MONDAY, OCTOBER :00 a.m. - 7:15 p.m. REGISTRATION OPEN Hudson Ballroom Foyer
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1 A G E N D A
2 A G E N D A MONDAY, OCTOBER 28 11:00 a.m. - 7:15 p.m. REGISTRATION OPEN Hudson Ballroom Foyer 11:00 a.m. - 1:00 p.m. 12:00 p.m. - 1:00 p.m. LUNCH Hudson Ballroom Sponsored by 12:55 p.m. - 2:45 p.m. > 12:55 p.m. - 1:00 p.m. Welcome Maura Creekmore, Managing Director, Pershing > 1:00 p.m. - 1:15 p.m. The State of Pershing and BNY Mellon Ron DeCicco, Chief Executive Officer, Pershing > 1:15 p.m. - 1:45 p.m. Discover Your Potential with Pershing Frank La Salla, Managing Director, Pershing Mike Row, Managing Director, Pershing > 1:45 p.m. - 2:45 p.m. The State of the Industry Moderator: Lisa Dolly, Chief Operating Officer, Pershing Dale Brown, President and Chief Executive Officer, Financial Services Institute Jack Cramer, President, Cramer + Associates, Inc. Brian Shea, President, Investment Services, BNY Mellon and Head of Client Service Delivery and Client Technology Solutions, BNY Mellon 2:45 p.m. - 3:15 p.m. NETWORKING BREAK WITH SPONSORS Hudson Ballroom Foyer 2:45 p.m. - 3:15 p.m.
3 MONDAY, OCTOBER 28 (continued) 3:15 p.m. - 4:15 p.m. EDUCATIONAL BREAKOUTS (attendees select one) Compliance Forum Live! Harborside Room Moderator: Katherine Ferriter, Vice President, Pershing Tonia Bottoms, Director and Managing Counsel, Pershing Tony Capo, Managing Director, Pershing Pasquale DiGennaro, Vice President, Pershing John LoMonaco, Director, Pershing Dorothy Zajac, Director, Pershing Considerations as Advisors Integrate Alternative Investments Into Their Clients Strategies Palisades Room Moderator: Sandy Motusesky Bolton, Director, Pershing Justin Fay, Vice President, Pershing Neil Kotecha, Senior Analyst, BNY Mellon Investment Management Douglas Mangini, Managing Director, Guggenheim Investments Evolution of Client Onboarding and Advisor Productivity Liberty Room Moderator: David Crow, Managing Director, Pershing Joseph Barone, Vice President, Pershing Jeffrey Benfield, Vice President, Albridge Jason Betz, Vice President, Pershing ReGENeration How Gen Y Advisors Could Revitalize the Industry Holland Room Moderator: Tina Nuppnau-Singh, Vice President, Pershing Kim Dellarocca, Director, Pershing Carrie Fleisher, Chief Risk & Compliance Officer, M Holdings Securities, Inc. Craig Pfeiffer, Chief Executive Officer, Advisors Ahead 4:15 p.m. - 4:30 p.m. 4:30 p.m. - 5:30 p.m. Generational Insights That Can Impact Your Business Introduction: Marc D Angelillio, Vice President, Pershing Cam Marston, President and Founder, Generational Insights 5:30 p.m. CLOSING REMARKS Maura Creekmore, Managing Director, Pershing 5:45 p.m. - 7:15 p.m. RECEPTION Manhattan Ballroom
4 TUESDAY, OCTOBER 29 8:00 a.m. - 8:30 a.m. BREAKFAST Hudson Ballroom 8:00 a.m. - 8:30 a.m. 8:30 a.m. - 9:30 a.m. Opening Remarks Randy Reynolds, Managing Director, Pershing Impending Regulatory Changes and the Potential Impact to Your Business Moderator: Gary Johnson, Global Chief Compliance Officer, Pershing John Hammalian, Senior Managing Counsel and Managing Director, BNY Mellon Asset Management Kary Moore, Corporate Counsel Distributions and Operations, Federated Investors, Inc. 9:45 a.m. - 10:45 a.m. EDUCATIONAL BREAKOUTS (attendees select one) Managing Rep-Advised Programs Palisades Room Moderator: Daniel Malley, Director, Pershing Kenneth Aulbach, Managing Director, American Portfolios Michael Freeman, Managing Director and Head of Investments, Citi Personal Wealth Management Michelle Logue, Director, Pershing Preparing for the 2013 Tax Season Holland Room Moderator: John Durando, Managing Director, Pershing Sam Adams, Vice President, Pershing Todd Gunn, Vice President, Pershing Mindy Zamparelli, Vice President, Pershing Servicing Clients of All Generations and the Impact on Investor Portals Liberty Room Moderator: Jeffrey Schwantz, Director, Pershing Michelle Gutierrez, Director, Pershing Margaret Weaver, Vice President, Pershing Pei-Sze Yeap, Assistant Vice President, Pershing Using Data to Identify and Mitigate Compliance Risks Harborside Room Moderator: David McClellan, Director, Albridge Steve Josephson, Vice President, BMO Harris Financial Advisors, Inc. Sravan Nerella, Vice President, Albridge Doug Walker, Vice President, Pershing Patrick Yip, Director, Pershing
5 TUESDAY, OCTOBER 29 (continued) 10:45 a.m. - 11:15 a.m. NETWORKING BREAK WITH SPONSORS Hudson Ballroom Foyer 10:45 a.m. - 11:15 a.m. 11:15 a.m. - 12:15 p.m. EDUCATIONAL BREAKOUTS (attendees select one) Essentials of Business Continuity Planning in Action Palisades Room Moderator: Claire Santaniello, Chief Administrative Officer, Pershing Sally Bourdamis, Vice President, Director of Operations, Advisor Group Jane Longendyck, Managing Director, Pershing Javier Martinez-Acha, Chief Executive Officer, Geneva Asset Management David Pass, Vice President, Chief Compliance Officer, Reaves Asset Management How to Capitalize on the Changing Landscape of the Advisory Business Liberty Room Moderator: Michael Partnow, Director, Pershing Tom Daley, Founder and Chief Executive Officer, The Advisor Center Evan LaHuta, Director, Pershing Advisor Solutions Regulatory Readiness Managing the Impacts to Your Business Harborside Room Moderator: Mitchell Bell, Director, Pershing Jim Fiebelkorn, Director, Pershing Jeff Horowitz, Managing Director and Chief Compliance Officer, Pershing Joan Schwartz, Chief Legal Officer, Pershing Trading Resources to Drive Growth in an Evolving Marketplace Holland Room Moderator: John Goodheart, Managing Director, Pershing Jeremy Colvin, Managing Director, BNY Mellon Capital Markets JC Mas, Managing Director, BNY Mellon Capital Markets John Vrettos, Director, Pershing 12:15 p.m. - 1:45 p.m. LUNCH Hudson Ballroom > 12:50 p.m. - 1:30 p.m. Building A Community Sense of Purpose Introduction: Michael Partnow, Director, Pershing Naomi De Jesus, Big Brothers Big Sisters Mentee, James J. Ferris High School Jim Crowley, Chief Relationship Officer, Pershing Duncan Williams, President, Duncan-Williams, Inc.
6 TUESDAY, OCTOBER 29 1:45 p.m. - 2:45 p.m. Multiple Hands on the Wheel: Top Technology Trends to Meet Investor, Advisor and Firm Demands Moderator: Darrin Courtney, Research Director, CEB TowerGroup John Brett, Managing Director, Pershing Ram Nagappan, Chief Information Officer, Pershing Lori Torner, Director, Northwestern Mutual Investment Services 2:45 p.m. CLOSING REMARKS Tara DiLullo, Vice President, Pershing 2:45 p.m. - 3:15 p.m. 2:45 p.m. - 3:30 p.m. CONTINUOUS SHUTTLES TO PERSHING PLAZA FOR TOUR AND RECEPTION (Pre-registration required) 3:15 p.m. - 5:30 p.m. PERSHING PLAZA TOUR AND RECEPTION Pershing LLC, a BNY Mellon company Pershing Advisor Solutions LLC, a BNY Mellon company Albridge Solutions, Inc., an affiliate of Pershing, a BNY Mellon company
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