December 13-14 in Chapel Hill, NC

You’ve spent the last six months digesting the DoL Fiduciary Standard, assessing alternative approaches to complying, and making some, but probably not all, of the decisions about the way forward.  Now it is time to consider whether you are heading in the right direction.

 

We discussed this with a dozen CEOs of bank brokerage firms Oct 13-14, and some of them decided they need a Mid Course Correction.

 

Come learn what approaches your peers are taking to:

  • Implementing the Best Interest Contract Exemption

  • Removing conflict of interest from advisor and manager compensation

  • Realigning their product menus

  • Determining reasonable fees

  • Understanding their clients’ “full financial condition”

  • Documenting the basis for advice

  • Reconsidering licensing client facing banking staff

 

The implications of getting this wrong are pretty serious.  So we’re convening another group of your peers so you can tap into their thinking, and ours.

 

Thinking about whether it is worth a couple days of your time when your to-do list is too long to fit on your phone’s screen?  Contact one of the participants of our last meeting to get their opinion:

 

Participants in the Kehrer Bielan Fall Leadership Forum on DoL Readiness

David Biliter Director of Sales Arvest Asset Management This email address is being protected from spambots. You need JavaScript enabled to view it. 479-770-1841 479-372-8623
James Campone Senior Vice President NBT Financial Services This email address is being protected from spambots. You need JavaScript enabled to view it. 518-441-8978  
Bob Carr President Central Bank [BMO] This email address is being protected from spambots. You need JavaScript enabled to view it. 314-746-8588 636-284-1279
Ben Denning National Sales Manager BB&T Investment Services This email address is being protected from spambots. You need JavaScript enabled to view it. 304-528-6123 304-528-6123
Tabb Evans Senior Managing Director BB&T Investment Services This email address is being protected from spambots. You need JavaScript enabled to view it. 704-954-1163 704-907-8016
Michael Harkins President & CEO People's Securities, Inc. This email address is being protected from spambots. You need JavaScript enabled to view it. 203-338-3938 203-414-4675
David Kuipers Assoicated Investment Services President Associated Investment Services This email address is being protected from spambots. You need JavaScript enabled to view it. 952-426-2913 952-426-2913
Michael Malone President and CEO Comerica Securities This email address is being protected from spambots. You need JavaScript enabled to view it. 214-462-6866 312-404-0301
Dan McCormack Senior Vice President U.S. Bancorp This email address is being protected from spambots. You need JavaScript enabled to view it. 414-773-3867 414-322-3758
Tom Mudlaff SVP, Supervision and Controls Capital One Investing This email address is being protected from spambots. You need JavaScript enabled to view it. 703-720-6730  
John  Olerio SVP, Director of Webster Investments Webster Bank This email address is being protected from spambots. You need JavaScript enabled to view it. 401-497-9374  
Donald Stahl Executive Vice President LPL Financial This email address is being protected from spambots. You need JavaScript enabled to view it. 704-733-3911 704-906-9530
Jane-Ellen Porter Investment and Insurance Program Manager People's Securities, Inc, This email address is being protected from spambots. You need JavaScript enabled to view it.   203-209-8533
Chris Radzom COO-SVP Commerce Brokerage Services This email address is being protected from spambots. You need JavaScript enabled to view it. 314-746-8781 314-492-0985
LeAnn Rummel EVP, National Sales Manager Cetera Financial Institutions This email address is being protected from spambots. You need JavaScript enabled to view it. 320-656-4361 320-492-0985
Allen Smith Executive VP Wealth Management First Bank This email address is being protected from spambots. You need JavaScript enabled to view it. 919-401-0114 919-215-2029
Marc  Vosen President/CEO Key Investment Services This email address is being protected from spambots. You need JavaScript enabled to view it. 216-813-6823 330-606-7552
David Zimmerman President and CEO First CItizens Wealth Management This email address is being protected from spambots. You need JavaScript enabled to view it. 919-716-8715 310-944-0989
 

 

We’ll help you not just to be DoL compliant, but position your firm for success in the new business environment.

 

 

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