IRI MARKETING SUMMIT NEW YORK HILTON MIDTOWN NEW YORK, NEW YORK MARCH 23-25, 2014
myIRIonline.org | 1 The most valuable commodity of all?
Expert management. Van Eck VIP GLOBaL HaRD aSSETS FunD Oil. Natural Gas. Gold. Copper. Iron. Timber. Commodities investing can be volatile. Prices often vary substantially from one day to the next. That’s why you should consider an established, actively managed fund that strategically invests in commodities-based companies for you.
To learn more about the Van Eck VIP Global Hard assets Fund, contact Susan Marino at 212.293.2094 or [email protected]. Investing involves risk, including possible loss of principal. The Fund is subject to risks associated with its investments in hard assets, real estate, precious metals, natural resources, and commodities; events related to these industries; and foreign investments, debt securities, derivatives, commodity-linked instruments, illiquid securities, asset-backed securities, and CMOs, as well as inflation risk, short sales risk, market risk, non-diversification risk, and leverage risk. The Fund is only available as an option under various insurance contracts issued by life insurance and annuity companies. These contracts offer life and tax benefits to the beneficial owners of the Fund. Your insurance or annuity company charges fees and expenses for these benefits. A review of your particular life and/or annuity contract will provide you with much greater detail regarding these costs and benefits. The Fund is not available directly to the general public. For more complete information on variable life/annuity products, including all charges and expenses, please obtain a prospectus from your licensed insurance agent/registered representative. An investor should consider the investment objective, risks, and charges and expenses of the investment company carefully before investing. The prospectus contains this and other information about the investment company. Please read the prospectus carefully before investing. For Financial Professional Use.
V an2 | IRI E ck SE MarketingcuRITIES c ORPOR Summita TIO n,2014 DISTRIB u TOR ■ 335 maDISOn aVEnuE ■ n E w yORk, ny 10017
56474_VEG_IRI_Feb14_AD.indd 1 2/7/14 12:11 PM Dear Colleague: Welcome to the IRI Marketing Summit 2014in the heart of New York City! We are delighted to have you join us as we examine current issues impacting the industry, explore the latest marketing and sales strategies, and learn how to strengthen your businesses. Only at this year’s IRI Marketing Summit will you find such a robust program, featuring: • Ken Schmidt, Former Communications Strategist for Harley-Davidson Motor Company, who will detail how to build a fanatically vocal customer base, create a passionately loyal corporate culture, and develop your own professional skills to inspire and motivate within your company. • Abby Joseph Cohen, Senior Investment Strategist and President, Global Markets Institute, Goldman Sachs, sharing her outlook on equities, corporate earnings and investment strategy. • An exploration on how to differentiate your business to achieve growth across key metrics and the pivotal role marketing plays in realizing your full market potential, led by Mitchell Caplan, Chief Executive Officer, Jefferson National. • Veteran financial industry analyst, Ron Insana, Senior Analyst, CNBC, as he provides clear analysis that bridges the gap between Capitol Hill and the Federal Reserve, explaining how their actions spill onto both Wall Street and Main Street and may affect the future of your business. • Cam Marston, President, Generational Insights, as he examines the sales and services biases of each of the four generations and gives simple, easy to execute ideas for how to best work with each and increase your sales. • Founding Editor, Fast Company and Best-selling Author William Taylor, demonstrating how to shake up the industry, transform your company and recharge yourself. We hope you enjoy your time with us at IRI’s Marketing Summit and that the event proves to be an informative experience. If you are in need of anything while you are here, please feel free to stop by the registration desk in the West Promenade. Sincerely,
Catherine J. Weatherford President and Chief Executive Officer Insured Retirement Institute (IRI) What if I outlive my money?
What if I can’t maintain my lifestyle?
What if I don’t see the other What Ifs coming?
Put your clients at ease with retirement solutions from AXA.
Help take some of the anxiety out of retirement planning for your clients, with AXA. With a broad selection of retirement solutions, AXA can help you break down clients’ goals into small, manageable steps. To help your clients take their next step, visit axa.com or call us at 888-AXA-INFO.
Advice | Retirement | Life Insurance
”AXA” is the brand name for the AXA Equitable Financial Services, LLC family of companies, including AXA Equitable Life Insurance Company (NY, NY), issuer of annuity and life insurance products. AXA Advisors, LLC offers securities (member FINRA, SIPC) and AXA Distributors, LLC distributes variable products. GE-91826 (2/14) G32818 TABLE OF CONTENTS Schedule at a Glance...... 1 Detailed Agenda ����������������������������������������������������������������������������������������������������������������� 5 General Session Speaker Biographies ����������������������������������������������������������������������������� 14 General Information ��������������������������������������������������������������������������������������������������������� 21 Hotel Floor Plan ����������������������������������������������������������������������������������������������������������������� 24 Premier Alliance Partners ������������������������������������������������������������������������������������������������� 25 Premier Summit Sponsors ����������������������������������������������������������������������������������������������� 26 Summit Sponsors ��������������������������������������������������������������������������������������������������������������� 27 Exhibit Hall Floor Plan ������������������������������������������������������������������������������������������������������� 28 Exhibitor Descriptions ������������������������������������������������������������������������������������������������������� 29 Marketing Summit Program Planning Committee ��������������������������������������������������������� 35 IRI Board of Directors ������������������������������������������������������������������������������������������������������� 36 IRI Staff ������������������������������������������������������������������������������������������������������������������������������� 37 Attendee List...... 38
Don’t miss a thing Download the IRI Marketing Summit App
myIRIonline.org | 5 MetLife is isproud proud to sponsor to sponsor “Disruptive Demographics: IRIThe MarketingChanging Face Summit of Retirement” 2014 featuring Joseph Coughlin, Director, MIT AgeLab. MetLife is pleased to be a leader in providing retirement income and accumulation solutions. Our success is based on our long history of social responsiblity, strong leadership, sound investments and innovative products and services.
CONTACT INFORMATION: MetLife Investors 5 Park Plaza, Suite 1900 Irvine, CA 92614
Please contact the MetLife Investors Sales Desk at 800-848-3854 for more information. www.metlifeinvestors.com
MetLife Investors USA Insurance Company; Irvine, CA 92614 and in New York only, First MetLife Investors Insurance Company; New York, NY 10166 (collectively and singly, MetLife Investors). All variable products are distributed by MetLife Investors Distribution Company; 5 Park Plaza, Suite 1900, Irvine, CA, 92614. All are MetLife companies. PEANUTS © 2013 Peanuts Worldwide
For Broker/Dealer Use Only. Not For Public Distribution. L0913340610[1213] SCHEDULE-AT-A-GLANCE Sunday, March 23 4:00 pm – 5:30 pm IRI Broker-Dealer Roundtable Clinton Suite (Open to Broker-Dealers Only) IRI Diversity Working Group Nassau Suite (By Invitation Only) 4:00 pm – 7:00 pm Registration West Promenade 5:30 pm – 6:00 pm First-Time Attendee and New Member Reception Grand Ballroom Foyer 6:00 pm – 7:00 pm Welcome Reception Grand Ballroom Foyer Monday, March 24 7:30 am – 6:30 pm Registration West Promenade 7:30 am – 9:00 am IRI Research Committee Meeting Clinton Suite (By Invitation Only) 8:00 am – 9:00 am Breakfast in the Exhibit Hall Grand Ballroom Foyer Sponsored by Pacific Life Insurance Company 9:00 am – 10:00 am Welcome Remarks Grand Ballroom Suite Speakers: Catherine J. Weatherford, President and Chief Executive Officer, Insured Retirement Institute Robert Moore, President, LPL Financial, Vice Chairman, IRI Board of Directors & Chairman, IRI Marketing Summit Planning Committee Michael Saliba, Managing Director, Strategic Alliances Group, BlackRock & Co-chair, IRI Marketing Summit Planning Committee Make Some Noise and Dominate Your Marketplace Grand Ballroom Suite Speaker: Ken Schmidt, Brand Visionary and Former Communications Strategist of Harley-Davidson Motor Company 10:00 am – 11:00 am 2014 Domestic and Global Economic Outlook: What it Means for the U.S. Financial Services Industry Grand Ballroom Suite Speaker: Abby Joseph Cohen, CFA, Senior Investment Strategists and President, Global Markets Institute Global Investment Research, Goldman Sachs
myIRIonline.org | 1 SCHEDULE-AT-A-GLANCE 11:00 am – 11:30 am Break in the Exhibit Hall Grand Ballroom Foyer Sponsored by Fidelity Investments 11:30 am – 12:30 pm Innovation and Growth in Challenging Markets Grand Ballroom Suite Speaker: Mitchell Caplan, Chief Executive Officer, Jefferson National 12:30 pm – 2:30 pm Marketing Innovation Award Luncheon Mercury Ballroom Sponsored by Jackson National Life Distributors 2:30 pm – 3:30 pm Breakout Sessions • Market Innovation: Product Development and Emerging Trends Sutton North • Washington Update Sutton South • Advisor Engagement: The Road Ahead Sutton Center 3:30 pm – 4:00 pm Break in the Exhibit Hall Grand Ballroom Foyer Sponsored by Pershing LLC 4:00 pm – 5:00 pm Politics, Policy and the Economy: What Issues on Capitol Hill Mean for Main Street and Wall Street Grand Ballroom Suite Speaker: Ron Insana, Senior Analyst, CNBC 5:00 pm – 6:30 pm Reception in the Exhibit Hall Grand Ballroom Foyer Sponsored by Schroder Investment Management Tuesday, March 25 7:30 am – 1:00 pm Registration West Promenade 7:30 am – 9:00 am IRI Retirement Income Committee Meeting Clinton Suite (By Invitation Only) IRI Public Relations Committee Meeting Gibson Suite (By Invitation Only) IRI Asset Managers Committee Meeting Nassau Suite (By Invitation Only) IRI Marketing Committee Meeting Murray Hill West (By Invitation Only) 8:00 am – 9:00 am Breakfast in the Exhibit Hall Sponsored by The Guardian Life Insurance Company of America Grand Ballroom Foyer 2 | IRI Marketing Summit 2014 SCHEDULE-AT-A-GLANCE 9:00 am – 9:45 am Generational Marketing: How to Thrive in a Dynamic Marketplace Grand Ballroom Suite Speaker: Cam Marston, President, Generational Insights 9:45 am – 10:00 am Break in the Exhibit Hall Grand Ballroom Foyer 10:00 am – 11:00 am Breakout Sessions • Investor Attitudes on Retirement Issues and Products Sutton North • Rising Health Care Costs: Planning with Annuities Sutton South • The Future of Advice Sutton Center 11:00 am – 11:30 am Break in the Exhibit Hall Grand Ballroom Foyer 11:30 am – 12:30 pm Reimagine your Business Grand Ballroom Suite Speaker: William Taylor, Founding Editor, Fast Company and Best-Selling Author, Practically Radical: Not- So-Crazy Ways to Transform Your Company, Shake Up Your Industry and Challenge Yourself Closing Remarks Grand Ballroom Suite Speaker: Michael Saliba, Managing Director, Strategic Alliances Group, BlackRock & Co-chair, IRI Marketing Summit Planning Committee 12:45 pm – 2:30 pm IRI Executive Committee Nassau Suite (By Invitation Only) 1:00 pm – 3:30 pm IRI Members Services Committee Clinton Suite (By Invitation Only) 2:30 pm – 5:30 pm IRI Board of Directors Regent Parlor (By Invitation Only)
myIRIonline.org | 3 IRI Marketing Innovation Award Winners
Insurer Category Nationwide Financial
Asset Managers Category Franklin Templeton Investments
Broker-Dealer Category Lincoln Financial Group Distributors
Individual Category Jac Herschler Prudential Financial DETAILED AGENDA Sunday, March 23 4:00 pm – 5:30 pm IRI Broker-Dealer Roundtable Clinton Suite (Open to Broker-Dealers Only) IRI Diversity Working Group Nassau Suite (By Invitation Only) 4:00 pm – 7:00 pm Registration West Promenade 5:30 pm – 6:00 pm First-Time Attendee and New Member Reception Grand Ballroom Foyer 6:00 pm – 7:00 pm Welcome Reception Grand Ballroom Foyer Monday, March 24 7:30 am – 6:30 pm Registration West Promenade 7:30 am – 9:00 am IRI Research Committee Meeting Clinton Suite (By Invitation Only) 8:00 am – 9:00 am Breakfast in the Exhibit Hall Grand Ballroom Foyer Sponsored by Pacific Life Insurance Company 9:00 am – 10:00 am Welcome Remarks Grand Ballroom Suite Speakers: Catherine J. Weatherford, President and Chief Executive Officer, Insured Retirement Institute Robert Moore, President, LPL Financial, Vice Chairman, IRI Board of Directors & Chairman, IRI Marketing Summit Planning Committee Michael Saliba, Managing Director, Strategic Alliances Group, BlackRock & Co-chair, IRI Marketing Summit Planning Committee Make Some Noise and Dominate Your Marketplace Grand Ballroom Suite Speaker: Ken Schmidt, Brand Visionary and Former Communications Strategist of Harley-Davidson Motor Company How do you understand and harness the basic drivers of human behavior to improve your business’ competitive edge in even the most difficult marketing environments? Join Ken Schmidt as he shares the story of one of the most celebrated turnarounds in corporate history. Using Harley-Davidson Motor Company as a model, learn how to build a fanatically vocal customer base, create a passionately loyal corporate culture, and develop your own professional skills to inspire and motivate within your company.
myIRIonline.org | 5 DETAILED AGENDA 10:00 am – 11:00 am 2014 Domestic and Global Economic Outlook: What it Means for the U.S. Financial Services Industry Grand Ballroom Suite Speaker: Abby Joseph Cohen, CFA, Senior Investment Strategists and President, Global Markets Institute Global Investment Research, Goldman Sachs As the economy continues to tick upwards, what forces will help sustain and restrain its growth? The financial crisis of the past has not been forgotten and the difficulty in leveraging lessons of market volatility must remain top of mind for industry leaders. Hear leading investment strategist Abby Joseph Cohen share her outlook on equities, corporate earnings and investment strategy. Learn what the market will bear, key themes and the short and long-term resolutions that may impact the market. 11:00 am – 11:30 am Break in the Exhibit Hall Grand Ballroom Foyer Sponsored by Fidelity Investments 11:30 am – 12:30 pm Innovation and Growth in Challenging Markets Grand Ballroom Suite Speaker: Mitchell Caplan, Chief Executive Officer, Jefferson National Challenging markets have necessitated that industry leaders rethink and reimagine not only their product offerings and approach to sales, but their entire business strategy. A dynamic marketplace offers a wide range of opportunities for leaders adept at innovation and change, providing a business climate that is prime for industry advancement. Hear from Mitch Caplan, current CEO of Jefferson National and former CEO and Director of E*Trade Financial on how to differentiate your business to achieve growth across key metrics and the pivotal role marketing plays in realizing your full market potential. 12:30 pm – 2:30 pm Marketing Innovation Award Luncheon Mercury Ballroom Sponsored by Jackson National Life Distributors
6 | IRI Marketing Summit 2014 DETAILED AGENDA 2:30 pm – 3:30 pm Breakout Sessions • Market Innovation: Product Development and Emerging Trends Sutton North Moderator: Pamela Aurbach, SVP, Institutional Sales, US, Eastspring Investments Panelists: Chip Castille, Head of Defined Contribution, BlackRock Dan Kruger, AVP, Product Development, Allianz Life Insurance Company Lauren Mitchell, Vice President, Annuity Solutions, LPL Financial Frank O’Connor, Product Manager, Annuity Solutions, Morningstar, Inc. Market volatility continues to place pressure on the retirement income industry to innovate and redefine the future of business. Gain expert insights on how organizations are assessing market capacity and learn about the new tools and products being developed to meet consumer demand. • Washington Update Sutton South Moderator: Lee Covington, Senior Vice President and General Counsel, Insured Retirement Institute Panelists: David Burns, Vice President, External Affairs, Prudential Financial Sean Cassidy, Vice President, Federal Affairs, ING Retirement Get the latest updates on regulatory and compliance initiatives at the federal and state levels. This session will include a discussion of potential tax code changes, an update on the fiduciary standard debate, the status of NARAB II, and more, and what the implications are for the insured retirement industry. Come away with practical and actionable steps on how to navigate public policy activities and understand the impact on your bottom line.
myIRIonline.org | 7 DETAILED AGENDA • Advisor Engagement: The Road Ahead Sutton Center Moderator: Mike Treske, Executive Vice President, Annuities and Investments, AIG Financial Distributors Panelists: Greg Pienkosz, Financial Advisor, Key Investment Services, Inc. Mark Cortazzo, Senior Partner, MARCO Consulting Group, LLC Leading advisors from all distribution channels share what products they are leveraging with their clients and what successes and challenges they face when talking with consumers. While not all challenges can be easily foreseen, this session will examine how the right strategies and solutions can help to effectively manage the multiple risks that arrive in a client’s life. 3:30 pm – 4:00 pm Break in the Exhibit Hall Grand Ballroom Foyer Sponsored by Pershing LLC 4:00 pm – 5:00 pm Politics, Policy and the Economy: What Issues on Capitol Hill Mean for Main Street and Wall Street Grand Ballroom Suite Speaker: Ron Insana, Senior Analyst, CNBC Debt and deficit issues, the unemployment picture and reigniting the global economic engine all have the White House, Congress and a frustrated public all focused on the continued uncertainty that faces the economy. Join veteran financial industry analyst, Ron Insana as he provides clear and coherent analysis that bridges the gap between Capitol Hill and the Federal Reserve, explaining how their actions spill onto both Wall Street and Main Street and may affect the future of your business. 5:00 pm – 6:30 pm Reception in the Exhibit Hall Grand Ballroom Foyer Sponsored by Schroder Investment Management Tuesday, March 25 7:30 am – 1:00 pm Registration West Promenade
8 | IRI Marketing Summit 2014 DETAILED AGENDA 7:30 am – 9:00 am IRI Retirement Income Committee Meeting Clinton Suite (By Invitation Only) IRI Public Relations Committee Meeting Gibson Suite (By Invitation Only) IRI Asset Managers Committee Meeting Nassau Suite (By Invitation Only) IRI Marketing Committee Meeting Murray Hill West (By Invitation Only) 8:00 am – 9:00 am Breakfast in the Exhibit Hall Grand Ballroom Foyer Sponsored by The Guardian Life Insurance Company of America 9:00 am – 9:45 am Generational Marketing: How to Thrive in a Dynamic Marketplace Grand Ballroom Suite Speaker: Cam Marston, President, Generational Insights Everyone likes the same type of sales style and the same type of service…right? Nothing could be further from the truth. Each generation, with their unique values, defines a quality sales or service experience in their own unique way. Join Cam Marston as he explores the sales and services biases of each of the four generations and gives simple, easy to execute ideas for how to best work with each and increase your sales. 9:45 am – 10:00 am Break in the Exhibit Hall Grand Ballroom Foyer 10:00 am – 11:00 am Breakout Sessions • Investor Attitudes on Retirement Issues and Products Sutton North Moderator: Fred Gabriel, Editor, Investment News Panelists: Matthew Housel, Retirement Marketing, Franklin Templeton Investments Katherine Roy, Executive Director, J.P. Morgan Assessment Management, Individual Retirement Examine new research from Investment News and the Insured Retirement Institute exploring the investor relationship with advisors and what investors are looking for from their advisor, the industry and retirement income products overall. Gain expert perspectives on how to grow your relevancy with investors.
myIRIonline.org | 9 DETAILED AGENDA • Rising Health Care Costs: Planning with Annuities Sutton South Moderator: Simeon Hernandez, Senior Vice President, National Sales Manager, Forethought Financial Group Panelists: Zahira Y. Lehri, Vice President, Financial Advisor, SunTrust Investment Services, Inc. Aron Martz, CFA, Financial Advisor, Vice President, U.S. Bancorp Investments, Inc. Health care costs are one of the greatest concerns for Boomers as they enter retirement, and it is also one of the largest threats to Americans’ overall retirement income security. IRI research has found that 63 percent of Boomers lack confidence that they will have enough money for medical expenses they incur during retirement. With millions of Americans nearing retirement, preparing for future health care costs is fast becoming a key consideration for successful retirement income planning. Hear from leading producers, distributors and advisors working to protect consumers from this growing reality. • The Future of Advice Sutton Center S p e a k e r s : Rodney Allain, Vice President, National Sales, Prudential Annuities Bob Borget, Vice President, Marketing, Jefferson National Sheila Dunphy, Assistant Vice President, Research, LPL Financial Jamie Hopkins, JD, Assistant Professor of Taxation, The American College As the market rebounds, consumers and business leaders are thinking more seriously about the future. Where do consumers turn for the latest information on savings and planning for the future? The internet and face-to-face interactions remain the main avenues for consumers to educate themselves, but new methods of interaction are gaining traction. Learn how these experiences can be maximized to help ensure consumers are leveraging your resources. 11:00 am – 11:30 am Break in the Exhibit Hall Grand Ballroom Foyer
10 | IRI Marketing Summit 2014 DETAILED AGENDA 11:30 am – 12:30 pm Reimagine Your Business Grand Ballroom Suite Speaker: William Taylor, Founding Editor, Fast Company and Best-selling Author, Practically Radical: Not- So-Crazy Ways to Transform Your Company, Shake Up Your Industry, and Challenge Yourself In an era of hyper-competition and nonstop reinvention, the only way to stand out from the crowd is to stand for something special. You can’t do big things anymore if you are content with doing things a little better than everybody else or a little different from how you did them in the past. In any field, winning organizations don’t just offer competent products and services, they stand for important ideas. Join Bill Taylor as he demonstrates how to shake up the industry, transform your company and recharge yourself. Closing Remarks Grand Ballroom Suite Speaker: Michael Saliba, Managing Director, Strategic Alliances Group, BlackRock & Co-chair, IRI Marketing Summit Planning Committee 12:45 pm – 2:30 pm IRI Executive Committee Nassau Suite (By Invitation Only) 1:00 pm – 3:30 pm IRI Members Services Committee Clinton Suite (By Invitation Only) 2:30 pm – 5:30 pm IRI Board of Directors Regent Parlor (By Invitation Only)
myIRIonline.org | 11 B:5.75” T:5.5” S:4.5”
Financial advisors:WE know that growth requires tools and
expertise to REINFORCE your competitive edge. Our
industry-leading resources letYOUR practice reach new heights,
building a framework for SUCCESS and long-term growth.
B:8.75” S:7.5” For more information, visit JoinLPL.com T:8.5”
Independent RIA Financial Institutions Insurance Retirement Plans
A Registered Investment Advisor, Member FINRA/SIPC
12 | IRI Marketing Summit 2014
1808-50447_Advisor_Today_IRIsponsor_AD_R01a.indd 1 9/4/13 2:24 PM
Scale 1” = 1” Last Saved By: Aaron Swavey
Job #: 1808-49885 Trim Size: 5.5” x 8.5” 5.5” x 8.5” Studio Artist: Lexie Fiser
Size: 1 Version: 1 Bleed Size: 5.75” x 8.75” 5.75” x 8.75” Art Director: Client
Publications: Vision IRI annual meeting sponsor Live Area: 4.5” x 7.5” 4.5” x 7.5” Print Production: Francine Garcia ad due x/x insert ? Built @ 100% Output @ None Color: 4C IO#? Pantone Colors:
Links: LPL_Logo_white.ai (28.89%) Instituhe Insute (IRI)red todRetiay rementissued DepaIRIthedeliWe a Pvftheolleresidenttmentredorwingf orcommentsd standaoftaement fCEOter Lt oaboC f arthetomIRIhr’ys ofrstAegadministra tementsrPdingroposeda itstion A d tvoRulemaanced p (EBSA)Nrokoticevideing, liTsuchlanhefetimes . “Wrulease income 401(k)wouldar eillustr and app a403(b)highltiony tlsoy. illustrpplansuppotheroviding p rarfeorttionsv ailing rtheetili fwetime r emenneedouldconcept tst.pincome rongGio videvenofly Pf(IRI)Insupollaresidentrticipo rwingedat ntsRod etista andawyrt ementithement issuedaCEO bet Instituf rt omerCa Tthe tIRIhehtey ofrADepaegadministr rPrdingtmentroposeda itstion A d vofRulemaanced L (EBSA)Nabokoticeinrg’s, suchTlisthefaetimet ements ruleas income 401(k) wouldt oillustrand app pa403(b)rltionoyvide tso. Ameriinitisuppolans.a“tiWcrvantieesv se ’ understandingofat ore edu enhancecahightional ofly pftheirorre vailingr retietirremenement needt. staGiovings vimpen randotheve psuppoincomeedurovidingcationrt need theliaboutfse ,time wconcepte stliincomefretimeong ofly pillustrarticipationsants witwonmentould h pas ar. ticipantprbetTohesevideter gogenermuchunderst a long ataedndingincome wfraomy tow asaboarvindcuan thelping gs handobew paillustrrticipantsations tliofetime beginmay incomesavingspur rmoetirreemen and thelp. themWe tothank plan iBoAmssistantprzior ftantor her S issecleadershipruetae. ryW e Po hnlyllis thiooks afonryw adetrd atilso waso rthkingey pwuitrshu ehe ar athedditim otnoa lc ontinue troegul exapltorey gamsuaeas rawunellrteseed toa insli cfretitheeasem e a usecincesscom toofe, tRstroetidaatryegiee missents.u”Ted he Instit the uftoeInsll owu(IRIrinegd) astfndatert e mCEOsaentvings Cfar toahmndy IRItWoe helpaPthereside trhfoenrmdt iGimvpenro vthee pedreuvcailingation needabou tot ostlifreti onprmgolvidiey sinunppgco meliofretit themneede cinosn,com cepwet illustrations wonou ldpa rtiprcoipvidanet pcouanderstamrticipmentsantsnding to thew ithaIRI D ep adelia rtmenbetverteedtr PrSegerocapuroridingsedty A itsdmiRu Alednvmistranakaceditinog N,n oti (wEBSchie cAohf) instacotemmeents illu strto aptiroonvides. T helifetim rule high401(k)contributily saundppon 403(o rtiplvbean) o lsfan ,edu ss.“ucWachteiona aaresl Cut the clutter. runinetiitiderstraetimvesentan tdingo s enavings hanc eofa ndA m terio theichelanpsr’ Keep current with what matters most. Minus the sifting. retirement. Given the incomeeduprevcailingation need needabouts, wto e implistfretimeonrogvley wstwitouldathe ma e nbetptrso.t videTerh eseu n derstpaillustrrticanipaatiodinnntgs geaba nolonutera ght oedw a fmryo ucmtho sw iancviarondmgs eh a elpicnand ngbgoe ipapnr orpviditiciparoperngn perspets liputfeti cmtheirtivee . Asisnca visounmcghes, hpaillustrorwticipa amtiuoncnstsh toinc begiommaney i ncga anb spuobuetr gepaa nrlticipaoneragt edwnts afry o putmto sw atheirviarndgs hs aaelpinvidn ngggos ipmnr oprvidireo peranngd liperspe fhetimeelp cthti inemvcoe. mAtos s asplviucnahng, We thank Assistant Secretary oPnh yllisthis Bo imprzi foorrta hnert leissuaderse. hWipe hloerok a fnodr wtha rhd elpto wthoremki ntgo wplaitnh PWheyllis tha Bonkr zAi ssistfor hanert leSaederscretahripy loono kt hfoisr wimpardo trota wntor issukinge .w Withe out any details as they pursue a additithem ontoal c ontinue rtegulo explatorey tmeasuo, as wresell asto theinc userease of eaccess EBSA exncploouragere additi themon alto croegulntinuateo troy tmeasuo, as reswell to asinc rtheease use access of, strguaranategieteeds.”T helifetime Insuincomered tRodetiaryement issued Instituthe ftolle owing(IRI) andstat ementCEO C afrtomhy IRIWe aPtheresidentrford taoft theer IRI Depa delirvtmentered comments of Labor’s Administration (EBSA) ofrega rPdingroposed its A dvRulemaanced Nkoticeing, statements to provide Tlihefetime rule income would illustr appaltiony tso. lansuchs. “Wase 401(k)ar e and 403(b)highly initisuppoatirvtiesve oft o eduenhancecational Ameritheir rcetianrsement’ derstanding savings andof for retirement. Given the eduprevcailingation needabout to implifetimerove suppoincomert needthes , wconcepte strong ofly illustrprovidingations li fonetime pa rticipantincome paillustrrticipantsations withwould a pbetrovideter IRI Retirement Income Smamuchunderstanding incomertB r aboutiecanf hobew Sign up for free industry updates at SmartBrief.com/iri_fa gogener a longated w afryom tow saarvingsd helping and inpa rticipantsproper putperspe theircti svaevings. As incomesuch, illustrprovidingations mliafyetime spur moparrticipantse and help to thembegin tsoa planving retirement. We thank BoAssistantrzi for herSec rleadershipetary Phyllis on thisforw impoard trotant wor issukinge .with We look her out any details as they pursue additionalthem to continue rtegulo exploatorey tmeasuo, as reswell to asinc rtheease use access of, strguaranategieteeds.T helif etime Insuincomered tRodetiaryement issued Instituthe ftolle owing(IRI) andstat ementCEO C afrtomhy IRIWe aPtheresidentrford atoft theer IRI Depa delirvtmentered comments of Labor’s Administration (EBSA) GENERAL SESSION SPEAKER BIOGRAPHIES Mitchell Caplan Chief Executive Officer Jefferson National Financial Mitchell Caplan has more than 25 years of experience in the financial services industry, running both public and private companies. As CEO of Jefferson National Financial, Mr. Caplan is focused on developing the strategic direction of the business and driving execution. He joined Jefferson National in 2009 after serving as an Executive Advisor to Aquiline Capital Partners, a private equity firm specializing in the financial services. Previously, Mr. Caplan was CEO and Director of E*Trade Financial from 2003-2007. Prior to becoming CEO, Mr. Caplan served as President, COO and Chief Banking Officer of E*Trade. Under his leadership, E*Trade reported four consecutive years of record revenues (a 130 percent increase from $1.3 to $3.0 billion), operating margin improvements from 20 percent to 46 percent, and record earnings from losses to over $1.0 billion, for the period from 2003 through 2006. Mr. Caplan served as Vice Chairman, President and CEO of Telebanc Financial Corporation from 1990 until its merger with E*Trade in 2000. Prior to Telebank, Mr. Caplan was an associate of the law firm of Shearman & Sterling. Mr. Caplan holds a JD and MBA from Emory University and an AB in History from Brandeis University.
Abby Joseph Cohen Global Investment Research, New York Goldman Sachs Ms. Abby Joseph Cohen is president of the Global Markets Institute and senior investment strategist. She serves on the firm’s US Retirement Investment Committee and has served on the Partnership Committee. Ms. Cohen joined Goldman Sachs in 1990 and was named partner in 1998. Prior to joining the firm, Ms. Cohen specialized in quantitative strategy and economics at other major financial firms. She began her career as an economist at the Federal Reserve Board in Washington, DC. Ms. Cohen’s outside activities focus on education and public policy. She serves on the White House-appointed Innovation Advisory Board for economic competitiveness. Ms. Cohen is the chair of the Board of Trustees of the Jewish Theological Seminary. She serves as a presidential councillor at Cornell University and on the boards of the Weill Cornell Medical College, the Brookings Institution and The Economic Club of New York. She is an advisor to the investment committees of Cornell University and Major League Baseball. Ms. Cohen is on the national board of the Smithsonian Institution and is a member of the Council on Foreign Relations. Ms. Cohen earned degrees in economics from Cornell University and The George Washington University. She has received three honorary doctorates, including one in engineering. Ms. Cohen has been recognized as a leader in US portfolio strategy for two decades and was previously ranked No. 1 by Institutional Investor magazine and Greenwich Associates. Her career is the subject of a Harvard Business School case study and a BusinessWeek cover story.
14 | IRI Marketing Summit 2014 GENERAL SESSION SPEAKER BIOGRAPHIES Ron Insana Senior Analyst CNBC Ron Insana is a CNBC Senior Analyst and Commentator, giving his perspectives on the world’s most important business and economic stories. Previously, Mr. Insana was a managing director at SAC Capital Advisers, an $11 billion hedge fund, run by Steven A. Cohen. Prior to joining SAC, Mr. Insana was the President and CEO of Insana Capital Partners, where he managed the $120 million Insana Capital Partners Legends Fund. He was named one of the top 100 business journalists of the 20th Century, by the TJFR Group, has written for USA Today, Money magazine, hosted a nationally syndicated radio show and has written four books about Wall Street and the financial markets. Mr. Insana joined CNBC in 1991 as a regular contributor to various television and radio programs produced by CNBC and its affiliates and left CNBC in 2008. Before moving to CNBC in 1991, Insana worked as Managing Editor and Senior Anchor for the Financial News Network, where he began his career in 1984 as a production assistant. Mr. Insana is the author of Traders’ Tales (1997), The Message of the Markets (2000), Trend Watching (2002) and How to Make a Fortune from the Biggest Bailout in U.S. History: A Guide to the 7 Greatest Bargains from Main Street to Wall Street (Winter 2009). He is also host of the radio show, Market Score Board Report.
He graduated with honors from CaliforniaT:5.5 State in University at Northridge. S:5 in date
initial Enough- Help address your client’s fear that they ophobia: won’t have enough for health care in retirement. T:4.25 in S:4 in Kathryn Mof tt Shannon Bullock Petty Carolyn Katy Clove
To download a sample assessment, visit nationwide.com/HealthCare l 1-877-245-0763 Producer:
Art Director: Please remember, no product, rider, service or strategy is suitable for all clients. Carefully consider the client’s needs, objectives, risk Project Leader: Project
Premedia Artist: Premedia tolerance and overall suitability before recommending any product, rider or service, or implementing any strategy. Riders are available at an additional cost and may not be available in all states. The information collected on the Personal Health Care Cost Assessment will be kept confi dential and used to provide an estimate of a client’s potential health care costs in retirement. The estimate is based on a client’s specifi c fi nancial situation and goals, as well as their current overall health condition. The client’s fi nancial situation and health
conditions may change over time and this may a ect their future health care charges. Please keep in mind that the estimates resulting approvals from this fact fi nder are for hypothetical purposes only and are not guaranteed. Nationwide Investment Services Corporation, member FINRA. In MI only: Nationwide Investment Svcs. Corporation. Nationwide, Nationwide Financial and the Nationwide framemark are service marks of Nationwide Mutual Insurance Company. Let’s Face It Together is a service mark of Nationwide Life Insurance Company. © 2014 Nationwide Financial Services, Inc. All rights reserved. NFV-0812AO (2/14)
nwf16106PM_5.5x4.25_Enough_IRI February 6, 2014 4:11 PM
Job: NWF16106 Publication: IRI 1/2 Page Ad Client: Nationwide Financial First Insertion: TBD Headline: “Enough-ophobia” Closing: 2/5/14 Media Type / Premedia: Katy Clove, 919.313.4157, Substrate [email protected] Trim: 5.5” x 4.25” Producer: Carolyn Petty, 919.313.4159, Live: 5” x 4” [email protected] Bleed:
16 | IRI Marketing Summit 2014 GENERAL SESSION SPEAKER BIOGRAPHIES Robert J. Moore President LPL Financial Robert Moore serves as President of LPL Financial and leads the Advisor and Institution Solutions business unit. After joining the company in 2008 as CFO, he transitioned to the role of President in 2012 to lead key areas of the company focused on business development, existing advisor growth and enhancing client satisfaction. Prior to LPL Financial, Mr. Moore served as Chief Executive Officer and Chief Financial Officer at ABN AMRO North America and LaSalle Bank Corporation, and Diageo PLC, Europe and Great Britain, in a number of finance management positions, ultimately serving as Chief Financial Officer. Mr. Moore is the Vice Chairman of the Insured Retirement Institute (IRI) board of directors, a member of the board of the Securities Industry and Financial Markets Association (SIFMA), and a member of the Financial Services Roundtable. He is also on the University of Texas at Austin Development Board and is an independent director of Legal & General Investment Management America Co. Mr. Moore has a Bachelor of Business Administration in finance from the University of Texas at Austin and a Master of Management in finance, marketing, and international business from Northwestern University. He is FINRA Series 7, 24, and 27 registered through LPL Financial and holds the Chartered Financial Analyst (CFA) designation.
Michael G. Saliba Managing Director, Strategic Alliances Group BlackRock Mr. Saliba is Head of Sales for BlackRock’s North America Financial Institutions Group (FIG), as well as a member of the US Retail Executive Committee. Mr. Saliba’s service with the firm dates back to 1998, including his years with Merrill Lynch Investment Managers (MLIM), which merged with BlackRock in 2006. At MLIM, he served as co-head of the MLIM Strategic Alliances Group. Prior to joining MLIM, Mr. Saliba served as Vice President of Alternative Distribution at Jurika & Voyles, where he was responsible for sub-advisory and institutional mutual fund business development. Previously, Mr. Saliba served as a Vice President in the Institutional Funds Group at AMR Investment Service, Inc. from 1995 to 1996. Mr. Saliba began his career as a marketing representative for Federated Investors in 1992. Mr. Saliba earned a BA in economics and political science from the University of Pittsburgh in 1991.
myIRIonline.org | 17 GENERAL SESSION SPEAKER BIOGRAPHIES Ken Schmidt Brand Visionary and Former Communications Strategist for Harley-Davidson Motor Company One of the most in-demand speakers and communications consultants in America, Ken Schmidt has lived a life that most can only dream about. As the former director of communications for Harley-Davidson Motor Company, he played an active role in one of the most celebrated turnarounds in corporate history - and got paid to ride motorcycles. The longtime motorcycle enthusiast’s formal association with Harley-Davidson began in 1985. As a specialist in corporate positioning and media relations, he was asked to work with the then-struggling Harley-Davidson to help restore the company’s image and create demand for its motorcycles. Within a few short years, Harley-Davidson became one of the most visible and frequently reported- on companies in the world, while sales of its motorcycles rocketed upward. In 1990, Mr. Schmidt became director of Harley-Davidson’s corporate and financial communications, and served as its primary spokesperson to the media and the financial communities. He appeared numerous times on network news programs and was frequently called upon by business media to share his insights on non-traditional communications and customer relations. Speaking engagements around the world soon followed. In 1997, Mr. Schmidt left Harley-Davidson to take an ownership position with a highly successful Chicago-based marketing firm, VSA Partners. In addition to Harley-Davidson, VSA serves many other of the world’s best-known brands, including General Motors, Coca-Cola, IBM and Campbell’s Soup. In July 1999, he sold his portion of VSA to start his own business, Ken Schmidt Company, and slow down the pace of his life. Today, Mr. Schmidt shares his expertise with many of America’s leading brands, but happily states that he is “semi-retired,” which allows him to pursue his other passions. He calls working with the grandson of one of Harley-Davidson’s founders to create the book 100 Years of Harley-Davidson one of the greatest highs in his lifetime. After all he has accomplished, his philosophy of life and business hasn’t changed: “Never do what’s expected, make yourself as noticeably different as possible, and have a lot more fun than you’re supposed to.”
18 | IRI Marketing Summit 2014 GENERAL SESSION SPEAKER BIOGRAPHIES William Taylor Founding Editor of Fast Company Bill Taylor is a writer, speaker and entrepreneur who has shaped the global conversation about the best ways to compete, innovate and succeed. As a cofounder and founding editor of Fast Company, Mr. Taylor launched a magazine that won countless awards and earned a passionate following among executives and entrepreneurs around the world. His previous book, Mavericks at Work: Why the Most Original Minds in Business Win, was a New York Times and Wall Street Journal bestseller, and was named a “Business Book of the Year” by The Economist and the Financial Times. Mr. Taylor’s book, Practically Radical, was published January 2011 by William Morrow, an imprint of HarperCollins Publishers. Best-selling author Daniel H. Pink calls Practically Radical “the most powerful and instructive change manual you’ll ever read.” Anne Mulcahy, former chairman and CEO of Xerox, calls it “a handbook for successful transformation and a great tutorial for implementing your change agenda.” Arianna Huffington says: “The ideas are fresh, the advice is stuff you can actually use, and the results will be tangible.” Mr. Taylor wrote a regular business column (“Under New Management”) for the New York Times as well as a monthly column for London’s Guardian newspaper. He now writes a popular management blog for Harvard Business Review. A graduate of Princeton University and the MIT Sloan School of Management, Mr. Taylor lives in Wellesley, Massachusetts with his wife and two daughters.
AIG proudly supports the IRI in its VISION to educate and advocate for retirement savings and income solutions for all Americans.
With a history dating back more than 90 years, AIG companies are firmly committed to helping Americans achieve financial and retirement security through investments, insurance and lifetime income solutions. Find out more at www.aig.com
Bring on tomorrow
Products and services are provided by subsidiaries of American International Group, Inc. Not all products and services are available in every jurisdiction, and insurance coverage is governed by actual policy language. The licensed insurance companies underwriting the products are responsible for their own contractual obligations.
M-5338-AD.1.v4.indd 2 3/12/14 6:09 PM GENERAL SESSION SPEAKER BIOGRAPHIES Catherine J. Weatherford President and Chief Executive Officer Insured Retirement Institute Catherine Weatherford is the President and Chief Executive Officer of the Insured Retirement Institute (IRI), the leading not-for profit organization educating Americans about the importance of retirement planning, including the growth, acceptance, and understanding of annuity and variable life products. She led the association through an extensive and successful rebranding, bringing in more than 150,000 financial advisors as members. As a result of her leadership and accomplishments, Ms. Weatherford was selected as one of the nation’s top association executives for 2010, joining the ranks of 20 elite leaders selected from hundreds of candidates. She is a member of the U.S. Chamber’s Committee of 100, as well as the Exchequer Club, the pre-eminent forum in Washington, D.C., for national economic and financial policy. Prior to joining IRI, Ms. Weatherford served for 12 years as Chief Executive Officer of the National Association of Insurance Commissioners. She was also the first woman to serve as Oklahoma’s Insurance Commissioner – a position she held from 1991 to 1995, after serving as a senior policy advisor to Oklahoma Governor David Walters. She began her career at the Oklahoma Insurance Department, serving in several capacities in her 13-year tenure. She served on the National Insurance Producer Registry Board of Directors for nine years and the American Society of Association Executives Board of Directors for four years. She is a graduate of the University of Central Oklahoma with a B.A. in political science.
In Intoday’s today’sIn today’s markets, markets, markets, risk risk andrisk and and volatilityvolatilityvolatility make make make the the headlines. the headlines. headlines.
But Butbehind behindBut thebehind theheadlines, headlines,the headlines, we we we DiscoverDiscoverDiscover more more more seekseek to fiseek tond fi opportunitiesndto fiopportunities nd opportunities with with with of ourof ourNewof New our Ways New Ways Ways our ourproactive proactiveour proactive approach approach approach and and and of Thinking.of Thinking.of Thinking. commitmentcommitmentcommitment to fundamental to fundamental to fundamental research.research.research. Putnam.com/advisorPutnam.com/advisorPutnam.com/advisor
PutnamPutnam isPutnam proud is proud tois proudsponsor to sponsor to thesponsor the the IRI MarketingIRI MarketingIRI Marketing Summit. Summit. Summit. PutnamPutnam RetailPutnam RetailManagement Management Retail Management GENERAL INFORMATION Accessibility for Attendees With Disabilities IRI Staff will work with attendees to provide reasonable accommodations for those with special needs. To request assistance onsite, please visit the IRI Registration Desk in the West Promenade. Anti-Trust Policy and Caution As members of a trade association, each person attending this function must be mindful of the constraints imposed by federal and state anti-trust laws. The people here today represent companies that are in direct competition with one another. IRI’s purpose is to provide a forum for the free exchange of ideas on the designated topics. It is not the purpose of this meeting to reach any agreement that could have anti- competitive effects. Individuals must keep in mind that a violation of the anti-trust laws may subject them to substantial fines – or worse. You can avoid problems by following these simple guidelines: • Stick to the published agenda. • Be cautious about discussions involving pricing, premiums, benefits to be offered or terminated, and who should or should not be covered. The Justice Department views these types of discussions with concern and suspicion. Never take a poll of participants’ positions or make a collective agreement on these issues. • Always retain your right to make an independent judgment on behalf of your company. IRI is dedicated to assisting each of its members in achieving their competitive potential. Attendee-Organized Events Please note that IRI’s long-standing policy states that no attendee-organized events may be held during any scheduled meeting event, including general and elective sessions, receptions, and organized networking activities. With respect to events scheduled during non-conference hours, please notify IRI’s Meetings & Conferences Department of your event via email to [email protected]. Please note that your event may only take place at the event hotel if you are a registered sponsor for the meeting. Thank you in advance for your continued compliance with this policy. Badges Badges should be worn at all official functions to allow access to general sessions, receptions, and the exhibit hall. If you misplace your badge, please visit the IRI Registration Desk for a replacement. Cameras, Recording Devices, and Cell Phones Please refrain from using cameras, recorders, and/or cell phones in the sessions or exhibits. Personal photography is allowed at social functions. Please note that an official IRI photographer will be taking photographs of attendees and speakers for future use in IRI publications and on the IRI website.
myIRIonline.org | 21 GENERAL INFORMATION Committee Meetings Sunday, March 23 4:00 pm – 5:30 pm IRI Broker-Dealer Roundtable Clinton Suite (Open to Broker-Dealers Only) IRI Diversity Working Group Nassau Suite (By Invitation Only) Monday, March 24 7:30 am – 9:00 am IRI Research Committee Meeting Clinton Suite (By Invitation Only) Tuesday, March 25 7:30 am – 9:00 am IRI Retirement Income Committee Meeting Clinton Suite (By Invitation Only) IRI Asset Managers Committee Meeting Nassau Suite (By Invitation Only) IRI Public Relations Committee Meeting Gibson Suite (By Invitation Only) IRI Marketing Committee Meeting Murray Hill West (By Invitation Only) 12:45 pm – 2:30 pm IRI Executive Committee Nassau Suite (By Invitation Only) 1:00 pm – 3:30 pm IRI Members Services Committee Clinton Suite (By Invitation Only) 2:30 pm – 5:30 pm IRI Board of Directors Regent Parlor (By Invitation Only) Conference Attire The preferred dress for all sessions is business attire. Contact To contact a member of the IRI staff while onsite, please visit the Registration Desk in the West Promenade. Emergency Procedures In case of a fire or medical emergency at the hotel, please notify Security on any house phone by dialing “66” or notify an IRI staff member near Registration. Please provide information about location and nature of emergency. The hotel has 24-hour security personnel available at extension 5747.
22 | IRI Marketing Summit 2014 GENERAL INFORMATION Coat and Baggage Check New York Hilton Midtown Attendees may check their coats, bags or packages at the Hilton concierge for a nominal fee. Exhibit Hall Hours Sunday, March 23...... 5:30 pm – 7:30 pm Monday, March 24...... 8:00 am – 6:30 pm Tuesday, March 25...... 8:00 am – 12:30 pm Lost and Found Lost and Found will be located at the IRI Registration Desk in the West Promenade. At the conclusion of the conference, items not claimed will be turned over to Lost and Found at the New York Hilton Midtown. Meal Functions Breakfast and breaks will be served in the exhibit hall, unless otherwise specified in the agenda. Mobile App The latest IRI Marketing Summit 2014 information is available right on your mobile device. To learn more and download the app, visit the Apple App Store or Google Play. Press Room Media attending the conference have access to an exclusive; Wi-Fi enabled press room in Gibson Suite. Those interested in accessing the press room should contact Andrew Simonelli at (202) 577-6463 or [email protected]. Registration Hours West Promenade Sunday, March 23...... 4:00 pm – 7:30 pm Monday, March 24...... 7:30 am – 6:30 pm Tuesday, March 25...... 7:30 am – 12:30 pm Session Presentations Presentations from the IRI Marketing Summit will be available on the IRI Conference web page by April 4, 2014. Future IRI Conferences IRI Ops & Tech 2014 Vision: IRI Annual Meeting 2014 May 19-21, 2014 September 28 – 30, 2014 Gaylord Palms Resort & Colonial Williamsburg Resort Convention Center Williamsburg, VA Kissimmee, FL IRI Government, Legal & Regulatory IRI Marketing Summit 2015 Conference 2014 March 25-27, 2015 June 29 – July 1, 2014 Gaylord National Resort & JW Marriott Washington Convention Center Washington, DC Fort Washington, MD
myIRIonline.org | 23 HOTEL FLOOR PLAN
Committee Meeting Rooms Break-OutBreak-Out R ooRoomsms Clinton Suite Clinton Suite Sutton North Gibson Suite Gibson Suite Sutton Center MurrayMurra yHill Hill WestWest Sutton South NassauNassau Suite Suite RegentReg Parlorent
Registration ExhibitExh Hallibit Hall GeneralGenera l SessionSession LuLuncheonncheon West Promenade Grand Ballroom West Promenade Grand GBallroomrand Ballro oFoyerm Foyer Grand Ballroom MercuryMercury BBallroomallroom
24 | IRI Marketing Summit 2014 PREMIER ALLIANCE PARTNERS IRI would thank the following organizations for their generous support and participation in our Premier Alliance Program: PLATINUM LEVEL
GOLD LEVEL
SILVER LEVEL
myIRIonline.org | 25 PREMIER SUMMIT SPONSORS IRI would like to thank the following organizations for their generous support of this year’s Summit. CHAIRMAN LEVEL
PRESIDENT LEVEL
DIRECTOR LEVEL ATHENE ANNUITY
26 | IRI Marketing Summit 2014 SUMMIT SPONSORS IRI would like to thank the following organizations for their support of this year’s Summit.
ATHENE ANNUITY
myIRIonline.org | 27 EXHIBIT HALL FLOOR PLAN
Allego, Inc...... 403
Beacon Research...... 300
Broadridge Financial Solutions, Inc...... 500
Cerulli Associates...... 401
Communication Intelligence Corp. (CIC)...... 101
EarthIntegrate...... 303
EbixExchange...... 100
Meridian IQ ...... 103
Putnam Investments...... 305
Retirement Income Certified Professional™ (RICP ™) ...... 302
SourceMedia...... 203
Virtus Investments ...... 205
WealthManagement.com...... 402
*The IRI Booth is located next to Registration.
28 | IRI Marketing Summit 2014 EXHIBITOR DESCRIPTIONS IRI would like to thank the following exhibitors for their participation and support in this year’s Summit. Allego, Inc. Booth 403 Address: 35 Highland Circle, Suite 305, Neeham, MA 02494 Contact: Melyssa Plunkett-Gomez, Business Development Phone: (508) 280-6967 Email: [email protected] http://www.allego.com/ Using iPads and Video to Capture and Share Your Sales Teams Best Ideas • Save time and money with remote video coaching • Sharpen top performers with video practice • Deliver corporate messages consistently • Retain and leverage your fast‐moving, peer‐generated knowledge Most distributed sales teams face the same key issues – there is not enough time to interact with individual sales people and share best practices fast. Allego changes that by allowing managers to be in two places at once and share best ideas faster. See why forward-thinking companies are using Allego’s iPad and Web apps to maximize their valuable fast-moving content and best ideas. Beacon Research Booth 300 Address: 1434 Crain St., Evanston, IL 60202 Contact: Chad Parks, Director of Sales Phone: (800) 720-3504 Email: [email protected] www.beaconresearch.net Beacon Research tracks fixed, indexed and variable annuity sales, rates and features, and provides web-based systems at www. annuitynexus.com for distributors and insurance companies. Beacon also licenses information and software tools to other platforms. Beacon’s fixed annuity benchmark series-the industry’s first- is available through Ibbotson Associates. Directly and through strategic alliances with organizations such as CANNEX and EBIX, Beacon information can be accessed by hundreds of financial institutions and other distributors, as well as thousands of advisors and agents.
myIRIonline.org | 29 EXHIBITOR DESCRIPTIONS Broadridge Financial Solutions, Inc. Booth 500 Address: 200 Brickstone Square, Suite 504, Andover, MA 01810 Contact: Len Driscoll, Vice President Phone: (978) 247-7296 Email: [email protected] www.broadridge.com Broadridge Financial Solutions, Inc., (NYSE:BR) is the leading provider of investor communications and technology-driven solutions for broker-dealers, banks, insurance companies, mutual funds, and corporate issuers globally. Broadridge’s investor communications, securities processing and operations outsourcing solutions help clients reduce their capital investments in operations infrastructure, allowing them to increase their focus on core business activities. With 50 years of experience, Broadridge’s infrastructure underpins proxy voting services for over 90 percent of public companies and mutual funds in North America, and processes more than $4.5 trillion in fixed income and equity trades per day. Broadridge employs approximately 6,200 full-time associates in 13 countries. For more information about Broadridge, please visit www.broadridge.com Cerulli Associates Booth: 401 Address: 699 Boylston Street, Boston, Massachusetts 02116 Contact: Account Management Phone: (617) 437-0084 Email: [email protected] http:// www.cerulli.com Founded in 1992, Cerulli Associates specializes in worldwide asset management and distribution analytics. Headquartered in Boston, Cerulli also has offices in London and Singapore. Cerulli Associates blends original research and data analysis to bring perspective to current market conditions and forecasts for future developments. Via a suite of research publications and an interactive data platform, we provide financial services firms with guidance in strategic positioning and new business development. Our U.S. practices covers manufacturing and distribution issues across core areas including managed accounts, intermediary, retirement, annuities, retail investor, and retail and institutional asset management. Our international practice covers asset management and distribution trends globally and in 45 countries worldwide (20 primary markets and 25 secondary markets). Cerulli’s core product lines are complementary and include: • Cerulli Reports - subscription-based annual reports and one-time releases • The Cerulli Edge series – suite of monthly and quarterly publications • Cerulli Lodestar - interactive data platform
30 | IRI Marketing Summit 2014 EXHIBITOR DESCRIPTIONS Communication Intelligence Corporation (CIC) Booth 101 Address: 275 Shoreline Drive, Suite 500, Redwood Shores, CA 94065-1413 Contact: Brett Mendenhall, Director, Insurance Solutions Phone: (650) 802-7730 Email: [email protected] www.cic.com Communication Intelligence Corporation (CIC) (OTCQB: CICI), a leading supplier of electronic signature solutions and the recognized leader in biometric signature verification has emerged as the leading supplier of electronic signature solutions for top tier financial service companies. CIC solutions enable enterprises to fully execute business process automation initiatives resulting in truly paperless workflow and legally binding electronic transactions. CIC‘s SignatureOne® Ceremony® Server (SignatureOne) provides a streamlined, easy-to-integrate esignature solution that is the ultimate endpoint in true straight- through processing. SignatureOne is especially relevant when a signature is required to complete a transaction or to confirm transaction details prior to completion. CIC’s solution creates a legally binding signature with a full audit trail and a tamper evident “seal” that demonstrates a signer’s intention to be bound to a given transaction and prevents signature repudiation attempts. SignatureOne solutions meet SEC and FINRA compliance and regulatory requirements and adhere to the United States ESIGN and UETA electronic signature laws. SignatureOne supports multiple types of esignature capabilities for the specific needs of insurance and financial services institutions. These options combine the benefit of a standard software solution with the flexibility of selecting an esignature method that meets our clients’ unique requirements, including from a relevant compliance and regulatory perspective. CIC’s solutions are available both in SaaS and on-premise delivery models. EarthIntegrate Booth 303 Address: 7021 Portwest Drive #190, Houston, TX 77024 Contact: Derrick Walker, National Sales Director Phone: (713) 589-7160 ext. 278 Email: [email protected] http://earthintegrate.com/ EarthIntegrate is a pioneer in the field of marketing technology with our Pando platform. Pando is the leading Distributed Enterprise Marketing Platform (DEM+) that provides true sales enablement, marketing automation and content management, all while maintaining crucial approval workflows and compliance requirements. Instant, online communication has a major impact on the buyer life cycle and simultaneously, regulations have tightened on marketing efforts of those in industries like financial and insurance. EarthIntegrate solves these challenges with their Pando platform. By providing an always-available technology for distributed organizations to use they can instantly make accessing and circulating materials easier. Even further, marketing materials must be individually relevant, customized and localized for a true competitive advantage.
myIRIonline.org | 31 EXHIBITOR DESCRIPTIONS EbixExchange Booth 100 Address: 1441 West Ute Boulevard, Suite 340, Park City, UT 84098 Contact: Doug Massey, Vice President, Sales Phone: (801) 376-2057 Email: [email protected] www.ebix.com EbixExchange is the premier on-demand software exchange offering products and services that automate, expedite and improve the entire sales and servicing process for the life insurance, annuity, property and casualty, and health insurance industries. EbixExchange is the single largest commercial provider of insurance and annuity automation. EbixExchange provides seamless straight-through processing from pre-sales research to post-issue servicing to distributors and carriers. EbixExchange provides the most widely used CRM solutions, order-entry platforms, quoting engines, risk administration tools, compliance solutions, ePolicy delivery, data transformation solutions, and much more for the life insurance and annuity industry. Meridian-IQ Booth 103 Address: 1500 Broadway, Suite 2900, New York, NY 10036 Contact: Greg Sauer, Senior Vice President, Advisor Channel Phone: (646) 867-6456 Email: [email protected] http://www.Meridian-IQ.com Meridian-IQ is the newest, deepest and most up-to-date database of financial intermediaries on the market. We have hundreds of data points on every RIA and Financial Advisor across the country with unique and actionable information that no other firm possesses. The company Meridian-IQ has workflow tools that make it easier to perform your job of working with – and selling to – businesses operating within the financial services industry. Our Meridian-IQ system was designed by experts in the advisor industry and database with industry-leading product development. Putnam Investments Booth 305 Address: P.O. Box 8383, Boston, MA 02266-8383 Contact: Jeff Aaron, Senior Relationship Manager, Strategic Accounts Phone: (617) 760-8259 Email: [email protected] www.putnam.com Founded in 1937, Putnam Investments is a leading global money management firm. Putnam offers investors a world of equity, fixed-income, multi-asset, and absolute- return portfolios to suit a range of financial goals. Our portfolio managers seek superior results over time, backed by original, fundamental research on a global scale. We believe in the value of experienced financial advice, in providing exemplary service, and in putting clients first in all we do.
32 | IRI Marketing Summit 2014 EXHIBITOR DESCRIPTIONS Retirement Income Certified Professional™ (RICP ™) Booth 302 Address: 1101 New York Avenue NW, Suite 825, Washington, DC 20005 Contact: Julie Coleman, Product & Services Marketing Specialist Phone: (202) 469-3024 / (844) 890-7427 Email: [email protected] The Retirement Income Certified Professional™ (RICP™) is the first “must-have” financial services credential to enter the industry in 30 years - and the only one to focus exclusively on retirement income. This designation, developed by the American College in collaboration with the Insured Retirement Institute (IRI), consists of three in-depth, practical, and relevant courses using an innovative online video delivery system. The coursework covers a broad range of the latest retirement income techniques, and is taught by some of the top retirement planning experts in the industry. Be a leader in the retirement income field and grow your business with the RICP. To learn more and register visit www.myirionline.org/RICP SourceMedia Booth 203 Address: One State Street Plaza, 25th Floor, New York, NY 10004 Contact: Mike Schott, Publisher, Financial Planning & Bank Investment Consultant Phone: (212) 803-8567 Email: [email protected] http://www.sourcemedia.com SourceMedia, Inc. is the leading business-to-business publisher serving the needs of financial professionals. Our Financial Planning, On Wall Street and Bank Investment Consultant brands provide the most comprehensive suite of print, digital, mobile and live event content for advisors in the independent/RIA, wirehouse/regional firm and bank brokerage channels respectively. Our combined reach of nearly 400,000 investment advisors and financial planners is unmatched in the media industry. Please visit us at www.financial-planning.com www.onwallstreet.com and www. bankinestmentconsultant.com.
myIRIonline.org | 33 EXHIBITOR DESCRIPTIONS Virtus Investment Partners Booth 205 Address: 100 Pearl Street, Hartford, CT 06103 Contact: Matthew Hamel, Managing Director Phone: (860) 463-4889 Email: [email protected] http://www.virtus.com/ Virtus Investment Partners (NASDAQ: VRTS) is a distinctive partnership of boutique investment managers singularly committed to the long-term success of individual and institutional investors. We provide solutions to meet changing investor needs through a broad array of investment management products and services from a dynamic group of affiliated managers and select subadvisers, each with a distinct investment style, autonomous investment process and individual brand. Virtus variable insurance funds are available as investment options in variable annuities and life insurance products distributed by third-party life insurance companies. Headquartered in Hartford, Connecticut, Virtus has been recognized as one of the nation’s fastest-growing independent publicly traded asset managers. Visit www. Virtus.com to learn more about our vibrant, growing company. WealthManagement.com Booth 402 Address: 1166 Avenue of the Americas, New York, NY 10036 Contact: Rich Santos, Group Publisher Phone: (212) 204-4277 Email: [email protected] http://www.wealthmanagement.com WealthManagement.com is the new digital resource of REP. and Trusts & Estates that’s specifically designed to help financial advisors and estate planning professionals stay knowledgeable about the latest investment ideas, industry data, legal and tax issues, and market trends needed to build and maintain strong client relationships. It provides valuable tools that help them better manage the daily activities of their practice, connect with essential members of the community, and be more effective in growing their business.
34 | IRI Marketing Summit 2014 MARKETING SUMMIT PROGRAM PLANNING COMMITTEE Chair: Co-Chair: Robert Moore Mike Saliba President Managing Director LPL Financial BlackRock
Planning Committee: Jill Adams Paula Nelson Chief Executive Officer Executive Vice President, Head of Annuity Adams & Knight Distribution Forethought Financial Group Pam Aurbach Senior Vice President, Institutional Sales, John Papadopulos U.S. President Eastspring Investments Wells Fargo Retirement
Bill Benjamin Matthew Sharpe Chief Executive Officer Executive Vice President Annuity & Life U.S. Bancorp Investments, Inc. & U.S. Group Division Bancorp Insurance Services Horace Mann
Mitch Caplan Tom Swank Chief Executive Officer President and Chief Executive Officer, Jefferson National Individual Savings & Retirement Transamerica Donna Carrelli Assistant Vice President, Marketing Bob Steinke Services Senior Vice President, Annuities and Great American Insurance Group Insurance, Janney Montgomery Scott Greg Cicotte President Mike Treske Jackson National Life Distributors Executive Vice President, Annuities and Investment Products Robert DeChellis AIG Life and Retirement President and Chief Executive Officer Allianz Financial Services David Tyrie Managing Director, Head of Retirement Michael Falcon and Personal Wealth Solutions, Global Global Head of Retirement, Managing Wealth & Retirement Solutions Director Bank of America Merrill Lynch J.P. Morgan Asset Management Edward Van Dolsen Bruce Ferris Executive Vice President & President, President, Prudential Annuities Retirement & Individual Financial Services Distribution TIAA-CREF Prudential Annuities Marc Vosen David Giertz Chief Executive Officer Head of Distribution and Sales Key Investment Services Nationwide Financial
myIRIonline.org | 35 IRI BOARD OF DIRECTORS John L. Carter Michael Falcon Paula Nelson ** Chairman Global Head of Retirement, Executive Vice President, President & COO, Managing Director Head of Annuity Nationwide Retirement J.P. Morgan Asset Distribution Plans Management Forethought Financial Nationwide Financial Group Bruce Ferris ** Robert J. Moore President Caroline O’Connell Vice Chairman Prudential Annuities Chief Strategy Officer, President Distribution Managing Director LPL Financial Pershing LLC, a BNY Mellon Lynne Ford ** Company John Papadopulos EVP, Head of Distribution Treasurer Calvert Investments, Inc. Michael Perry President, Wells Fargo Managing Director & Head Retirement Elizabeth M. Forget of Wealth Management Wells Fargo & Company Senior Vice President, Advice & Platforms MetLife Americas Retail UBS Financial Services, Inc. Thomas F. Streiff Division Secretary MetLife Michael Saliba EVP, Retirement Product Managing Director, Manager Will H. Fuller Strategic Alliances Group PIMCO President BlackRock Lincoln Financial Group Catherine J. Weatherford Distributors Thomas Swank President President & CEO, Individual President and CEO Matt Grove Savings & Retirement Insured Retirement Senior Managing Director, Transamerica Institute (IRI) Head of Retail Annuities, New York Life Insurance David C. Tyrie Maliz Beams Company Managing Director, Head CEO of Retirement & Personal ING U.S. Retirement Benjamin Huneke Wealth Solutions Managing Director, Head Global Wealth & William Benjamin of Investment Solutions Retirement Solutions CEO Morgan Stanley Wealth Bank of America Merrill U.S. Bancorp Investments Management Lynch Inc. & U.S. Bancorp Insurance Services Nick Lane ** Edward Van Dolsen Senior Executive Director, EVP & President, Mitchell Caplan Head of U.S. Life and Retirement & Individual CEO Retirement Financial Services Jefferson National Financial AXA Equitable TIAA-CREF
Greg P. Cicotte William F. Loehning Marc Vosen President EVP, Insurance Relationship CEO Jackson National Life Management Key Investment Services Distributors Fidelity Investments Institutional Services **At-large member of the Robert DeChellis IRI Executive Committee, President & CEO William Lowe which includes IRI officers. Allianz Life Financial President Services Sammons Retirement Allianz Life Insurance Solutions Company of North America
36 | IRI Marketing Summit 2014 IRI STAFF Cathy Weatherford Danielle Holland President & CEO Senior Vice President, Communications, Marketing & Research Jason Berkowitz Vice President, Regulatory Affairs & Barbara Hume Compliance Vice President, Membership Andy Browne Mike Lenn Member Services Manager Vice President, Federal Affairs Julie Coleman Elizabeth Maddox Product & Services Marketing Specialist Director of Meetings & Conferences Adrian Coleman Christopher McDaniel Accounts Receivable & Accounts Payable Senior Vice President, Operations & Specialist Technology Lee Covington Thyra Nast Senior Vice President & General Counsel Legislative & Regulatory Specialist Clare Erslev Gwen Roby Visual Marketing Specialist Director of Administration & Operations Tony Gorham Andrew Simonelli Director, Administration & Operations Director, Communications & Marketing Alexis Stangarone Executive Assistant
Allianz Life Insurance Company of North America
For more than 115 years, we’ve been helping people achieve their financial and “Ahh-lee-ahnz” retirement goals by (pronounced: strength) providing innovative annuity and life insurance solutions. We are true to our promises, so our clients can be true to theirs.
www.allianzlife.com
Guarantees are backed by the financial strength and claims-paying ability of Allianz Life Insurance Company of North America (Allianz). Variable annuity guarantees do not apply to the performance of the variable subaccounts, which will fluctuate with market conditions. Products are issued by Allianz Life Insurance Company of North America. Variable products are distributed by its affiliate, Allianz Life Financial Services, LLC, member FINRA, 5701 Golden Hills Drive, Minneapolis, MN 55416-1297. 800.542.5427 www.allianzlife.com ENT-1210 myIRIonline.org | 37(1/2014)
ENT-1210_55x425.indd 1 2/3/14 9:06 AM ATTENDEE LIST As of March 7, 2014 Jeff Aaron Bob Bachman Sr. Strategic Relationship Manager Executive Vice President Putnam Investments Fidelity Investments James Adams Gary Baker National Account Manager President, U.S. Division MFS Investment Management CANNEX Financial Exchanges Melissa Adams Victoria Baksa Senior Sub Advisor Relationship Manager Assistant Vice President Prudential Financial Pershing LLC Rodney Allain Tom Barefield Senior Vice President, Director Nat’l Sales Vice Chairman and Chief Distrbribution Prudential Financial Officer Ohio National Financial Services Matthew Alsted Vice President, Channel Marketing and Rachel Barrow Brand Strategy Director, Marketing Calvert Investments Guardian Insurance & Annuity Co. Liz Altman-Harberger Ann Bayles CMO, Retirement Income Solutions & Director, Retirement and Financial Mutual Funds Institutions Marketing AIG Life and Retirement Janus Capital Group Tina Ambrozy Andy Beiger Vice President, Sales Development Vice President Nationwide Financial Jennison Associates Richard Aneser Abiy Bekele SVP-LFGD CMO Publisher Lincoln Financial Group SmartBrief Marc Angel Lisa Bennett Business Development Manager Vice President, Global Communications WealthManagement.com Prudential Financial Jeffrey Antonacci Laura Bentzien Senior Vice President Account Manager Northern Trust Pacific Investment Management Company (PIMCO) Jacob Armstrong VP; Institutional Ins &Subadvisory Annemarie Bernardone Waddell & Reed, Inc. Managing Director Product Management & Marketing Bill Atherton Charles Schwab and Co., Inc. Business Consultant, Retirement Income Planning Scott Beshany CANNEX Financial Exchanges National Accounts Manager Incapital LLC Bill Atherton Business Consultant, Retirement Income Andre Black Planning Head of Product CANNEX Financial Exchanges Allego, Inc. Pamela Aurbach Andrew Blumberg SVP Institutional Sales, US Group Director, Analytic Reporting Eastspring Investments DTCC (The Depository Trust & Clearing Corporation)
38 | IRI Marketing Summit 2014 ATTENDEE LIST As of March 7, 2014 Joseph Boan Matt Burki EVP, Managing Director Morningstar Associates/Ibbotson Transamerica Capital Management Associates Patricia Borlongan Bob Burlin Assistant Vice President Vice President & Director, Business Pershing LLC Development Corporate Insight, Inc. Bill Boscow Senior Vice President, Strategic Accounts Matt Butcher Morningstar, Inc. Business Development Manager WealthManagement.com Melissa Bottolfson Sales Supervision and Operations Kerry Cahill Manager Business Developement Manager Allianz Life Insurance Company Sammons Financial Group Kevin Bowens Mike Cain VP Marketing Director AIG Life and Retirement Broadridge Financial Solutions Inc. Benjamin Boyer Mark Caner Director President UBS Global Asset Management Western & Southern Financial Group (Americas) Inc. Chris Carey Rodney Branch Head of Strategic Accounts - Wirehouse Vice President, IPS Business Development and Regionals Nationwide Financial SunAmerica Retirement Markets Barbara Brooks Donna Carrelli Vice President - Annuities Divisional Assistant Vice President, Prudential Financial Marketing Services Great American Insurance Group Amanda Broomell Marketing Manager John Carter Pacific Investment Management Company President & COO, Nationwide Retirement (PIMCO) Plans Nationwide Financial Ken Brown VP, Sales Development & Strategic Suppo Patrick Carty ING Retirement Director AXA Distributors John Brown Vice President, Government Relations Chris Cassin Senior Vice President Jackson National Life Capital Group Companies Brian Bruneau Scott Charlton Assistant Vice President Vice President MetLife Federated Investors Melissa Buccilli Chelle Chase Key Accounts Manager VP, Head of Relationship Management Schroder Investment Management & Strategic Sales Programs / Retirement Kathryn Burke Sales Vice President Symetra Financial Goldman Sachs Asset Management Ben Childs Supervisor, Institutional Sales Marketing Ohio National Financial Services
myIRIonline.org | 39 ATTENDEE LIST As of March 7, 2014 Michelle Chillemi Tracy Corroon DTCC (Depository Trust & Clearing Senior Vice President, Relationship Corporation) Management Allianz Life Financial Services, LLC Allison Chin-Leong Director, Retail Retirement Susan Crabtree Communications Senior Vice President, Marketing Wells Fargo & Company Western & Southern Financial Group Wayne Chopus Richard Cresta Senior Vice President, Head of Strategic SVP, Institutional Insurance Sub Advisory Relationship Management Division Manager Prudential Financial Fidelity Investments Lindsey Cipro Vic Curtis Relationship Manager Director, Relationship Management Ivy Funds MFS Investment Management Jon Clement Linda Cutler Director Product Marketing Manager MFS Investment Management Franklin Templeton Investments Patrick Clifford Al Dal Porto Sr. Vice President - Annuities Vice President, Product Development Incapital LLC Security Benefit Michael Cobianchi Katherine Dease Vice President, Institutional Marketing VP, Solution Integrations Waddell & Reed, Inc. CIC (Communication Intelligence Michael Cogswell Corporation) SVP, Product Manager - Retirement Robert DeChellis Solutions President, Allianz Life Financial Services Pacific Investment Management Company Allianz Life Insurance Company (PIMCO) Ed DeMarino Will Coleman Vice President & Director, Financial Head of Variable Annuity and Sub Institutions Advisory Institutional Services Janus Capital Group Legg Mason, Inc. Joe Devine Mark Coneeny Division Vice President Head of Relationship Management Boston Financial Data Services Putnam Investments Matthew DiGangi Bill Connolly VP Strategic Distribution Partners Head of Global Distribution MassMutual Financial Group Putnam Investments Steven Dillman Doug Cooke Sr. Vice President Senior Vice President, National Sales, BNY Mellon Asset Management Strategic Institutional Business Development Ohio National Financial Services Christina Dolan David Coon Vice President MD, Head of Retail & Subadvisory BlackRock Jennison Associates Kevin Dolan I/O Business Development Manager Capital Group Companies
40 | IRI Marketing Summit 2014 ATTENDEE LIST As of March 7, 2014 Joe Dolan Terri Fiedler Principal, Director of Sales Executive Vice President, Strategic kasina Accounts AIG Financial Distributors Joyce Donadio Vice President, Relationship Management Corey Fiedler State Street Global Advisors Senior Director, Product Management Broadridge Financial Solutions Inc. Anthony Dufault Assistant Vice President, Investment John Finnerty Marketing Group Director National Accounts Pacific Life Insurance Company MFS Investment Management Bill Duncliffe Michele Fisher Director VP, Sales Operations Broadridge Financial Solutions Inc. Forethought Financial Group Scott Dunn Paul Fitzgerald Vice President Senior Vice President-National Accounts Prudential Financial Jackson National Life Distributors, LLC Robert Dwyer John Flavin RVP, National Accounts Director - Strategic Partnerships Group Jackson National Life Guggenheim Investments Donnie Ethier Mark Flinn Senior Analyst Director of Business & Sales Development Cerulli Associates InvestmentNews Mike Eustic Lynne Ford Vice President, Subadvisory Business Executive Vice President & Head of Development Distribution OppenheimerFunds, Inc. Calvert Investments Brenda Evans Angela Forsman VP, Director of Business Development Sr. Director of Sales Support PKS Financial Allianz Life Insurance Company Michael Falcon Joseph Fournier Managing Director & Head of Retirement Executive Vice President, Account JP Morgan Asset Management Manager Pacific Investment Management Company Caryl Falvey (PIMCO) Marketing Consultant MassMutual Financial Group William Free Manager, Strategic Marketing Ryan Farris Communications and Corporate Affairs President Athene Annuity & Life Assurance EarthIntegrate Company Chris Felchlin Linda Fung SVP, Investment Platform Division Vice President of Global Communications Franklin Templeton Investments Prudential Financial Lisa Ferris Randy Gabrielson Technical Director Senior Vice President, Bank Channel Nationwide Financial Allianz Life Insurance Company Bruce Ferris Bernie Gacona President, Prudential Annuities Sr. Vice President, Director of Annuities Distributors, Inc. Wells Fargo & Company Prudential Financial myIRIonline.org | 41 ATTENDEE LIST As of March 7, 2014 Patrick Gelshenen Mike Hashbarger Vice President Director of Internal Sales Managers | AMG Allianz Life Insurance Company Brenda Gempler Daniel Hayes Senior Vice President, National Accounts Vice President, Funds Management Forethought Financial Group Lincoln Financial Group Mark Gempler Chris Hedges Senior Vice President - National Accounts Managing Director Forethought Financial Group MFS Investment Management Kerry Geurkink Jane Henderson Marketing Director Sales Executive Securian EbixExchange David Giertz Eric Henderson President, NFS Distributors, Inc. SVP, Individual Products & Solutions Nationwide Financial Nationwide Financial Michael Gilotti Jan Henry Vice President of New Business Retirement Marketing Manager Development Wells Fargo & Company General Re-New England Asset Melissa Hernandez Management, Inc. Senior Media Relations Specialist Ross Goldstein Jackson National Life Managing Director, Annuity Marketing Michael Herron New York Life Insurance Company Sr. Vice President, Account Executive Marci Green Lincoln Financial Distributors Managing Director, Head of VA Bob Heske Distribution Lead Marketing Communications Goldman Sachs Asset Management Specialist Nick Griparich Broadridge Financial Solutions Inc. Director Ty Hix UBS Global Asset Management Senior Vice President (Americas) Inc. Lazard Asset Management Matthew Hamel Bryan Hodgens Managing Director SVP, Director of Sales, Retail Retirement Virtus Investment Partners, Inc. Wells Fargo & Company Brian Hanna Eric Holquist Vice President, Insurance Services Strategic Account Manager AllianceBernstein OppenheimerFunds, Inc. Craig Harm Grady Holt Senior Vice President - Relationship Head of Fund Management Manager Sammons Financial Group Fidelity Investments Matthew Housel Calvin Harrelson Retirement Marketing Sales Management Franklin Templeton Investments Capital Group Companies Gerry Hoyme Mike Hart Guggenheim Investments SVP/Managing Director, Insurance Services AllianceBernstein
42 | IRI Marketing Summit 2014 ATTENDEE LIST As of March 7, 2014 Lisa Hoyne Kevin Kennedy VP, Marketing Managing Director - Head of Business Advisor Group Development & 401(k) AXA Distributors Ann Hughes VP Head of Business Development John Kennedy Sammons Financial Group Head of Retirement Solutions Distribution Lincoln Financial Distributors Jack Hunter National Sales Manager Janis Kim Pacific Life Insurance Company Director, Market Research AXA Equitable Heather Ilacqua Sr. Director, Product Management Kristen Komer TIAA-CREF Vice President, Strategic Marketing Prudential Financial William Ings VP, Retail and Sub-Advisory Client Service Joshua Kutenplon Jennison Associates Funds Management Group Guardian Insurance & Annuity Co. Gilliane Isabelle Regional Vice President, North Atlantic Marcia Larson Region Senior Manager, Annuity Products VALIC (Variable Annuity Life Insurance CUNA Mutual Insurance Society Company) Rich LaVoice Jolene Jackelen Executive Vice President, Retirement AVP, Product Management Sales U.S. Bancorp Investments, Inc. Symetra Financial Diane Jackson Christina Leavy SVP, Channel Relationship Management Marketing Services Specialist Fidelity Investments Great American Insurance Group Robert Jameison Kevin Lehman Sr. Vice President, Institutional Ins. Sub VP Business Development Advisory Division ING Retirement Fidelity Investments Zahira Lehri Christine Johnson Vice President Vice President, Senior Account Manager SunTrust Investment Services, Inc. Lincoln Financial Distributors Michelle Lewis Todd Jones Vice President, National Sales Manager Vice President Scout Investments Federated Investors Gordon Linke Ryan Jones Sr. Vice President, Account Manager SVP Pacific Investment Management Company Franklin Templeton Investments (PIMCO) Mike Keenan Jim Livingston Senior Managing Director EVP, Operations JNLD MFS Investment Management Jackson National Life Terry Kelly Lauren Loehning Director of Sales/Retirement Director, Sub-Advisory/DCIO Sales Invesco Eaton Vance Distributors, Inc.
myIRIonline.org | 43 ATTENDEE LIST As of March 7, 2014 Bill Loehning Vanessa Marcos Executive Vice President, Insurance Vice President, VA Sales Relationship Management Raymond James Insurance Group Fidelity Investments Chase Marshall Bill Lowe Director, Business Development President, Sammons Retirement Solutions Corporate Insight, Inc. Sammons Financial Group Aron Martz Paul Lucas Vice-President, Financial Advisor Director USBancorp Investments, Inc. BlackRock Doug Massey Michael Lynam VP, Sales Relationship Manager EbixExchange Franklin Templeton Investments Michelle May Stefne Lynch Vice President Director of Key Accounts Morgan Stanley MassMutual Financial Group Dave Mazza Jennifer MacKenzie Senior National Account Manager VP Brand, Advertising and Channel Calvert Investments Marketing Michael McCarthy Nationwide Financial Chief Sales Officer Mike MacNaught AXA Distributors Senior Managing Director, Relationship Michael McClary Management Chief Investment Officer MFS Investment Management ValMark Securities, Inc. Mike Maghini Susan McClure Managing Director Head of Insurance & Manager, Business Development Annuities ALPS Advisors Bank of America Merrill Lynch Bob McCommon Stephen Maginn Sr. VP Director of Annuity Sales & President & CEO Operations AIG Financial Distributors Wunderlich Securities Mark Magnacca Cathy McDonald President Relationship Manager Allego, Inc. Nationwide Financial Gregg Mahalich Kevin McGarry Divisional Vice President, Regional Broker Director - Nationwide Financial Dealers Retirement Institute Jackson National Life Nationwide Financial Jennifer Manies Jeff McGuire AVP – Operations Manager / Annuity Senior Accounts Manager Service Desk Cerulli Associates Wells Fargo & Company Nellie McMurdie Mike Manning Director, Investment Marketing Vice President, National Accounts MetLife Manager Federated Investors Shaun McNeill VP Sales for Insurance Broadridge Financial Solutions Inc.
44 | IRI Marketing Summit 2014 ATTENDEE LIST As of March 7, 2014 Mary Meagher Merry Mosbacher Regional Sales Manager Principal, Insurance Marketing InvestmentNews Edward Jones Dale Meinders Sharon Mossman Vice President, Broker Dealer Marketing SVP of Institutional Sales Allianz Life Insurance Company BNY Mellon Asset Management Strategic Business Development Michele Melville Senior Vice President, Retail Retirement John Mulhall Wells Fargo & Company Divisional Vice President of Institutional Sales Brett Mendenhall Ohio National Financial Services Director, Insurance Solutions CIC (Communication Intelligence Dorit Murciano Corporation) Senior Vice President Merrill Corporation Stacy Mercer Director, Marketing and Strategic Christopher Nadai Initiatives Senior Analyst Sammons Financial Group Cerulli Associates Mark Merritt Paula Nelson Director - Relationship Management Head of Annuity Distribution Nationwide Financial Forethought Financial Group Phil Meserve Will Nelson Sales Distribution President, Southwest Insurance Agency ING Southwest Securities Carrie Meyer Jason Newmark Director National Accounts Manager UBS Global Asset Management Securian (Americas) Inc. Larry Nicotera Steve Miller Vice President Sr. Director, Projects and Strategic Fidelity Investments Planning Caroline O’Connell Allianz Life Insurance Company Chief Strategy Officer, Managing Director Robi Minogue Pershing LLC Vice President Frank O’Connor Goldman Sachs Asset Management Product Manager, Licensed Data Michael Miranne, CRC® Morningstar, Inc. National Sales Manager-FID Jon O’Flynn Pacific Life Insurance Company Senior Manager Business Development Lauren Mitchell Capital Group Companies AVP, Annuity Marketing David O’Leary LPL Financial Vice President, Wealth Strategies Group Jennifer Monnin The Ayco Company AVP, Annuities Michael O’Neill Nationwide Financial Vice President Robert Moore Commonwealth Annuity & Life Insurance President John Ostrander LPL Financial SVP, Head of Insurance & Sub-Advisory Chris Moran Markets Schroder Investment Management Scout Investments myIRIonline.org | 45 ATTENDEE LIST As of March 7, 2014 Christopher Owens Matthew Quale National Sales VP, Retail Life & Annuity VP, US Retail Marketing Securian MetLife Cory Padin John Rafferty Manager, Partner Development Vice President, Retirement Marketing SmartBrief Symetra Financial Sue Painter Kevin Reardon National Sales Desk Manager Regional Sales Manager Penn Mutual Life Insurance Company InvestmentNews Robert Palermo Matt Rentz annuity sales Director Distribution Marketing Morgan Stanley Wealth Management AXA Sandra Palmer Angela Reynolds VP, National Account Manager Retirement Income Sales and Relationship Legg Mason, Inc. Manager Cetera Financial Group John Papadopulos President, Wells Fargo Retirement Jim Richards Wells Fargo Chief Strategy Officer Annexus Group Phil Parrota SVP Justine Richards OppenheimerFunds, Inc. Associate Director UBS Global Asset Management George Paulik (Americas) Inc. National Sales Manager, Financial Institutions Ryan Rieckhoff Pacific Life Insurance Company Director, Institutional Marketing Ohio National Financial Services Phil Pellegrino Executive Director, Annuity Product George Riedel Management Head of Intermediary Distribution UBS Financial Services Inc. T. Rowe Price Group, Inc. Mark Pellicano Brendan Roach National Director Long Term Care, Senior Vice President Marketing and Distribution Neuberger Berman Management, Inc. Pacific Life Insurance Company Paul Roche David Peterson Strategic Relationship Manager Managing Director-Head of Insured Putnam Investments Solutions Noah Rosen UBS Financial Services Inc. Investment Consultant Donna Peterson Virtus Investment Partners, Inc. SVP, Strategy Analyst Larry Roth Wells Fargo & Company Chief Executive Officer Rob Pettman Realty Capital Securities Senior Vice President, Investment & Rick Ruckdashel Planning Solutions Vice President, Marketing Distribution LPL Financial Thrivent Financial for Lutherans Melyssa Plunkett - Gomez Aaron Runyon Business Development Annuity Marketing Specialist Allego, Inc. H.D. Vest Investment Securities
46 | IRI Marketing Summit 2014 ATTENDEE LIST As of March 7, 2014 Carl Sastram Aaron Shapley Director, Marketing Communications Regional Vice President Prudential Annuities BlackRock Greg Sauer Matt Shaw SVP, Advisor Channel Executive Vice President Meridian-IQ PIMCO Chris Scheimer Marysue Sheehan Director, Broker Dealer Division VP Producers Choice Network AIG (American International Group) Melissa Scheuerman Jeanne Sheffield Business Development VP Marketing Sammons Financial Group TIAA-CREF Joel Schiffman Jamie Shepherdson Senior Relationship Manager - Investment Sales Distribution Only ING Columbia Management Distributors, Inc. Philip Sherrill Wendy Schmidt Head of Business Development Director - Global Clients Regional Global Atlantic Financial Group Manager Carter Sims Pershing LLC Head of Intermediary Distribution Leonard Schmitt Schroder Investment Management Group Director, Insurance & Retirement Courtney Sipperley Services Relationship Management External Communications Specialist DTCC (Depository Trust & Clearing Jackson National Life Corporation) Brooke Snelling Howard Schneider Sales Support Analyst President M Financial Group Practical Perspectives Joseph Sprague Teri Schultz Vice President - Relationship Strategies Vice President, Marketing Nationwide Financial Protective Life Insurance Company Dan Starishevsky Deb Seabury Senior Vice President, Marketing Vice President, Sr. Strategic Account Jackson National Life Manager AIG Financial Distributors Tim Stegner Managing Director Tom Seitz BlackRock Head of Distribution Delaware Life Bob Steinke Sr. Vice President, Head of Annuities and James Senatore Insurance Division Manager Janney Montgomery Scott, LLC Wells Fargo & Company Dustin Stott Gregory Shade Director of Public Relations & Writing Associate, FIG Market Intelligence Services BlackRock Horace Mann Life Insurance Co. Ami Shah Vice President, Manager of National Accounts Jennison Associates
myIRIonline.org | 47 ATTENDEE LIST As of March 7, 2014 Tom Streiff Chris van Mierlo Executive Vice President/Retirement CMO, SVP Sales, Retirement Solutions Products Manager Division Pacific Investment Management Company Pacific Life Insurance Company (PIMCO) Jacqueline Veneziani Tiffany Summers Vice President and Associate General Executive Director Counsel JP Morgan Asset Management Symetra Financial Kimberly Supersano Don Vessels VP, Marketing Senior Account Executive Prudential Financial Invesco Annie Taber Cindy Vogl Sales Support Executive Director Allego, Inc. UBS Global Asset Management (Americas) Inc. Isabelle Theimann Business Development Manager - US Marc Vosen RR Donnelley President/CEO Key Investment Services, LLC James Thompson VP/Director, Head of US Institutional and Derrick Walker Insurance Services Marketing National Sales Director AllianceBernstein EarthIntegrate Todd Thompson Karin Walkovitz SVP, Annuity Distribution Business Development Manager Protective Life Insurance Company Sammons Financial Group Joe Thomson Oran Walsh President and CEO Vice President Pacer Financial, Inc. Legg Mason, Inc. Chad Tope Corey Walther President, ING Annuity and Asset Sales Chief Operating Officer, Allianz Financial ING Retirement Services, LLC Allianz Life Insurance Company Mike Treske Executive Vice President, Annuities and Linda Ward Investments Vice President AIG Financial Distributors Morgan Stanley John Trotsky Trisha Weiner Vice President Vice President, Internal Marketing Eaton Vance Distributors, Inc. Ohio National Financial Services Christine Tucker John White Vice President, Marketing - Retirement Vice President of Sales, Retirement Solutions Division Solutions Division Pacific Life Insurance Company Pacific Life Insurance Company Colleen Tycz Sara Wiener Vice President, Institutional Marketing AVP - Annuity Product Line Management Manager Principal Financial Group Legg Mason, Inc. Andy Wilmot Tim Uecker Managing Director Vice President, Investment Specialist Allianz Global Investors Jennison Associates
48 | IRI Marketing Summit 2014 ATTENDEE LIST As of March 7, 2014 David Wilson Judy Zaiken Relationship Manager AVP, Business Development, Annuity Edward Jones Products MassMutual Financial Group Greg Wilson Managing Director Goldman Sachs Asset Management Mike Woltz Sr. Vice President, Business Development Manager Transamerica Capital Management Chris Wong Vice President & Director, Financial Institutions Janus Capital Group Scott Zahorik Divisional Vice President, Global Consulting Services Janus Capital Group 19578R PRT 02-14_PRINT.pdf 1 1/30/14 11:22 AM
Helping Your Clients Live Well
C M In Retirement. Y
CM
MY
CY
CMY
K
Your clients are looking for sound financial solutions that focus on the long term and allow them to live well in their retirement. Our innovative LiveWell® Retirement Series can help you potentially grow both their wealth and their trust.
Sammons Retirement Solutions® Inc. specializes in designing simple retirement solutions that address the increasingly complex needs of today’s investors. The company offers mutual fund-based IRAs and a variable annuity available for sale through independent broker-dealers and financial professionals.
Midland National® Life Insurance Company, Sammons Retirement Solutions® Inc. and Sammons Financial NetworkSM LLC are affiliated companies. Sammons Financial NetworkSM LLC, member FINRA.
LiveWell. Retire Well.®
www.srslivewell.com 855-624-0201
50 | IRI19578R PRT Marketing 02/14 Summit 2014