuity Advisor” with John Olsen, the first balanced and objective book on annuities written for attorneys, accountants, and financial planners, and “Tools & Techniques of Retirement Income Planning” with Steve Leimberg and others.
Michael was recognized as one of only 5 financial planning practitioner “Movers and Shakers” for 2006 by Financial Planning magazine, and was recognized as one of 20 “Rising Stars in Wealth Management” by Institutional Investor News for 2007. These awards were presented to honor Michael’s active work in the financial planning community, which currently includes serving as a member of the Editorial Review Board for the Journal of Financial Planning, chair of FPA National's Government Relations Tax Committee, national chair of the Financial Planning Section for the Society of Financial Services Professionals, and numerous other boards and committees for the Financial Planning Association and the Society of Financial Services Professionals at the local and National levels. Michael is also a co-founder of NexGen, a community of the next generation of financial planners that aims to ensure the transference of wisdom, tradition, and integrity, from the pioneers of financial planning to the next generation of the profession.
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www.prudential.com
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Michael Raymond is a Research Analyst for Prudential Annuities based in Shelton, CT. In this role within the company’s Product Department, Mike provides on-site support for the company’s sales force by presenting at various events and conferences on subjects related to the variable annuity industry. He also provides direct phone support to Wholesalers and Financial Professionals on a number of inquiries related to the competitive landscape of the Variable Annuity industry. As a research analyst for the company, he is also responsible for staying current with all of the changes going on across the VA industry with regard to: annuity products, living and death benefits, investment platform and risk management strategies.
Mike began his career with Prudential Securities in New York City in 1998 in the company’s Mutual Fund Operations Dept. In 2000, he took on the role of Recruiting Specialist with Prudential Investments in the company’s headquarters- based in Newark, NJ. In this role he helped recruit and transition Managed Account producers from various wire house firms into Prudential Securities. Four years later, he joined Prudential Annuities as an Internal Wholesaler working in the Independent Channel (IBD) sales division and made his move to Shelton, CT. Then in 2007, he began working as a Business Development Wholesaler where he was responsible for identifying new opportunities and proactively building new relationships with Financial Professionals within the two territories that he covered. In 2008, Mike then made the transition to Research Analyst in the Product Dept of Prudential Annuities.
Mike earned his Bachelor’s Degree in Business and Economics from Albertus Magnus College in New Haven, CT in 1998. He is currently series 6, 63 and State Insurance licensed.
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www.evermore.com
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Mr. Marcus has more than 20 years of experience in the investment management business. He began his career at Mutual Series Fund, mentored by renowned value investor Michael Price, and rose to manage the Mutual European Fund and co-manage the Mutual Shares and Mutual Discovery Funds. He also served as director of European investments for Franklin Mutual Advisers, LLC . After leaving Franklin, Mr. Marcus went on to found and manage two European investment-focused hedge funds, manage an all-cap global portfolio, and co-found a family office for a wealthy Swedish family, where he helped restructure a number of the public and private companies the family controlled.
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www.pacificlife.com
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Bill Bell is a Director in Advanced Designs with Pacific Life Insurance Company. Bill has been with the Advanced Designs Unit for over seven years. He has been recognized as a national platform speaker and has had articles published in numerous industry publications. |
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