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Highlights from An Industry in Transition Summit 2020

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Held two days after the 2020 presidential election, the 2020 Industry in Transition virtual conference was unprecedented in its scope, content, and impact. Our country is at a crossroads with a pandemic, social unrest, a divisive election, and market upheaval — and our business is right in the center of the storm.

We met at the confluence of politics, economics, and health, and put our trying times into context for our community. To that end, we heard from nationally renowned epidemiologists, political thinkers, economists, and industry leaders who overlaid their thoughts on the future of our business on top of the tumult surrounding us. We believe we met our expectations to gather information, propose solutions, and garner hope.

Keynote Speakers

  • A. 2020 Event Speaker Tony Sirianni, Publisher and CEO of AdvisorHub, 2020 Event Opening Remarks
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  • B. 2020 Event Speaker Nadja West, LTG, U.S. Army Surgeon General
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  • C. 2020 Event Speaker Adam Antoniades, CEO of Cetera
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  • D. 2020 Event Speaker Andy Blocker Invesco
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  • E. 2020 Event Speaker Paul Dietrich, Chief Investment Strategist at B. Riley Wealth Management
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  • F. 2020 Event Speakers Joe Duran and Anthony Rochte of Goldman Sachs
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  • G. 2020 Event Speaker Kristi Rodriguez Nationwide
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  • H. 2020 Event Speaker Ari Fleischer, Former White House Press Secretary
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  • I. 2020 Event Speaker Jerry Lombard, President, Private Client Group at Janney Montgomery Scott
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  • J. 2020 Event Speaker John Peluso, CEO of First Clearing
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  • K. 2020 Event Speaker Ron Kruszewski, Chairman and CEO of Stifel
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  • L. Industry in Transition Post Event Interview With Kristi Rodriguez Nationwide
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Keynote Speaker Bios

Tony Sirianni, Publisher & CEO of AdvisorHub – Welcome and opening remarks

Shirl Penney – President & CEO, Dynasty Financial Partners – Nadja West Introduction

Nadja West – LTG, U.S. Army Surgeon General and former Commanding General of the U.S. Army Medical Command

Adam Antoniades – CEO of Cetera

Andy Blocker – Head of US Government Affairs, Invesco

Paul Dietrich – Chief Investment Strategist, B. Riley Wealth Management

Anthony Rochte – Managing Director, Head of Goldman Sachs Private Bank Select

Joe Duran – Managing Director Goldman Sachs, Head of Personal Financial Management

Kristi Rodriguez – Vice President, Thought Leadership at Nationwide Financial

Ari Fleischer – Former WH Press Secretary & President of Fleischer Communications

Jerome F. Lombard – President, Private Client Group, Janney Montgomery Scott

John Peluso – President of First Clearing

Ron Kruszewski – Chairman of the Board of Directors and CEO of Stifel Financial Corp.

Panel Discussions

  • A. 2020 Event Panel Transition and Breakaway
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  • B. 2020 Event Panel Where Do We Go From Here
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  • C. 2020 Event Diversity and Inclusion Panel
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Panelist Bios

Transition & Breakaway

Moderator: Greg Banasz – Managing Director, Founding Partner and Head of Business Development for Steward Partners Global Advisory

Jeff Smith – SVP, Director of Recruiting & Business Development of Janney

Craig Pirtle – Chief Strategy Officer of B. Riley Wealth Management

Jim Gold – CEO and Founding Partner, Steward Partners Global Advisory

Kip Caffey – CEO at Resurgent Financial Advisors LLC

Andrew Daniels – Managing Principal, Business Development at Commonwealth

The Future of the FA Industry

Moderator: Brian Hamburger – President and CEO of MarketCounsel and Managing Member of the Hamburger Law Firm

Chris Mone – EVP, Head of Wealth Management at Wedbush Securities

Marty Bicknell – CEO and President of Mariner Wealth Advisors

David Canter – Executive Vice President, Head of RIA and Family Office Segments, Fidelity Investments

Bill Coppell – Managing Director, Chief Client Growth Officer, First Clearing

Diversity & Inclusion

Moderator: Moira Markus – Independent Board Director, Global Financial Services, Stifel

Jess McQueen – Partner at PHM Capital Management, FA, Wedbush Securities

Tonia Bottoms – Managing Director and Senior Managing Counsel for BNYM | Pershing

Sheryl Hickerson – CEO at Females and Finance

Hubtalks

  • A. 2020 Event Hubtalk with John Harris - The Advisor’s Playbook for Leading Your Clients Forward
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  • B. 2020 Event Hubtalk with Frank LaRosa - The Covid Wave to Independence
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  • C. 2020 Event Hubtalk with Chris Mone, Wedbush Securities - The Emperor Has No Clothes
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  • D. 2020 Event Hubtalk w/ Mindy Diamond - The Momentum of Movement: Where Advisors Are Going And Why
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  • E. 2020 Event Hubtalk with Rusty Vanneman - The Election and its Impact on Investing
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Hubtalk Participant Bios

John Harris – Managing Director, Envestnet The Advisor’s Playbook for Leading Your Clients Forward

Frank LaRosa – Founder & Chief Executive Officer of Elite Consulting Partners The Covid Wave to Independence

Christopher Mone – EVP, Head of Wealth Management, Wedbush Securities The Emperor Has No Clothes

Mindy Diamond – Founder, President and CEO at Diamond Consultants The Momentum of Movement: Where Advisors Are Going…And Why

Rusty Vanneman – Chief Investment Officer, Orion Advisor Technology The Election and its Impact on Investing

Tony Sirianni Podcast Banner

CORONACRASH NEWS

  • Stifel Bumps CEO Pay 15% to $11.5 Million

    Stifel Bumps CEO Pay 15% to $11.5 Million

    Apr 20, 2021
  • Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Mar 19, 2021
  • Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Mar 18, 2021
  • Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Mar 12, 2021
  • Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Feb 26, 2021

NEWS

  • Wirehouses: Just Say No to Disclosing Broker Headcounts

    Wirehouses: Just Say No to Disclosing Broker Headcounts

    Apr 21, 2021
  • 47-Year Industry Veteran Targets Wells with Age-Bias Claim

    47-Year Industry Veteran Targets Wells with Age-Bias Claim

    Apr 21, 2021
  • Stifel Bumps CEO Pay 15% to $11.5 Million

    Stifel Bumps CEO Pay 15% to $11.5 Million

    Apr 20, 2021
  • BofA Open to “Rethink” of Crypto Investing Ban: CEO

    BofA Open to “Rethink” of Crypto Investing Ban: CEO

    Apr 20, 2021
  • UBS Lands $14-Mln Team from Wells Private Bank in Miami

    UBS Lands $14-Mln Team from Wells Private Bank in Miami

    Apr 20, 2021

Recruiting Winners: 2020 Year in Review

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Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
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