15 episodes

A look at issues affecting the bank and insurance securities community

BISA Portfolio Podcast Bank Insurance and Securities Association

    • Business
    • 5.0 • 3 Ratings

A look at issues affecting the bank and insurance securities community

    DE&I Rising Stars: Making the Most of Mentorship

    DE&I Rising Stars: Making the Most of Mentorship

    In this episode of the BISA Portfolio Podcast, learn why mentoring matters and how to make the most of it from 2023 DE&I Rising Stars awardee Lindsay Diehl Green, United Bank, and her mentor, Pamela Dawson, US Bank. Piera Valle of Pacific Life is guest host of this podcast.

    Topics covered include:
    Takeaways from the DE&I Rising Stars mentorship programWhat they've learned through this programWhy they see mentorship and sponsorship as valuable to the industryWhat they've learned from each otherHow mentees can make the most of their time with a mentorAbout Piera Valle
    As a senior director in strategic accounts, Piera is responsible for developing and growing strategic partnerships for Pacific Life’s Consumer Markets Division.  She also serves as a board member for Pacific Life’s Women at PL connections group, focusing on their community efforts and has been on the BISA DE&I Committee for the last five years. 
    About Pamela Dawson
    As director of advisory business relations within U.S. Bank Asset
    Management Group (AMG), Pamela is responsible for driving increased
    awareness of AMG’s investment thought leadership, resource capabilities
    and portfolio construction guidance.

    Pamela specifically works with wealth management teams in U.S. Bancorp
    Investments, an affiliate of U.S. Bank, in affluent markets. In this role, she
    develops and delivers appropriate education and coaching to help team
    members better understand, access and leverage AMG’s expertise in client
    acquisition and retention opportunities. She is also a member of AMG’s
    leadership team.

    With more than 30 years helping organizations grow their businesses,
    Pamela is an experienced executive in the financial services industry.
    Prior to joining U.S. Bank, she was the senior director of the bank channel
    for Russell Investments, where she established and grew the retail channel to
    more than $4.5 billion in assets during her seven-year tenure. Prior to Russell,
    she was a district sales manager for U.S. Bancorp Investments, an affiliate of
    U.S. Bank. Pamela has also spent time in national accounts with American
    International Group (AIG) and was the president of the broker/dealer division
    at Washington Mutual.
     
    About Lindsay Diehl Green
    Lindsay serves as vice president, assistant director of operations & client services for United Wealth Management and United Brokerage Services, Inc. Responsible for the day-to-day management and oversight of account administration and operations, Lindsay works as part of the leadership team to develop and improve long-term strategies to meet client and company objectives. Lindsay joined United in 2005, and has held several leadership roles across the retail, brokerage and wealth management departments. Lindsay also serves as vice chair of United’s DE&I Council. She has been nationally recognized by BISA, being named to the DE&I Rising Star Program Class of 2023, and statewide by The WV State Journal’s Generation Next: 40 Under 40 Class of 2023 honoree. She is a long serving Advisory Council member and active volunteer for the Children’s Home Society of West Virginia. Lindsay holds the following licenses: Series 7, Series 66 and Life & Health Insurance. 


    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
    Regulatory & Compliance: Off-Channel Communications and Complex Products

    Regulatory & Compliance: Off-Channel Communications and Complex Products

    Kenneth Cherrier of F&G interviews Kendra Cain of Arvest and Kevin Larson of Cetera Financial Group on two topics making a splash in regulatory and compliance right now: off-channel communications and complex products through a Regulation Best Interest (Reg BI) lens. 

    Listen to this podcast episode on your way to the BISA Regulatory & Compliance Summit, November 13 - 14, the event bringing together program executives and compliance officers from across the bank insurance and securities industry to learn about and discuss pressing regulatory and compliance issues. 

    Key topics discussed:
    How staff communication is handled at their organizationsIf their organizations place restrictions on which digital communications to allowWhat information security requirements are considered when implementing new communication channels and vendorsA few thought experiments on complex products — including whether an RR should be compensated more for additional complex product training; must a client fully understand all functionality of a complex product; and what steps BDs and RRs take when selling complex products to meet Best Interest requirementsAbout Kenneth Cherrier
    As the CCO for Fidelity & Guaranty, Kenneth is responsible for the firm’s day-to-day Enterprise Risk Management function and has held numerous positions with prior firms in senior executive-level roles. Taking a “stewardship” approach to the industry, Kenneth acts as a FINRA arbitrator and is/has been an active member of numerous industry associations, such as NSCP, FSI, BISA, and CEFLI. He has sat on the Board of the NSCP, has thrice served as a member of the FINRA District 4/Midwest Regional Committee, and sat on FINRA’s Regulatory Affairs and Continuing Education Committees.

    About Kendra Cain
    Kendra serves as chief compliance officer at Arvest Wealth Management. She is an Accredited Investment Fiduciary (AIF®) and a Certified Regulatory and Compliance Professional (CRCP®). Kendra is also a member of the Bank Insurance and Securities Association's Regulatory and Compliance Education Committee. She has over 20 years of industry experience and has worked at other regional broker-dealers and investment advisors in various roles, including CCO and Director of Compliance and Operations. Kendra graduated from the University of Louisiana at Lafayette and resides in Lafayette, Louisiana.

    About Kevin Larson
    Kevin joined Cetera Investment Services in 2014 as the Chief Compliance Officer. In that capacity, he oversaw all compliance functions of Cetera Investment Services. He currently works within Risk Management at Cetera Financial Group. He is actively engaged in BISA and IRI to help provide education and act as a resource to banks and credit unions in this profession. Prior to joining Cetera, Kevin was the Chief Compliance Officer and Anti-Money Laundering Officer for a regional broker-dealer for seven years. Kevin holds his Series 7 and 24 licenses and received a Bachelor of Science degree in Marketing from Saint Cloud State University
    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

    • 27 min
    Portfolio Podcast Episode 16: The Evolution of the Wealth Client

    Portfolio Podcast Episode 16: The Evolution of the Wealth Client

    Truist's Jacinda Norvell and Huntington's Mike Miroballi, BISA president, join host Jeff Hartney, BISA executive director, to discuss how the typical wealth client is evolving and changing. Here are a few highlights you won't want to miss in this episode of the BISA Portfolio Podcast:
    How the needs and expectations of the wealth client have changedEffective strategies to meet clients at different life stagesEnsuring clients receive tailored financial solutionsHow to leverage technology to enhance the client experienceEnsuring inclusivity and accessibilityProviding value-added services to address client life goalsWealth transfer and intergenerational planning for high-net-worth familiesAbout 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 Mike Miroballi
    As president of the Huntington Investment Company, Michael Miroballi is responsible for leading the strategic direction, overseeing regulatory governance and setting priorities for the business.  
    Michael joined Huntington in February of 2017 after spending nearly 16 years at BMO Financial Group. He has over 30 years of experience in financial services. Michael spent the early part of his career with Merrill Lynch and Citigroup as a financial advisor.  He obtained his CFA designation in 2000 and transitioned to portfolio management and trust investment management with Harris Private Bank, now known as BMO Private Bank, where among his accomplishments he led the creation of BMO’s open architecture outside manager and mutual fund platform. In 2007, Michael was appointed president of the bank’s retail broker-dealer, BMO Harris Financial Advisors.  As president of BMO Harris Financial Advisors, Mike led the transformation of the business to become a leader among peers in the growth of investment advisory assets under management. Likewise, as president of Huntington Investment Company, he has led the transformation of the business to become a planning-based advisory firm with advisory assets growing more than five-fold in just over five years.  
    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
    Portfolio Podcast Episode 15: Recruitment & Retention Strategies With Cerulli Associates

    Portfolio Podcast Episode 15: Recruitment & Retention Strategies With Cerulli Associates

    In this episode of the BISA Portfolio Podcast, John Olerio of Webster Investments, chair of the BISA Research Committee, speaks with Chayce Horton and Asher Cheses of Cerulli Associates. Recently, BISA commissioned a study through Cerulli that showcases trends and strategies for recruiting and retaining advisors throughout their careers. In this podcast, they discuss some of the study's key takeaways, including:
    What's making recruitment difficult right nowThe key benefits of the bank and credit union space for advisorsStrategies for developing junior advisors and supporting all advisorsWhy referrals matterWhat makes advisors stayPreparing for succession planning

    To access the full BISA/Cerulli whitepaper for free, visit here.
    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

    • 40 min
    Portfolio Podcast Episode 14: Convention Preview — Elevate, Energize, Execute

    Portfolio Podcast Episode 14: Convention Preview — Elevate, Energize, Execute

    In this special edition of the BISA Portfolio Podcast, Annual Convention Co-chairs LeAnn Rummel of Cetera Investment Services and Tim Layton of WealthVest share: 
    Their thoughts on key industry trends as we head into the convention Their tips, tricks and secrets for making the most of the convention Sessions they don't want to miss
    Plus, you'll hear sneak peeks from keynote speakers that will give you a taste of what's to come! Haven't registered yet? Do so now.
    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

    • 21 min
    Portfolio Podcast Episode 13: Circle of Excellence Awardees on Fostering Community

    Portfolio Podcast Episode 13: Circle of Excellence Awardees on Fostering Community

    In this episode of BISA Portfolio Podcast, Jane-ellen Porter interviews Circle of Excellence Awardees, Jim Nonnengard and John Olerio, on how they've fostered community throughout their careers. 

    They discuss:
    Their many years taking advantage of all networking opportunities BISA providesStrategies for seeking and developing community through networkingHow competitors become friends through BISA connections
    About Jane-ellen Porter
    Jane-ellen Porter is senior vice president and affluent regional sales manager for Wilmington Advisors @ MT.  In this role, she is responsible for managing the development, sales and relationship management of the Southern Connecticut and Tarrytown, New York investment and life insurance solutions and services offered through the Financial Advisors and Licensed Bank Employees.
    About Jim Nonnengard
    Jim Nonnengard serves as president of Regions Investment Services for the Wealth Management Group at Regions, a regional bank that operates throughout the South, Midwest and Texas and is headquartered in Birmingham, AL. He is responsible for providing executive and regulatory oversight of the Investment Services Department, which is comprised of Securities Licensed Financial Advisors and Insurance Licensed Bankers.

    About John Olerio
    With over 30 years of industry experience, John has focused his career on being a program manager for large regional banks with extensive experience with TPMs. He has been with Webster Investments since 1997 and has implemented short-term and long-term strategies to help set the directional course for the business line. John provides strategic strategies to the Community Bank and implements business plans that drive growth for the bank. 
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    DISCLAIMER FROM LPL

    The opinions voiced in this show (program) are for general information only and are not intended to provide specific advice or recommendations for any individual. To determine which investment(s) may be appropriate for you, consult with your attorney, accountant, and financial advisor or tax advisor prior to investing. 
    Securities and advisory services are offered through LPL Financial (LPL), a registered investment advisor and broker-dealer (member FINRA/SIPC).  Insurance products are offered through LPL or its licensed affiliates. Webster Bank and Webster Investments are not registered as a broker-dealer or investment advisor. Registered representatives of LPL offer products and services using Webster Investments, and may also be employees of Webster Bank.  These products and services are being offered through LPL or its affiliates, which are separate entities from, and not affiliates of, Webster Bank or Webster Investments. 
    Securities and insurance offered through LPL or its affiliates are:
     | Not Insured by FDIC or Any Other Government Agency | Not Bank Guaranteed | Not Bank Deposits or Obligations | May Lose Value
    LPL Financial, Webster Investments and Webster Bank are not affiliated with BISA or any other referenced entities.
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    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

    • 29 min

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