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Advisor Conference Exhibitor Interviews

The CFDD’s October Advisor Conference, Participant Advice, Retirement Income & New Growth Strategies is the premier education and networking event for the retirement plans advisory industry.   The two and one-half day all business agenda is populated by a Who’s Who in the retirement industry and includes more than fifty different content rich breakout sessions.  Given our unencumbered and pure business model, no other retirement plans conference can match the CFDD’s unbiased,  diverse, timely and predictive agenda. Participant advice solutions, including managed portfolios and managed accounts, are poised to grow substantially.  While employee solutions are where advisors can add value and distinguish themselves today, successful participant outcomes require a combination of “do-it-for-me” approaches, including customized solutions.  To meet this need, CFDD ’11 is specifically designed to help advisors adapt to increasing demand for participant advice, differentiate, gain a competitive edge and grow new higher margin business.

For more information on the conference, go to:http://www.thecfdd.com/CFDDconference2011

 

Advisor Conference Exhibitor Interviews
Robert T. Rickey Director, Advisor Services TIAA-CREF

TIAA-CREF

Rob Rickey, CFP®, has almost two decades of experience in the financial services industry.  For the last thirteen years, Mr. Rickey  served in various capacities at TIAA-CREF. Rob  played a key role in the development of the company’s financial advisor distribution channel and their institutional business.  In his current position as Head of TIAA-CREF’s Advisor Services, he is responsible for the sales, service, operation and infrastructure required to support the distribution of the firm’s products & services through the independent advisor channel.  Prior to joining TIAA-CREF, Rob managed client assets as anInvestment Advisor for a leading mutual fund company.  Mr. Rickey  earned a B.A inWatch Now

Rob Rickey, CFP®, has almost two decades of experience in the financial services industry.  For the last thirteen years, Mr. Rickey  served in various capacities at TIAA-CREF. Rob  played a key role in the development of the company’s financial advisor distribution channel and their institutional business.  In his current position as Head of TIAA-CREF’s Advisor Services, he is responsible for the sales, service, operation and infrastructure required to support the distribution of the firm’s products & services through the independent advisor channel.  Prior to joining TIAA-CREF, Rob managed client assets as anInvestment Advisor for a leading mutual fund company.  Mr. Rickey  earned a B.A in Economics fromLong Island University and an M.B.A in Banking and Finance from Hofstra University’s Frank G. Zarb School of Business. Rob also holds the Certified Financial Planner designation.

For more information, call (212) 916-4545 or email: rrickey@tia-cref.org

TIAA-CREF Individual & Institutional Services, LLC, and Teachers Personal Investors Services, Inc.,                 members FINRA, distribute securities products.                                                                                                C50332

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David Witz Managing Director Fiduciary Risk Assessment LLC (FRA) and PlanTools

FRA/PlanTools

David J Witz, AIF is the Managing Director of Fiduciary Risk Assessment LLC (FRA) and PlanTools, LLC. FRA/PlanTools is a service provider to the retirement industry designing and licensing fiduciary compliance, performance reporting and benchmarking software solutions for industry service providers. FRA is in a patent pending status for its Master Diagnostic customizable automated compliance system which automates the process for fiduciary governance, analytics and diagnostics. David’s responsibilities include consulting engagements, expert witness services, business development, product design, and project management of FRA’s software solutions. FRA is the only firm in the industry to secure a legal opinion stating its 404(c) diagnostic system meets all the regulatoryWatch Now

David J Witz, AIF is the Managing Director of Fiduciary Risk Assessment LLC (FRA) and PlanTools, LLC. FRA/PlanTools is a service provider to the retirement industry designing and licensing fiduciary compliance, performance reporting and benchmarking software solutions for industry service providers. FRA is in a patent pending status for its Master Diagnostic customizable automated compliance system which automates the process for fiduciary governance, analytics and diagnostics. David’s responsibilities include consulting engagements, expert witness services, business development, product design, and project management of FRA’s software solutions. FRA is the only firm in the industry to secure a legal opinion stating its 404(c) diagnostic system meets all the regulatory requirements and industry best practices. David has over 30 years of investment, plan design, administration, and fiduciary consulting experience with Qualified and Non-qualified Deferred Compensation plans. He began his career with Principal Financial Group in 1981. In June 1986, he acquired Corporate Benefit Planning (“CBP”) a third party administration, consulting, and investment advisory firm which he sold in 1996. Since then, David has held positions with four other national TPAs firms before forming FRA including BGS&G, CBIZ, the Geller Group, and The Newport Group. David has been published or quoted by the ASPPA Journal, BNA, Journal of Benefits and Compensation, the CPA Journal, SPARK Journal and Columbus CEO. He has been retained as an expert witness on ERISA matters and participated on advisory boards for Principal Financial, Mass Mutual, CBIZ, Asset International, Inc. the Center forDue Diligence (CFDD) and the Institute of Business & Finance. He has been a guest speaker for the AICPA, ASPPA,Bar Association, CFDD, fi360, Financial Planning, ISCEBS, North Carolina CPA/Law Forum, PLANSPONSOR, The Ohio State University School of Law, National Association of Bankruptcy Trustees and RADA. Recently he was appointed to the Board of Advisors for the Institute of Business & Finance (IBF). He was previously the host of a financial talk radio show on WWVA. David is a 1981 graduate of Penn State University with a Bachelor of Science degree in Economics, Insurance, and Real Estate. He has been awarded the ACCREDITED INVESTMENT FIDUCIARY designation from the Center for Fiduciary Studies. He has six exams completed towards his Chartered Financial Consultant (ChFC) and Charter Life Underwriter (CLU) designations. His licensing previously included NASD Series 6, 26, 63, 65 and Life, Health and Variable Insurance.

For more information, call (704) 564-0482 or email: dwitz@fraplantools.com

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Jeff McCarthy Co-Founder, Executive Vice President American Financial Systems, Inc.

American Financial Systems, Inc.

American Financial Systems, Inc. co-founder Jeff McCarthy rejoined the company in 2004. Jeff brings over 17 years’ experience working with both clients and producers in the executive benefits market and a wealth of expertise on the design, funding, and securing of Non-Qualifed plans. His in-depth familiarity with the AFS vision gives him a unique perspective in helping AFS clients & partners deliver superior service through technology. Prior to rejoining AFS, Jeff served as vice president of the Executive Benefits Practice at both Clark Consulting and Lyons Compensation and Benefits where he advised corporate executives and board members on nonqualified benefitWatch Now

American Financial Systems, Inc. co-founder Jeff McCarthy rejoined the company in 2004. Jeff brings over 17 years’ experience working with both clients and producers in the executive benefits market and a wealth of expertise on the design, funding, and securing of Non-Qualifed plans. His in-depth familiarity with the AFS vision gives him a unique perspective in helping AFS clients & partners deliver superior service through technology. Prior to rejoining AFS, Jeff served as vice president of the Executive Benefits Practice at both Clark Consulting and Lyons Compensation and Benefits where he advised corporate executives and board members on nonqualified benefit design strategies and implementation. Jeff holds an MBA from Boston College, and a bachelor’s in Economics from Colgate University in Hamilton, NY. Jeff is also designated as a Chartered Life Underwriter by the American College of Bryn Mawr, PA.

For more information, call 781-810-4104 or email: Jeff.McCarthy@afs-link.com

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Jon L. Prescott Chief Marketing Officer CPI Qualified Plan Consultants

CPI Qualified Plan Consultants, Inc.

Jon Prescott is the Chief Marketing Officer at CPI Qualified Plan Consultants, Inc. Mr. Prescott is responsible for CPI’s Marketing & Sales division which consists of 16 regional consulting offices as well as home office staff specializing in Marketing and Internal Sales. Jon joined CPI in 1987 and was promoted to VP of National Sales before assuming his current duties in 2004. During this time, he led CPI’s growth from a small regional firm in Kansas with 487 clients and $120 million in plan assets under administration to over 4,000 clients and $5.4 billion in plan assets under administration. PriorWatch Now

Jon Prescott is the Chief Marketing Officer at CPI Qualified Plan Consultants, Inc. Mr. Prescott is responsible for CPI’s Marketing & Sales division which consists of 16 regional consulting offices as well as home office staff specializing in Marketing and Internal Sales. Jon joined CPI in 1987 and was promoted to VP of National Sales before assuming his current duties in 2004. During this time, he led CPI’s growth from a small regional firm in Kansas with 487 clients and $120 million in plan assets under administration to over 4,000 clients and $5.4 billion in plan assets under administration. Prior to joining CPI, he held personnel management, sales management, general management and executive positions for service, wholesale and retail corporations. Jon has addressed numerous professional groups on various topics, including 403(b)(7) Plans, 401(k) Plans and 125 Cafeteria Plans. He also authored and moderated a continuing education program on tax-favored employee benefits for insurance and investment professionals. Mr. Prescott authored an article for the Journal of Pension Benefits, addressing the compliance areas most commonly ignored by employers regarding 125 Cafeteria Plans. He was also was featured in a PlanAdviser magazine article discussing the new 403(b) regulations. Jon Prescott is a Fort Hays State University graduate with Bachelor of Science Degrees in Marketing and Finance.

For more information, call 800-279-9916 ext.132 or email: jon.prescott@cpiqpc.com

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Bob Padgette CEO & Founder Klein Decisions, Inc.

Klein Decisions, Inc

Bob Padgette, CEO & Founder, Klein Decisions has been involved in the development of new products and services for the investment and financial services industry for more than two decades. Mr. Padgette founded Klein Decisions in 2002. Bob was also the Chief Executive Officer and founder of Möbius Group, Inc., a leading provider of software and data for investment professionals. Mobius was founded in 1989 and acquired by CheckFree in 1999. He began his investment career in 1981 at Kidder, Peabody & Co., where he last served as Vice President and National Director of the PRIME Asset Consulting Group. DuringWatch Now

Bob Padgette, CEO & Founder, Klein Decisions has been involved in the development of new products and services for the investment and financial services industry for more than two decades. Mr. Padgette founded Klein Decisions in 2002. Bob was also the Chief Executive Officer and founder of Möbius Group, Inc., a leading provider of software and data for investment professionals. Mobius was founded in 1989 and acquired by CheckFree in 1999. He began his investment career in 1981 at Kidder, Peabody & Co., where he last served as Vice President and National Director of the PRIME Asset Consulting Group. During his career Bob has been active in the Investment Management Consultants Association (IMCA), serving on numerous committees and helping develop IMCA’s Consultant Performance Presentation standards. As part of his IMCA activities in the 1990s he served as an instructor on the manager research and evaluation section of the CIMA certification course taught at Wharton School of Business in Philadelphia. He received the Steve Kessler annual writing award in 1997 from IMCA and the Pioneer Award from the Money Management Institute in 2003 for his overall contributions to the managed accounts industry. He has been a member of the Methodology Committee at the Retirement Income Industry Association (RIIA). Mr. Padgette received both a BSEE and an MBA from Duke University. Bob is a CFA Charterholder since 1988 and a Certified Investment Management Analyst (CIMA®) since 1991. He is also an active member of the CFA institute, IMCA, and RIIA.

For more information, call 919-256-6962 or email: bpadgette@kleindecisions.com

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Frank Tortora National 401(k) Sales Program Manager Paychex, Inc

PAYCHEX

Frank Tortora is the National 401(k) Sales Program Manager for Paychex, Inc., the leading provider of new 401(k) plans for six consecutive years, according to PlanSponsor magazine. In this role, Mr. Tortora is responsible for managing sales relationships with broker dealers and fund partners across the country. He has more than 20 years of industry experience with Paychex, serving in various sales and sales management capacities for the company’s payroll and human resource services divisions. In 2010, Mr. Tortora was ranked among the Top 100 Most Influential by 401kWire. Frank is a graduate of the State University of New YorkWatch Now

Frank Tortora is the National 401(k) Sales Program Manager for Paychex, Inc., the leading provider of new 401(k) plans for six consecutive years, according to PlanSponsor magazine. In this role, Mr. Tortora is responsible for managing sales relationships with broker dealers and fund partners across the country. He has more than 20 years of industry experience with Paychex, serving in various sales and sales management capacities for the company’s payroll and human resource services divisions. In 2010, Mr. Tortora was ranked among the Top 100 Most Influential by 401kWire. Frank is a graduate of the State University of New York at Geneseo.

For more information, call 585-338-4225 or email: ftortora@paychex.com

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Ronald A. Cohen Managing Director Head of DWS Retirement Services DWS Investments

DWS Investments

Ron Cohen, Managing Director, is the Head of Retirement Services for DWS Investments.  Serving in this role since 2005, Mr. Cohen   is responsible for managing all aspects of the retirement business including, sales, client service, marketing, product and business management.  Prior to this role, Ron was the National Sales Manager for Retirement Services. He  also served as the head of consultant relations, as well as a sales representative covering the Northeast Region and as a Relationship Manager.  Ron has been with the firm for 18 years.  Mr. Cohen received a BA in Economics from the University of Massachusetts. Additionally, he received a Pension Plan Certification at BentleyWatch Now

Ron Cohen, Managing Director, is the Head of Retirement Services for DWS Investments.  Serving in this role since 2005, Mr. Cohen   is responsible for managing all aspects of the retirement business including, sales, client service, marketing, product and business management.  Prior to this role, Ron was the National Sales Manager for Retirement Services. He  also served as the head of consultant relations, as well as a sales representative covering the Northeast Region and as a Relationship Manager.  Ron has been with the firm for 18 years.  Mr. Cohen received a BA in Economics from the University of Massachusetts. Additionally, he received a Pension Plan Certification at Bentley College. Ron holds NASD Series 26, 24, 7, 6 and 63 licenses.

For more information, call (617) 952-3802 or email: ronald-a.cohen@dws.com

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Kevin Collins Vice President, Head of Client Services T. Rowe Price Retirement Plan Services, Inc.

T. Rowe Price

Kevin Collins is head of client services in T. Rowe Price Retirement Plan Services, Inc. He is a vice president of T. Rowe Price Group, Inc., T. Rowe Price Retirement Plan Services, Inc., and T. Rowe Price Trust Company. Prior to assuming his current position in 2008, he was chief administrative officer for Global Investment Services, the division responsible for the firm’s institutional business worldwide, and Global Asset Management, the investment management organization responsible for assets sourced in Japan. Kevin earned a B.S. in accounting from the University of Scranton and an M.B.A. from the University of Maryland. For moreWatch Now

Kevin Collins is head of client services in T. Rowe Price Retirement Plan Services, Inc. He is a vice president of T. Rowe Price Group, Inc., T. Rowe Price Retirement Plan Services, Inc., and T. Rowe Price Trust Company. Prior to assuming his current position in 2008, he was chief administrative officer for Global Investment Services, the division responsible for the firm’s institutional business worldwide, and Global Asset Management, the investment management organization responsible for assets sourced in Japan. Kevin earned a B.S. in accounting from the University of Scranton and an M.B.A. from the University of Maryland.

For more information, call 410-345-6740 or email: Kevin_Collins@troweprice.com

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Mike Jackson Vice President, Division Manager, Investment Only Division American Century Investments

American Century Investments®

Mike Jackson is a Vice President and head of the Investment Only Division at American Century Investments. The IO division is comprised of two groups. The “Defined Contribution” group focuses on the sale of American Century Investments’ strategies and funds in retirement plans. The DC team works with retirement advisors, platforms, wholesalers and TPAs. The products and tools are designed to help clients increase business and market share. The “Insurance and Specialty Products” group seeks out opportunities within variable annuity products. They are also responsible for promoting 529 sales. Mr. Jackson joined American Century Investments in 2000 and has beenWatch Now

Mike Jackson is a Vice President and head of the Investment Only Division at American Century Investments. The IO division is comprised of two groups. The “Defined Contribution” group focuses on the sale of American Century Investments’ strategies and funds in retirement plans. The DC team works with retirement advisors, platforms, wholesalers and TPAs. The products and tools are designed to help clients increase business and market share. The “Insurance and Specialty Products” group seeks out opportunities within variable annuity products. They are also responsible for promoting 529 sales. Mr. Jackson joined American Century Investments in 2000 and has been in the financial services business for nearly 25 years. Mike’s experience and expertise spans all facets of employee benefit products including health & welfare, disability and retirement plans. Mike is a frequent industry speaker and panelist. He is AIFA (Accredited Investment Fiduciary Analyst) certified and holds FINRA’s Series 6, 26, 51, and 63 securities licenses. He is a graduate of the University of Missouri.

For more information, call (816) 340-3760 or email: Mike_Jackson@americancentury.com

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Thomas Bruns Divisional VP John Hancock Retirement Plan Services

John Hancock Retirement Plan Services

Tom Bruns is a Divisional Vice President for John Hancock Retirement Plan Services. He joined Manulife, now John Hancock, in September of 2003. Prior to Manulife, Mr. Bruns was the President of Kemper Retirement Plans, and later President of Scudder Distributors Inc. Prior to Kemper, Tom worked for Metropolitan Life and Aetna. He attended the University of Illinois and received his Bachelor’s of Science in Biochemistry. Tom also attended Northwestern Kellogg Graduate School of Management where he earned his Masters of Management in Finance and Marketing. To help build homes and provide aid, he has led humanitarian groups to HondurasWatch Now

Tom Bruns is a Divisional Vice President for John Hancock Retirement Plan Services. He joined Manulife, now John Hancock, in September of 2003. Prior to Manulife, Mr. Bruns was the President of Kemper Retirement Plans, and later President of Scudder Distributors Inc. Prior to Kemper, Tom worked for Metropolitan Life and Aetna. He attended the University of Illinois and received his Bachelor’s of Science in Biochemistry. Tom also attended Northwestern Kellogg Graduate School of Management where he earned his Masters of Management in Finance and Marketing. To help build homes and provide aid, he has led humanitarian groups to Honduras over the last eight years. Tom lives in the greater Chicago area and is the father of six children and one lovely wife.

For more information, call (630) 629-0276 or email: tom_bruns@jhancock.com

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Great Show!

Advisor Conference Exhibitor Interviews
Joseph Masterson Sr. VP, Chief Sales & Marketing Officer Diversified Investment Advisors

Joseph Masterson, Senior Vice President and Chief Sales and Marketing Officer, is a member of Diversified’s Executive Management Committee and Investment Committee. Having joined Diversified in 1985, he is currently responsible for leading Sales, Distribution Channel Management and Marketing teams. Prior to his current assignment, Mr. Masterson also led Diversified’s Regional Client Management Organization. Mr. Masterson held similar responsibilities with Diversified’s predecessor, Mutual of New York, where he was also responsible for their Investment Advisory Division. Mr. Masterson began his pension career in 1976 with Aetna. He received a B.S. in Marketing and an M.B.A. in Investment Management Finance fromWatch Now

Joseph Masterson, Senior Vice President and Chief Sales and Marketing Officer, is a member of Diversified’s Executive Management Committee and Investment Committee. Having joined Diversified in 1985, he is currently responsible for leading Sales, Distribution Channel Management and Marketing teams. Prior to his current assignment, Mr. Masterson also led Diversified’s Regional Client Management Organization. Mr. Masterson held similar responsibilities with Diversified’s predecessor, Mutual of New York, where he was also responsible for their Investment Advisory Division. Mr. Masterson began his pension career in 1976 with Aetna. He received a B.S. in Marketing and an M.B.A. in Investment Management Finance from Fordham University. His industry affiliations include past Chairperson of the Retirement & Investment Marketing Committee – LIMRA International; a longstanding member of AIMSE; a member of the Investment Management Consultants Association; and a member of the editorial advisory board of the Journal of Pension Benefits. He is a frequent speaker and author on retirement plans and asset allocation strategies.

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  • Great Show!
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Great Show!

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