Tara
Ambrose
Minnesota Commerce Department
Senior Financial Fraud Ombudsperson
Scams Targeting Vulnerable Clients
Ambrose
Minnesota Commerce Department
Senior Financial Fraud Ombudsperson
Scams Targeting Vulnerable Clients
Marcus
Arneaud
Kovack Financial Network
Chief Risk Officer
Third-Party Risk in Focus: Lessons, Pitfalls and Best Practices
Arneaud
Kovack Financial Network
Chief Risk Officer
Third-Party Risk in Focus: Lessons, Pitfalls and Best Practices
Brett
Baker
Osaic
Head of Field Supervision
Navigating Remote Supervision: Lessons Learned from FINRA’s Remote Inspection Pilot Program
Baker
Osaic
Head of Field Supervision
Navigating Remote Supervision: Lessons Learned from FINRA’s Remote Inspection Pilot Program
Sarah
Bauer
Envestnet
Head, Institutional Asset Management Distribution
A Firm Perspective: Rep-as-PM vs. Third-Party Managers
Bauer
Envestnet
Head, Institutional Asset Management Distribution
A Firm Perspective: Rep-as-PM vs. Third-Party Managers
Colleen
Bell
Cambridge
President, Innovation and Experience
General Session: Leadership in an AI-Driven World: Insights from FSI’s AI Task Force
Bell
Cambridge
President, Innovation and Experience
General Session: Leadership in an AI-Driven World: Insights from FSI’s AI Task Force
David
Bellaire
Financial Services Institute
Executive Vice President & General Counsel
Regulatory and Legislative Realities: What Every Wealth Management Leader Needs to Know Now
Bellaire
Financial Services Institute
Executive Vice President & General Counsel
Regulatory and Legislative Realities: What Every Wealth Management Leader Needs to Know Now
Benjamin
Biard
Winget Spadafora & Schwartzberg, LLP
Managing Partner
Litigation Trends in the Ongoing Bull Market
Biard
Winget Spadafora & Schwartzberg, LLP
Managing Partner
Litigation Trends in the Ongoing Bull Market
Shawn
Bostic
Kestra Financial
Director, Regulatory Compliance
Regulatory and Legislative Realities: What Every Wealth Management Leader Needs to Know Now
Bostic
Kestra Financial
Director, Regulatory Compliance
Regulatory and Legislative Realities: What Every Wealth Management Leader Needs to Know Now
Dale
Brown
Financial Services Institute
CEO
General Session: Leadership in an AI-Driven World: Insights from FSI’s AI Task Force
General Session: The Leadership Imperative: Clarity, Culture and Resilience
Brown
Financial Services Institute
CEO
General Session: Leadership in an AI-Driven World: Insights from FSI’s AI Task Force
General Session: The Leadership Imperative: Clarity, Culture and Resilience
Dana
Burkhardt
AssetMark
Vice President, Head of Business Consulting
Guiding the Financial Advisor Journey: Succession Planning from Growth to Transition
Burkhardt
AssetMark
Vice President, Head of Business Consulting
Guiding the Financial Advisor Journey: Succession Planning from Growth to Transition
Daniel
Burkott
Cetera Financial Group
CCO - Tax Channel
Shifting from Mutual Funds to ETFs in a Tech-Driven Era
Burkott
Cetera Financial Group
CCO - Tax Channel
Shifting from Mutual Funds to ETFs in a Tech-Driven Era
Christine
Byrne
Back Cove Financial
Partner, Wealth Advisor
Opening General Session: Momentum: The Energy to Step into the Future
Guiding the Financial Advisor Journey: Succession Planning from Growth to Transition
Byrne
Back Cove Financial
Partner, Wealth Advisor
Opening General Session: Momentum: The Energy to Step into the Future
Guiding the Financial Advisor Journey: Succession Planning from Growth to Transition
Mike
Byrnes
Byrnes Consulting
Owner
Beyond the Buzz: Real AI Strategies for Growth, Scale and Client Value
Byrnes
Byrnes Consulting
Owner
Beyond the Buzz: Real AI Strategies for Growth, Scale and Client Value
Brian
Carter
Technology Executive | Driving Innovation at the Intersection of IT & Business
Welcome to Our Firm: The Future of Account Onboarding
Carter
Technology Executive | Driving Innovation at the Intersection of IT & Business
Welcome to Our Firm: The Future of Account Onboarding
Alexander
Chan
Cetera Financial Group
Director, Advisory Compliance
A Firm Perspective: Rep-as-PM vs. Third-Party Managers
Chan
Cetera Financial Group
Director, Advisory Compliance
A Firm Perspective: Rep-as-PM vs. Third-Party Managers
Kim
Chapman
Berthel Fisher & Co.
CCO
RILAs on the Radar: What Leaders Need to Know About Supervision (closed to media)
Chapman
Berthel Fisher & Co.
CCO
RILAs on the Radar: What Leaders Need to Know About Supervision (closed to media)
Robert
Coppola
Sanctuary Wealth
CTO
General Session: Leadership in an AI-Driven World: Insights from FSI’s AI Task Force
Coppola
Sanctuary Wealth
CTO
General Session: Leadership in an AI-Driven World: Insights from FSI’s AI Task Force
Kosha
Dalal
FINRA
Vice President and Associate General Counsel
Navigating Remote Supervision: Lessons Learned from FINRA’s Remote Inspection Pilot Program
Dalal
FINRA
Vice President and Associate General Counsel
Navigating Remote Supervision: Lessons Learned from FINRA’s Remote Inspection Pilot Program
Scott
Davis
Cap Group I American Funds
Head of ETFs
Shifting from Mutual Funds to ETFs in a Tech-Driven Era
Davis
Cap Group I American Funds
Head of ETFs
Shifting from Mutual Funds to ETFs in a Tech-Driven Era
Dr. Tyler
De Haan
Sammons Institutional Group i
Director - Advanced Sales
Bridging the Generational Divide: Effective Communication Among Clients, Advisors and Teams
De Haan
Sammons Institutional Group i
Director - Advanced Sales
Bridging the Generational Divide: Effective Communication Among Clients, Advisors and Teams
Mathew
Dellorso
SEI Investments
Managing Director, SEI Access
Beyond the Hype: Understanding Modern Investments
Dellorso
SEI Investments
Managing Director, SEI Access
Beyond the Hype: Understanding Modern Investments
Bill
Dwyer
Praxis Solutions
Executive Chairman
Future-Ready Firms: Leading with Tech, Agility, and Client Focus
Dwyer
Praxis Solutions
Executive Chairman
Future-Ready Firms: Leading with Tech, Agility, and Client Focus
Brady
Finta
National Elder Fraud Coordination Center LLC
Founder and CEO
Scams Targeting Vulnerable Clients
Finta
National Elder Fraud Coordination Center LLC
Founder and CEO
Scams Targeting Vulnerable Clients
Ken
Fischer
Realta Wealth
Chief Technology Officer
Cybersecurity in Practice: Real-World Strategies from the Front Lines
Fischer
Realta Wealth
Chief Technology Officer
Cybersecurity in Practice: Real-World Strategies from the Front Lines
Erinn
Ford
Osaic
EVP, Advisor Engagement
Ford
Osaic
EVP, Advisor Engagement
Brooks
Friederich
Envestnet
Principal Director, Investment Solutions Strategy
Beyond the Hype: Understanding Modern Investments
Friederich
Envestnet
Principal Director, Investment Solutions Strategy
Beyond the Hype: Understanding Modern Investments
Betsey
Grover
Fidelity Investments
Head of Wealthscape Platform & Product Technology
Welcome to Our Firm: The Future of Account Onboarding
Grover
Fidelity Investments
Head of Wealthscape Platform & Product Technology
Welcome to Our Firm: The Future of Account Onboarding
Robert
Guldner
Steward Partners
Chief Compliance Officer
Data Integrity in Action: Building Governance, Security and Trust
Guldner
Steward Partners
Chief Compliance Officer
Data Integrity in Action: Building Governance, Security and Trust
Suneel
Gupta
Bestselling Author | Harvard Med School Visiting Scholar
Opening General Session: Momentum: The Energy to Step into the Future
Gupta
Bestselling Author | Harvard Med School Visiting Scholar
Opening General Session: Momentum: The Energy to Step into the Future
Jonathan
Habbershon
Fidelity Investments
Vice President, Senior Business Consultant
Bridging the Generational Divide: Effective Communication Among Clients, Advisors and Teams
Habbershon
Fidelity Investments
Vice President, Senior Business Consultant
Bridging the Generational Divide: Effective Communication Among Clients, Advisors and Teams
Andrew
Hartnett
FSI
Vice President of Regulatory Affairs & Deputy General Counsel
Step into the Future of Digital Asset Regulation
Hartnett
FSI
Vice President of Regulatory Affairs & Deputy General Counsel
Step into the Future of Digital Asset Regulation
Scott
Hicks
Crowe LLP
IT Assurance Partner
Data Integrity in Action: Building Governance, Security and Trust
Hicks
Crowe LLP
IT Assurance Partner
Data Integrity in Action: Building Governance, Security and Trust
Jeffrey
Hoenle
Advanced Planning Educational Group, Inc.
Chief Executive Officer
Strengthening Advisor Success: Practical Support Strategies for Today’s Firms
Hoenle
Advanced Planning Educational Group, Inc.
Chief Executive Officer
Strengthening Advisor Success: Practical Support Strategies for Today’s Firms
Cynthia
Jeffries
Commonwealth Financial Network
VP, Compliance
Charting the Future: Responsible AI Innovation in Financial Services
Jeffries
Commonwealth Financial Network
VP, Compliance
Charting the Future: Responsible AI Innovation in Financial Services
Jeremi
Karnell
Envestnet
Head of Data Solutions
Leadership Makes the Difference: Using AI to Complement Your Firm’s Strengths
Karnell
Envestnet
Head of Data Solutions
Leadership Makes the Difference: Using AI to Complement Your Firm’s Strengths
Michael
Kim
AssetMark
President & CEO
General Session: The Leadership Imperative: Clarity, Culture and Resilience
Kim
AssetMark
President & CEO
General Session: The Leadership Imperative: Clarity, Culture and Resilience
Clifford
Kirsch
Eversheds Sutherland
Partner
Charting the Future: Responsible AI Innovation in Financial Services
Kirsch
Eversheds Sutherland
Partner
Charting the Future: Responsible AI Innovation in Financial Services
Sarah
Kreisman
Independent Financial Group, LLC
SVP & General Counsel
Litigation Trends in the Ongoing Bull Market
Kreisman
Independent Financial Group, LLC
SVP & General Counsel
Litigation Trends in the Ongoing Bull Market
Joe
Kuo
Haven Tower Group / Ascentix Partners
CEO and Founder
Bridging the Generational Divide: Effective Communication Among Clients, Advisors and Teams
Kuo
Haven Tower Group / Ascentix Partners
CEO and Founder
Bridging the Generational Divide: Effective Communication Among Clients, Advisors and Teams
Cody
Lawler
Principal Securities, Inc.
Chief Supervision Officer & Head of Operations
Navigating Remote Supervision: Lessons Learned from FINRA’s Remote Inspection Pilot Program
Lawler
Principal Securities, Inc.
Chief Supervision Officer & Head of Operations
Navigating Remote Supervision: Lessons Learned from FINRA’s Remote Inspection Pilot Program
Judy
Lee
Fidelity Investments
Team Lead, Platform & Operations Consulting
Today’s AI Playbook for Wealth Management
Lee
Fidelity Investments
Team Lead, Platform & Operations Consulting
Today’s AI Playbook for Wealth Management
Colin
Masters
Fidelity Investments
Director, Public Policy
Regulatory and Legislative Realities: What Every Wealth Management Leader Needs to Know Now
Masters
Fidelity Investments
Director, Public Policy
Regulatory and Legislative Realities: What Every Wealth Management Leader Needs to Know Now
Michael
Matkovic
SEI Investments
Managing Director, National Accounts
A Firm Perspective: Rep-as-PM vs. Third-Party Managers
Matkovic
SEI Investments
Managing Director, National Accounts
A Firm Perspective: Rep-as-PM vs. Third-Party Managers
Tom
McCartney
My Advisor & Planner / RJFS
Founding Principal
Step into the Future of Digital Asset Regulation
McCartney
My Advisor & Planner / RJFS
Founding Principal
Step into the Future of Digital Asset Regulation
Frank
McDonnell
Steward Partners
Chief Product Officer
Shifting from Mutual Funds to ETFs in a Tech-Driven Era
McDonnell
Steward Partners
Chief Product Officer
Shifting from Mutual Funds to ETFs in a Tech-Driven Era
Laura
McElroy
Fidelity Investments
Vice President, Senior Business Consultant
Guiding the Financial Advisor Journey: Succession Planning from Growth to Transition
McElroy
Fidelity Investments
Vice President, Senior Business Consultant
Guiding the Financial Advisor Journey: Succession Planning from Growth to Transition
Robert
Milmore
First Command
District Advisor
Leadership Makes the Difference: Using AI to Complement Your Firm’s Strengths
Milmore
First Command
District Advisor
Leadership Makes the Difference: Using AI to Complement Your Firm’s Strengths
Valerie
Mirko
Armstrong Teasdale
Partner & Leader, Securities Regulation and Litigation Practice
Guardrails & Growth: AI’s Role in Risk, Compliance and Trust
Mirko
Armstrong Teasdale
Partner & Leader, Securities Regulation and Litigation Practice
Guardrails & Growth: AI’s Role in Risk, Compliance and Trust
Andrea
Mullen
AssetMark
SVP, Co-Head of Product
Future-Ready Firms: Leading with Tech, Agility, and Client Focus
Mullen
AssetMark
SVP, Co-Head of Product
Future-Ready Firms: Leading with Tech, Agility, and Client Focus
Mark
Norcini
SEI Investments
Sales Director, SEI Sphere
Cybersecurity in Practice: Real-World Strategies from the Front Lines
Norcini
SEI Investments
Sales Director, SEI Sphere
Cybersecurity in Practice: Real-World Strategies from the Front Lines
Brendan
O'neill
BNY Advisors, Inc.
Director, Senior Intermediary Solutions Strategist
A Firm Perspective: Rep-as-PM vs. Third-Party Managers
O'neill
BNY Advisors, Inc.
Director, Senior Intermediary Solutions Strategist
A Firm Perspective: Rep-as-PM vs. Third-Party Managers
Daniel
Ortega
B. Riley Wealth
Chief Compliance Officer
From Design to Distribution: Understanding Product Complexity Across the Sales Life Cycle (closed to media)
Ortega
B. Riley Wealth
Chief Compliance Officer
From Design to Distribution: Understanding Product Complexity Across the Sales Life Cycle (closed to media)
Namita
Patel
Osaic
SVP, Advisor Experience Center of Excellence
Welcome to Our Firm: The Future of Account Onboarding
Patel
Osaic
SVP, Advisor Experience Center of Excellence
Welcome to Our Firm: The Future of Account Onboarding
Ronak
Patel
Bressler, Amery & Ross
Principal
RILAs on the Radar: What Leaders Need to Know About Supervision (closed to media)
Patel
Bressler, Amery & Ross
Principal
RILAs on the Radar: What Leaders Need to Know About Supervision (closed to media)
Clint
Pogemiller
MWA Financial Services, Inc.
President
Driving Advisor Productivity and Strategic Growth
Pogemiller
MWA Financial Services, Inc.
President
Driving Advisor Productivity and Strategic Growth
Mark
Quinn
Cetera Financial Group
Director of Regulatory Affairs
Charting the Future: Responsible AI Innovation in Financial Services
Quinn
Cetera Financial Group
Director of Regulatory Affairs
Charting the Future: Responsible AI Innovation in Financial Services
Ruth
Raftery
Advanced Planning Educational Group, Inc.
President
Strengthening Advisor Success: Practical Support Strategies for Today’s Firms
Raftery
Advanced Planning Educational Group, Inc.
President
Strengthening Advisor Success: Practical Support Strategies for Today’s Firms
Abid
Rahman
Cetera Financial Group
Director, Tech Risk & BCP
Cybersecurity in Practice: Real-World Strategies from the Front Lines
Rahman
Cetera Financial Group
Director, Tech Risk & BCP
Cybersecurity in Practice: Real-World Strategies from the Front Lines
Shannon
Reid
Osaic
President and Head of Advisor Growth and Engagement
Driving Advisor Productivity and Strategic Growth
Reid
Osaic
President and Head of Advisor Growth and Engagement
Driving Advisor Productivity and Strategic Growth
Alicia
Rich
Broadridge
Head of Client and Advisor Digital Engagement
Today’s AI Playbook for Wealth Management
Rich
Broadridge
Head of Client and Advisor Digital Engagement
Today’s AI Playbook for Wealth Management
Ann
Robinson
Farmers Financial Solutions, LLC
Chief Compliance Officer
RILAs on the Radar: What Leaders Need to Know About Supervision (closed to media)
Robinson
Farmers Financial Solutions, LLC
Chief Compliance Officer
RILAs on the Radar: What Leaders Need to Know About Supervision (closed to media)
Ross
Rotatori
Allianz Life
Vice President - Head of ETF Strategic Relationships
Shifting from Mutual Funds to ETFs in a Tech-Driven Era
Rotatori
Allianz Life
Vice President - Head of ETF Strategic Relationships
Shifting from Mutual Funds to ETFs in a Tech-Driven Era
Tim
Ryder
First Command Financial Services, Inc
SVP, Wealth Solutions.
From Design to Distribution: Understanding Product Complexity Across the Sales Life Cycle (closed to media)
Ryder
First Command Financial Services, Inc
SVP, Wealth Solutions.
From Design to Distribution: Understanding Product Complexity Across the Sales Life Cycle (closed to media)
Ramprasad (RP)
Sandilya
Broadridge
SVP, Chief Growth Officer
Future-Ready Firms: Leading with Tech, Agility, and Client Focus
Sandilya
Broadridge
SVP, Chief Growth Officer
Future-Ready Firms: Leading with Tech, Agility, and Client Focus
Michael
Scaplen
Axos Clearing and Axos Advisor Services
SVP Business Development
Guiding the Financial Advisor Journey: Succession Planning from Growth to Transition
Scaplen
Axos Clearing and Axos Advisor Services
SVP Business Development
Guiding the Financial Advisor Journey: Succession Planning from Growth to Transition
Shawn
Scholz
AE Wealth Management
Executive Head of Compliance & Chief Compliance Officer
Scholz
AE Wealth Management
Executive Head of Compliance & Chief Compliance Officer
Michael
Schwartzberg
Winget Spadafora & Schwartzberg, LLP
Managing Partner
Beyond the Hype: Understanding Modern Investments
Schwartzberg
Winget Spadafora & Schwartzberg, LLP
Managing Partner
Beyond the Hype: Understanding Modern Investments
Andrea
Shafer
Cambridge
Chief Supervision Officer
Navigating Remote Supervision: Lessons Learned from FINRA’s Remote Inspection Pilot Program
Shafer
Cambridge
Chief Supervision Officer
Navigating Remote Supervision: Lessons Learned from FINRA’s Remote Inspection Pilot Program
Kristy
Smith
Broadridge
GM Wealth Digital Marketing
Bridging the Generational Divide: Effective Communication Among Clients, Advisors and Teams
Smith
Broadridge
GM Wealth Digital Marketing
Bridging the Generational Divide: Effective Communication Among Clients, Advisors and Teams
Frank
Smith
First Command Financial
SVP, Chief Information Security Officer
Data Integrity in Action: Building Governance, Security and Trust
Smith
First Command Financial
SVP, Chief Information Security Officer
Data Integrity in Action: Building Governance, Security and Trust
Tori
Snow
PFS Investments
AVP, Compliance Officer
Data Integrity in Action: Building Governance, Security and Trust
Snow
PFS Investments
AVP, Compliance Officer
Data Integrity in Action: Building Governance, Security and Trust
Mark
Steffe
First Command Financial Services, Inc.
President and CEO
General Session: Leadership in an AI-Driven World: Insights from FSI’s AI Task Force
Steffe
First Command Financial Services, Inc.
President and CEO
General Session: Leadership in an AI-Driven World: Insights from FSI’s AI Task Force
Michael
Stern
Orion
SVP, Strategic Product Development
Today’s AI Playbook for Wealth Management
Leadership Makes the Difference: Using AI to Complement Your Firm’s Strengths
Stern
Orion
SVP, Strategic Product Development
Today’s AI Playbook for Wealth Management
Leadership Makes the Difference: Using AI to Complement Your Firm’s Strengths
Ryan
Stevenson
Hadrius
Founding Sales Lead
Third-Party Risk in Focus: Lessons, Pitfalls and Best Practices
Stevenson
Hadrius
Founding Sales Lead
Third-Party Risk in Focus: Lessons, Pitfalls and Best Practices
Matthew
Sugden
Commonwealth
SVP, Chief Compliance Officer
RILAs on the Radar: What Leaders Need to Know About Supervision (closed to media)
Sugden
Commonwealth
SVP, Chief Compliance Officer
RILAs on the Radar: What Leaders Need to Know About Supervision (closed to media)
John
Sweeney
Praxis Solutions, Inc.
CEO
General Session: Leadership in an AI-Driven World: Insights from FSI’s AI Task Force
Sweeney
Praxis Solutions, Inc.
CEO
General Session: Leadership in an AI-Driven World: Insights from FSI’s AI Task Force
Tiffany
Swindell
First Command Financial Services
SVP, Chief Risk Officer
Third-Party Risk in Focus: Lessons, Pitfalls and Best Practices
Swindell
First Command Financial Services
SVP, Chief Risk Officer
Third-Party Risk in Focus: Lessons, Pitfalls and Best Practices
Cherry Rose
Tan
Fifth‑Generation Entrepreneur • Venture Capitalist • Executive Coach
Advancing Women in Leadership Workshop
Tan
Fifth‑Generation Entrepreneur • Venture Capitalist • Executive Coach
Advancing Women in Leadership Workshop
Noam
Tasch
BNY Pershing
Managing Director, Head of Platform Sales
Welcome to Our Firm: The Future of Account Onboarding
Tasch
BNY Pershing
Managing Director, Head of Platform Sales
Welcome to Our Firm: The Future of Account Onboarding
Pete
Thatch
Capital Group
Sr. VP - Head of Strategic Relationship Group
From Design to Distribution: Understanding Product Complexity Across the Sales Life Cycle (closed to media)
Thatch
Capital Group
Sr. VP - Head of Strategic Relationship Group
From Design to Distribution: Understanding Product Complexity Across the Sales Life Cycle (closed to media)
John
Vander Vennet
YCharts
Chief Revenue Officer
Charting the Future: Responsible AI Innovation in Financial Services
Vander Vennet
YCharts
Chief Revenue Officer
Charting the Future: Responsible AI Innovation in Financial Services
Sean
Van Moorleghem
Cambridge
EVP, Chief Technology Officer
Guardrails & Growth: AI’s Role in Risk, Compliance and Trust
Van Moorleghem
Cambridge
EVP, Chief Technology Officer
Guardrails & Growth: AI’s Role in Risk, Compliance and Trust
Matthew
Watts
Raymond James Financial
SVP Supervision
From Design to Distribution: Understanding Product Complexity Across the Sales Life Cycle (closed to media)
Watts
Raymond James Financial
SVP Supervision
From Design to Distribution: Understanding Product Complexity Across the Sales Life Cycle (closed to media)
Chad
Weaver
Freeman Mathis & Gary
Partner
Regulatory and Legislative Realities: What Every Wealth Management Leader Needs to Know Now
Weaver
Freeman Mathis & Gary
Partner
Regulatory and Legislative Realities: What Every Wealth Management Leader Needs to Know Now
Tarah
Williams
Prospera Financial Services
President & COO
General Session: The Leadership Imperative: Clarity, Culture and Resilience
Williams
Prospera Financial Services
President & COO
General Session: The Leadership Imperative: Clarity, Culture and Resilience
Adam
Wilson
Osaic
Head of Product Management, Development & Sales Consulting
Beyond the Hype: Understanding Modern Investments
Wilson
Osaic
Head of Product Management, Development & Sales Consulting
Beyond the Hype: Understanding Modern Investments
