BISA Portfolio Podcast

Bank Insurance and Securities Association
BISA Portfolio Podcast

A look at issues affecting the bank and insurance securities community

  1. How Research Insights Can Inspire Success

    JAN 23

    How Research Insights Can Inspire Success

    In this episode of the BISA Portfolio Podcast, Kevin Mummau and Kevin McCarthy from the BISA Research Committee talk with Scott Smith of Cerulli about how to effectively use BISA's Insights & Analytics Advantage monthly reports for success. The conversation highlights the growing willingness of investors to pay for financial advice and emphasizes the importance of data-driven decision-making in areas like risk management, compliance, and understanding customer preferences. Listeners will gain actionable strategies for incorporating these monthly reports into their business practices to enhance their competitive edge in our industry. Access BISA's Insights & Analytics Advantage Reports today. About Kevin Mummau Mummau is the managing director at CUSO Financial Services, L.P. (CFS) and Sorrento Pacific Financial, LLC (SPF), members FINRA and registered investment adviser. CFS provides investment and financial planning services to credit union members. As a senior executive at CFS/SPF, Mummau has over 35 years of broad experience in the brokerage industry. His diverse background covers many facets of the securities industry including, trading, supervision, operations, compliance, retail and branch management. Most notably, five years as the corporate OSJ and regional manager for a major independent broker dealer, responsible for supervising the production of 80 – 100 branch offices. About Kevin McCarthy McCarthy leads Geogia, South Carolina and the Premier Investment Group for Synovus Securities. Prior to that role, he was senior vice president and head of business development for SunTrust Private Wealth Management and SunTrust Investments. In that capacity, McCarthy led the growth, practice management and partnership initiatives within the broad wealth organization. McCarthy has decades of experience, having served in various leadership roles at prior firms including Wells Fargo and Merrill Lynch.  About Scott Smith With more than 25 years of financial services industry experience, Smith leads Cerulli’s research efforts focused on investor behavior and advisory relationships. In his time at Cerulli, he has authored more than 30 in-depth reports on topics ranging from wholesale distribution to digital advice platforms. His research helps Cerulli’s clients understand how to optimize their platforms given the evolving demand for financial advice.  BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. Visit the Portfolio content hub Become a BISA member

    13 min
  2. Navigating Customer Complaints With Jarrett Jacobs and Debi Lucke

    11/05/2024

    Navigating Customer Complaints With Jarrett Jacobs and Debi Lucke

    In this episode of the BISA Portfolio Podcast, BISA Regulatory & Compliance Education Committee member Connie Capco of Northern Trust Securities talks with Jarret Jacobs of Fifth Third Securities and Debi Lucke of Ameriprise Financial Services about their approaches to navigating the world of customer complaints. They discuss the fine line between a simple service issue and a formal complaint, the importance of effective complaint management systems and the potential regulatory implications of mishandled complaints. About Connie Capco Capco is the director of sales supervision for NTSI Wealth Brokerage and responsible for day-to-day sales supervision and client-facing sales support for the dual registrant broker dealer / registered investment advisor. She serves as a liaison between wealth brokerage sales, NTSI operations, NTSI compliance and wealth management risk and control with the goal of creating efficient, frictionless fulfillment of products and services. Her extensive industry experience helps to drive growth in Northern Trust’s brokerage business and to further enhance the client experience through an integrated approach with wealth management partners. Capco earned a Bachelor of Arts in international business with a business management minor from Eckerd College in St. Petersburg, Florida. About Jarrett Jacobs Jacobs serves as the chief compliance officer for Fifth Third Securities, Inc. broker-dealer and registered investment adviser. He is responsible for the compliance and risk-related matters surrounding Fifth Third Securities’ retail and capital markets lines of businesses, including compliance with U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules and regulations. Jacobs has over 25 years of experience in broker-dealer and investment advisor compliance. Prior to joining Fifth Third Securities, Inc. in 2006, he served as RIA Compliance Officer for Raymond James Financial Services. About Debi Lucke Lucke is the director of the complaint resolution team at Ameriprise Financial Services, LLC, in Minneapolis, leading a team of compliance professionals who review and respond to customer complaints. She has worked in the broker/dealer field for more than 30 years, primarily in compliance and specifically in the customer complaint space. She is a subject matter expert regarding the rules and regulations surrounding customer complaint reporting and helps develop policies and procedures to ensure these obligations are met. Lucke is a member of the FINRA Complaint Initiative Committee and has served as a member of various working groups within the committee associated with regulatory reporting, as well as an Ameriprise Chairman’s Award for Excellence Finalist in 2021.   BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. Visit the Portfolio content hub Become a BISA member

    23 min
  3. DE&I Voices: The Value of Diverse Teams With Jermaine Perrien & Megan Richter

    10/18/2024

    DE&I Voices: The Value of Diverse Teams With Jermaine Perrien & Megan Richter

    In this final episode in the BISA Portfolio Podcast “DE&I Voices” series, guest host Logan Hickman of Nationwide converses with Megan Richter of Key Investment Services and Jermaine Perrien of Symetra about the value of diverse teams within the financial institution. Both Symetra and Key Investment Services have implemented DE&I initiatives, such as resource groups, training and leadership commitment. They discuss these initiatives and strategies for the future. About Logan Hickman Logan Hickman, ChFC®, CLU®, serves as director of advisory annuity distribution for Nationwide. In his role, he leads a team of high-performing sales professionals who are responsible for growing advisory annuity sales within the broker-dealer channel. Hickman is also responsible for helping design and implement long-term sales strategies that align with Nationwide's mission of protecting people, businesses and futures with extraordinary care.  Perhaps most importantly, though, Hickman is a fervent champion of diversity, equity and inclusion. Aside from the daily duties of his role, he serves as the President of Nationwide's Pride Employee Resource Group’s Scottsdale Chapter. He also serves on BISA's DE&I Committee and is a 2023 BISA Rising Star.  Hickman and his husband, Ben, live in Scottsdale, AZ with their cream-colored miniature dachshund, Whitney. Outside of work, they enjoy hiking (when it’s not too hot), long weekend trips and exploring the Phoenix food scene with friends. About Jermaine Perrien Jermaine Perrien has worked in the financial services sector since 2005. He joined Symetra Financial in 2015 and is currently assistant director of internal sales/talent and development for the retirement division. Perrien was recognized by BISA as a 2023 Rising Star and is a member of the Association for Wholesaling Diversity. He is passionate about providing opportunities, helping others realize their potential and increasing financial literacy. Perrien also serves on Symetra’s DEI Strategy Team and the retirement division’s DEI Leadership Council. A 2004 graduate of the University of Puget Sound in Tacoma, Washington, Perrien lives in the Pacific Northwest with his wife and children. About Megan Richter Megan Richter is a wealth management regional Eeecutive with Key Investment Services within the following markets: Ohio, Indiana, Michigan, Colorado, Utah, Idaho, Oregon, Washington and Alaska. She leads and coaches a team of Wealth Market Leaders leading Private Client Financial Advisors to grow her business through deepening our existing relationships and expanding our market share across Key Bank’s footprint. BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. Visit the Portfolio content hub Become a BISA member

    17 min
  4. BISA Portfolio Podcast — DE&I Voices: 2024 Rising Stars Experience

    10/08/2024

    BISA Portfolio Podcast — DE&I Voices: 2024 Rising Stars Experience

    In this episode of the BISA Portfolio Podcast series “DE&I Voices,” guest host Logan Hickman of Nationwide interviews 2024 Rising Stars awardees Madi Vandegrift of Truist Wealth and Juan Muñoz of Nationwide. They share their experience and inspiration as awardees and members of the Rising Stars program. Listen to the full episode, and then nominate yourself or someone else for the 2025 Rising Stars cohort! Nominations are now open and close Friday, Oct. 18, 2024. About Logan Hickman Logan Hickman, ChFC®, CLU®, serves as director of advisory annuity distribution for Nationwide. In his role, he leads a team of high-performing sales professionals who are responsible for growing advisory annuity sales within the broker-dealer channel. Hickman is also responsible for helping design and implement long-term sales strategies that align with Nationwide's mission of protecting people, businesses and futures with extraordinary care.  Perhaps most importantly, though, Hickman is a fervent champion of diversity, equity and inclusion. Aside from the daily duties of his role, he serves as the President of Nationwide's Pride Employee Resource Group’s Scottsdale Chapter. He also serves on BISA's DE&I Committee and is a 2023 BISA Rising Star.  Hickman and his husband, Ben, live in Scottsdale, AZ with their cream-colored miniature dachshund, Whitney. Outside of work, they enjoy hiking (when it’s not too hot), long weekend trips and exploring the Phoenix food scene with friends. About Madi Vandegrift Madison (Madi) Vandegrift is an officer and wealth business analyst II for Truist Wealth and Truist Investment Services. Madi joined Truist in 2021 and successfully completed the Truist Leadership Development Program (LDP) before joining Truist Wealth in 2022. Through the LDP program, she worked with the Truist Foundation, Private Wealth and Fiduciary Audit, Technology Risk Management and Wealth Brokerage teams, expanding her leadership experience and knowledge of different parts of the enterprise. Vandegrift currently assists with sales enablement efforts on the Wealth Brokerage Sales Execution team, focusing on recruiting and retention, business strategy and execution for managers and advisors, development and DEI initiatives, and strengthening partnerships across business lines. She strives to connect her community and advocate for the next generation of financial professionals. About Juan Muñoz Juan Muñoz is a consultant, business insights – strategic analysis at Nationwide Financial. In this role, Muñoz’s expertise in advanced analytics empowers sales leadership and their teams to make informed decisions, enhancing efficiency and effectiveness in their sales processes. His leadership on multiple projects has directly contributed to increased sales, improved efficiency and faster time-to-market for business partners. Born in Bogotá, Colombia, Muñoz moved to the United States at the age of 15. Since then, Muñoz has achieved remarkable milestones, becoming a U.S. citizen and earning an MBA with a focus in data analytics. At Nationwide, Muñoz serves as a co-lead for the National Latino Alliance associate resource group. Here, he and his team create valuable content and support members through events and resources focused on mental health awareness, professional development, networking, cultural awareness, DEI and insights into underserved markets.  BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. Visit the Portfolio content hub Become a BISA member

    17 min
  5. BISA Portfolio Podcast — DE&I Voices: Keeping DE&I Relevant With Heather Hepburn and Jim Nickens

    09/24/2024

    BISA Portfolio Podcast — DE&I Voices: Keeping DE&I Relevant With Heather Hepburn and Jim Nickens

    In this episode of the BISA Portfolio Podcast series “DE&I Voices,” guest host Logan Hickman of Nationwide interviews Jim Nickens of InSource, Inc. and Heather Hepburn of Webster Bank. All are members of the BISA Diversity, Equity & Inclusion Committee, a group that inspires member firms to develop an inclusive working environment to improve business results and strengthen our industry.  Listen to the full episode to learn about how Hepburn, Nickens and Hickman are engaging in DE&I conversations and initiatives at their organizations. About Logan Hickman Logan Hickman, ChFC®, CLU®, serves as director of advisory annuity distribution for Nationwide. In his role, he leads a team of high-performing sales professionals who are responsible for growing advisory annuity sales within the broker-dealer channel. Hickman is also responsible for helping design and implement long-term sales strategies that align with Nationwide's mission of protecting people, businesses and futures with extraordinary care.  About Heather Hepburn Hepburn is the managing director of the Wealth Management Operations team at Webster Investments Services, Inc., with responsibility for managing the functions and processes of the back office as well as the relationships with its internal and external business partners. Heather is a leader with expertise in people management and broker-dealer operations. Her oversight includes due diligence, regulatory compliance and operations management. She manages special projects and collaborates with the leadership team on strategic initiatives. About Jim Nickens Nickens is president of InSource in Indianapolis, IN., a leading financial solutions partner for banks, broker-dealers and financial professionals across the country. He joined InSource in 2011 after a successful tenure as senior vice president and sales manager for Key Investment Services LLC (KIS) where he was responsible for providing sales leadership to financial advisors in the Eastern New York and Vermont regions. Prior to joining Key, Nickens served as regional investment sales manager and vice president for NatCity Investments, managing a successful team of financial advisors in Indiana and Kentucky. Prior to that position, he was vice president and affiliate sales manager for Fifth Third Securities in Toledo, OH. There he was named Manager of the Year. BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. Visit the Portfolio content hub Become a BISA member

    18 min
  6. The Voice of Wealth: Defining a Career Path With Donna McNeely & Jacinda Norvell

    08/22/2024

    The Voice of Wealth: Defining a Career Path With Donna McNeely & Jacinda Norvell

    In this episode of the BISA Portfolio Podcast series "The Voice of Wealth," Jacinda Norvell, wealth broker and sales execution director at Truist Wealth, and Donna McNeely, president of Kinecta Financial Management Company, discuss the intricacies of the wealth management career path and the challenges of recruitment and retention. Key takeaways from this episode include: The importance of finding your passion and building a career around your strengths.The various career paths available within wealth management, from entry-level roles to senior leadership positions.The challenges and opportunities in recruiting and retaining top talent in the industry.The importance of creating a supportive and inclusive culture to foster employee satisfaction and loyalty.Listen to the full episode to learn more about the wealth management career path and gain valuable insights from industry experts. About Jacinda Norvell Jacinda Norvell is a senior managing director and the wealth brokerage sales execution director for Truist Wealth and Trust Investment Services, Inc. offering over 25 years of financial services experience. Prior to joining SunTrust, now Truist, in 1997, Jacinda obtained both retail brokerage and institutional investment experience at The Robinson Humphrey Company and Invesco. Having worked in various management roles at SunTrust, now Truist, Jacinda currently leads sales enablement efforts for their broker/dealer focused on advisor recruiting and retention, business planning and execution for managers and advisors, and development and DEI initiatives. About Donna McNeely Donna McNeely is the president of Kinecta Financial Management Company, LLC, a wholly owned subsidiary of Kinecta Federal Credit Union. Donna is responsible for implementation of the company’s business goals, including overall management, strategy, growth and operating results.  She is accountable for successful operation of the company’s subsidiaries, Apollo Insurance, a property/casualty insurance agency providing insurance products services to credit unions nationwide, and Kinecta Financial & Insurance Services, a registered broker/dealer and insurance agency.  BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. Visit the Portfolio content hub Become a BISA member

    16 min
  7. The Voice of Wealth: Developing a Successful Delivery Model With Rebecca Robinson & Jacinda Norvell

    08/01/2024

    The Voice of Wealth: Developing a Successful Delivery Model With Rebecca Robinson & Jacinda Norvell

    In this episode of the BISA Portfolio Podcast series “The Voice of Wealth,” BISA’s Wealth Committee Chair Jacinda Norvell, wealth broker and sales execution director at Truist Wealth, talks about developing successful delivery models with Rebecca Robinson, director of wealth management at Zions Bancorporation. They discuss how Zions takes a collaborative approach to wealth management, tailoring their teams and services to each client's unique needs and complexity. Key takeaways of this episode include:  The importance of flexibility and emotional intelligence in wealth advisory, to truly understand client goals and challengesStrategies for fostering professional development in wealth management teams, such as hands-on training, mentorship and feedback sessionsHow a collaborative, planning-based culture can enhance the client experience and help advisors grow with their clients over timeAbout Jacinda Norvell Jacinda Norvell is a senior managing director and the wealth brokerage sales execution director for Truist Wealth and Trust Investment Services, Inc. offering over 25 years of financial services experience. Prior to joining SunTrust, now Truist, in 1997, Jacinda obtained both retail brokerage and institutional investment experience at The Robinson Humphrey Company and Invesco. Having worked in various management roles at SunTrust, now Truist, Jacinda currently leads sales enablement efforts for their broker/dealer focused on advisor recruiting and retention, business planning and execution for managers and advisors, and development and DEI initiatives. About Rebecca Robinson Rebecca Robinson, CPA, CFP®, is the executive director of wealth management at Zions Bancorp, where she serves on the company's Executive Management Committee. As the head of wealth management, Rebecca leads a multi-state team of professionals who provide tailored investment management, wealth and business succession planning, philanthropic and fiduciary services to high-net-worth families, business owners  and corporate clients. She provides the strategic vision for the firm’s planning centric approach to client service. In addition to her wealth management responsibilities, she serves as the executive in charge of bank’s affluent customer strategic initiative, chairs the benefits investment committee and is a member of the board of directors for the Zions Bancorp Foundation. Rebecca also serves on the Board of Directors for BISA. BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel. Visit the Portfolio content hub Become a BISA member

    12 min

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out of 5
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A look at issues affecting the bank and insurance securities community

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