presents The 15 th Annual Symposium & Exhibition Exhibitor Directory Attend Learn Grow

Transcription

1 presents The 15 th Annual Symposium & Exhibition Exhibitor Directory Attend Learn Grow

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3 4Thought Financial Group Martin Levine Phone: Your financial advisory practice (like all practices) has holes in it, in the same sense that your clients financial plans and investment portfolios have shortcomings before they hire you. But just as you work with your clients to fill the gaps in their financial lives, we work with advisory firms to fill the gaps in their practices. 4Thought provides a series of plug-and-play practice management resources to the advisor community to ensure you have access to the specific services that will seal the leaks in your dam and make your business bulletproof. Through an investment portfolio sub-advisory or solicitation agreement you can draw on these services on an as-needed basis to make your practice bigger, faster, more efficient, more enjoyable, and more profitable. We want to help you spend less time doing the things you don t want to do, and more time doing the things you like. Roy P. Cifuni, CFP x107 [email protected] David J. Levine, CFP x109 [email protected] Phone: Access Brokerage Services (ABS) is a General Agency for Life, Annuities, Disability and Long Term Care products. We are committed to serving other professionals in the industry by providing them with a broad offering of products and value added services to help them gain a competitive advantage and provide a high level of service to their customers. Advisors Asset Management Inc. Tom Donnelly, RVP Phone: Cell: [email protected] Anthony Fortunato Phone: [email protected] For over 30 years, Advisors Asset Management, Inc. (AAM) has been a trusted resource for financial advisors. Our experienced Regional Advisory Consultants provide financial advisors with customized advice and ongoing support, along with a broad range of carefully selected solutions including unit investment trusts (UITs), mutual funds and managed accounts Aflac NY David Weingast An Independent Agent Representing AFLAC Phone: [email protected] AFLAC is a Fortune 500 company rated the most ethical insurance company in the world by Ethisphere for eight consecutive years. We are exclusively dedicated and focused on individually owned and controlled policies offered, primarily through the workplace, on a voluntary basis to ensure that our policyholders are the most well-protected, well-served family in the world. AFLAC policies are: - Guaranteed Renewable no matter the frequency of claims, - Pay cash directly to the policy holder regardless of any other insurance, - No rate increases in over 50 years on an existing policy.

4 AIG/SunAmerica Brian P. Taggart Cell: Mike Brescia Cell: Algren Associates, Inc. Constantine Schidlovsky Phone: x [email protected] Algren Associates has been the Insurance Advisors Partner since 1960, helping financial advisors successfully sell life insurance, fixed annuities, LTC, and Medicare products. We specialize in helping Advisors integrate insurance into their clients retirement and estate plans. We assist in the whole sales process, from case design, to sales presentation, to underwriting negotiation and policy delivery. We also make it easy to sell term insurance through our Drop Ticket process where the advisor drops an online ticket and we do all of the work and the advisor still receives full commission! Stop by our booth to see how Algren can help you be more profitable with insurance sales. Allianz Life Financial Services, LLC Lorraine Lods Regional Vice President [email protected] Phone: A trusted provider of annuities and life insurance, Allianz Life Insurance Company of New York (Allianz Life of NY) bases each decision on a philosophy of being true: True to our strength as an important part of a leading global financial organization. True to our passion for making wise investment decisions. And true to the people we serve, each and every day. Through a line of innovative products and our network of trusted financial professionals, Allianz Life of NY helps people as they seek to achieve their financial and retirement goals. Allianz Life of NY is proud to play a vital role in the success of our global parent, Allianz SE, one of the world s largest financial services companies. While we pride ourselves on our financial strength, we re made of much more than our balance sheet. We believe in making a difference with our clients by being true to our commitments and keeping our promises. People rely on Allianz Life of NY today and count on us for tomorrow when they need us most. American Funds Anthony Camilleri Cell: Phone: [email protected] Anthony Camilleri is a wholesaler at American Funds, part of Capital Group. He has 19 years of investment industry experience and joined Capital Group in Prior to joining Capital, Anthony was a regional vice president at Invesco. He holds a bachelor s degree in business management from Molloy College in Long Island, New York. He also holds the Accredited Asset Management Specialist designation. Anthony is based in Long Island, NY.

5 American Portfolios Financial Services, Inc. Timothy O Grady Phone: ext [email protected] The most elegant solution is often the simplest. Explore the inner workings of what s possible, because the powerhouse of thought is not burdened by complexities. In an industry subverted by multiple agendas and conflicts of interest, at American Portfolios, our transparent approach puts our affiliated financial professionals-and ourselves at ease. Let them have big business; we ll continue to champion our small business owners. For, we will never be a big company, but a growing network of little ones united by the simple thought that only the client s satisfaction measures an advisor s worth. Your independence is our AP Difference. Seek the upside of independence at americanportfolios.com AMP Strategies Raymer Malone Cell: [email protected] Advanced Markets Planning (AMP) Strategies is an independent organization that is dedicated to helping Financial Advisors grow their practices as well as better serve their existing clients. Through a thorough analysis of his or her book of business, an experienced and savvy Financial Advisor can find multiple opportunities to expand the profitability of the business without significant expenditures. AMP is structured to facilitate that process. We provide ideas, strategies and support to those who are looking to expand their practices beyond its current scope. AssetMark Rick Groom Cell: [email protected] Being an independent financial advisor is not like other jobs. It takes extraordinary integrity, responsibility and credibility. Your clients are more than customers. They are more than appointment slots and assets under management. They re real people with real families, and real goals for the future. Goals that are entrusted to you every day. We understand what it s like. Because supporting advisors like you who help clients thrive is all we do. Your life s work is our life s work. And that s a very powerful bond to share. Charles Schwab Advisor Services Andrew Magnus Business Development Officer Phone: [email protected] Since 1987, Schwab Advisor Services has offered support and services to help independent investment advisors grow their businesses and help their clients reach their financial goals. As of June 30, 2014, client assets custodied with Schwab Advisor Services at Charles Schwab & Co., Inc. ( Schwab ) stood at $1.08 Trillion. These assets, managed by the nearly 7,000 independent advisor firms Schwab currently serves, represent close to one-half of total client assets custodied with Schwab. Schwab Advisor Services serves independent investment advisors and includes the custody, trading and support services of Schwab. Independent investment advisors are not owned, affiliated with or supervised by Schwab.

6 Columbia Management Valerie Wess Cell: Phone: Backed by more than a hundred years of experience, Columbia Management is one of the nation s largest asset managers. At the heart of our success - and, most importantly, that of our investors - are highly talented industry professionals, brought together by a unique way of working. It starts with carefully selected, specialized investment teams. While each team brings a diverse and innovative range of skills, all are grounded by a common set of core beliefs. All possess a solid conviction in the power of proprietary, bottom-up research. All look not only at generating returns, but also at the likely consistency of those returns and the risks required to achieve them. And while our culture encourages teams to operate independently and question established thinking, a rigorous investment oversight process ensures that each team stays true to its clearly articulated investment process. At Columbia Management, reaching our performance goals matters, but the way we reach them matters just as much. Crump Life Insurance Services, Inc. Michael Malinowski Cell: Phone: [email protected] Dan Sullivan John Hancock Phone: [email protected] Crump Life Insurance Services is committed to providing industry-leading service to support you and your client s needs. Our valued partnership with you is the cornerstone of our success. We offer the back office support you need to make the case management process easy to handle and a universe of sales opportunities to grow your business. Fidelity Investments Robert W. Gennari Cell: [email protected] At Fidelity, we work hard to be productive and creative, developing worthwhile products and services that provide value to our advisors and investors. Honesty and integrity will always be reflected in our judgment. As a privately held company with three generations of family leadership, we can reinvest profits in our people, in our research, and in technology. This allows us to maintain a strong capital structure while taking advantage of opportunities that can benefit investors. One of our top priorities and guiding principles is to support financial advisors as they help investors reach their long-term financial goals. We have adhered to this fundamental belief since Nearly seven decades later we continue to serve advisors and investors as they pursue desired outcomes, using our three distinct advantages: Investment Capabilities, Thought leadership, and Dedicated support. Fidelity is proud to present this year s Keynote Speaker on Markets and the economy, Mr. Matthew Baker. Halliday Financial Scott Solomon Phone: [email protected] At Halliday Financial, we provide financial solutions to serious clients who value advice and comprehensive strategies implemented with enthusiasm, intelligence and discipline. If your mission matches ours then schedule an appointment to speak to us about joining one of the fastest growing independent firms in New York. We have programs for advisors that are still growing their book of business, servicing their existing clients or even those advisors that are looking to transition into retirement. We look forward to speaking with you soon about how Halliday get assistant you in getting to the next level of your business.

7 HartfordFunds Dan Gribben Cell: The Hartford Mutual Funds offers a diverse fund line-up and access to Best in Class Investment Management, with Wellington Management Company as our sole sub-advisor. In addition to investment solutions, we offer a wide variety of resources and business ideas that can help you grow your practice. Hedgeable, Inc. Hunter Ward Cell: Phone: x104 [email protected] Want to participate in market upside, but limit downside? We have the solution on our low cost and liquid industry leading platform. We have one goal, to revolutionize the industry. Our mission is to become the most innovative and respected investing company of the 21st Century. We promise to continually push the envelope and break new ground to help institutional investors and their constituents realize their dreams. Hedgeable is completely independent and 100% transparent. ICON Investments Peter Chandler Cell: Phone: x104 [email protected] Invesco Eric Fracasso Phone: [email protected] Lauren Vahdani Internal Consultant Phone: [email protected] Explore Intentional Investing with Invesco: Invesco is one of the world s leading independent global investment management firms, with a heritage that dates back to Our investors first approach is built on a philosophy we call Intentional Investing SM. This philosophy guides the way we: Manage Money Manage Risk Develop Products & Connect with You, Our Clients

8 Investacorp Brian Kovener Cell: Phone: It s no secret, every practice needs at least one X-Factor. Investacorp offers a unique set of X-Factors that will set you apart from your peers: 1. Investment Banking Products 2. Mobile Technology Solutions 3. Proprietary Equity Research 4. Social Media Consultation 5. Trust Company Services 6. Succession Planning 7. Practice Acquisition 8. Business Coaching 9. Brand Building Learn more at 9xfactors.com Jackson Stephen D. Burke Cell: Phone: x [email protected] Lincoln Financial Christopher Lynn Phone: [email protected] MassMutual Michael Fliegelman Phone: Cell : [email protected]

9 MoneyGuidePro Tom Roberts Phone: MoneyGuidePro makes sophisticated, Goalbased planning fast and easy. Because MGP is smart, easy-to-use and adaptable, each Advisor can provide a personalized planning experience for each client. MGP includes retirement and college planning, asset allocation, insurance needs analysis and estate planning. Morningstar, Inc. Michael DeSciscio Cell: Phone: [email protected] Advisors rely on Morningstar for the independent research, data, analytics, and tools they need to inspire confidence with clients and build lasting relationships. Our software platforms streamline and support advisors entire practice, from client acquisition and marketing to portfolio construction and analysis, portfolio accounting, and performance reporting. Come to our booth to learn more. Morningstar Investment Services, Inc. Todd Schaul Cell: Phone: x7 [email protected] For more than a decade, Morningstar Investment Services has made partnering with fee-based financial advisors the centerpiece of their business, offering portfolios designed to help you take your practice to the next level. Each mutual fund, stock, active/passive, and ETF portfolio is built the Morningstar way. Built using objective, rigorous research, the portfolios are created to help deliver superior risk-adjusted returns. Ready to learn more? Be sure to visit the booth! Mortgage Lending Direct Robert D. Tollin Cell: [email protected] Robert Tollin is a certified reverse mortgage consultant with Mortgage Lending Direct, a division of The Money Store. Robert welcomes all professionals to contact him if you wish to learn more about the reverse mortgage product. It is truly a wonderful program for seniors with the minimum age of 62 who wish to access a portion of their homes equity, tax free, without having to make payments. Please ask me about Reverse for Purchase, Yes you can purchase a new home utilizing reverse for purchase financing!

10 Mutual of Omaha 401(k) and Defined Benefit Solutions for Small to Mid-Size Businesses. Oliver Schulz Phone: Employee Benefits Expert Specializing in Group Life and Disability Insurance Matthew Bailey Phone: Cell: Nationwide Financial Susan O Connor Cell: Phone: [email protected] Nationwide helps America prepare for and live in retirement. We offer annuities, life insurance, retirement plans, mutual funds and the Nationwide Retirement Institute, which adds value through actionable thought leadership, education and tools. Nationwide is a Fortune 100 company with more than 30,000 associates, making us one of the largest financial services companies in America. We bring a unique brand of personalized service to our advisors and their clients. We call it being On Your Side and it s what drives us to help protect what s most important. NCCPAP Kathy Casey Phone: x3 [email protected] go.nccpap.org NcCPAp and the Long Island Tax Professionals Symposium (LITPS) Long Island s Premier Tax Event for Practicing Tax Professionals - Each November, more than 700 practicing tax professionals gather to network, update their knowledge, solve tax questions with peers and the IRS, renew friendships and visit with current and prospective vendors. CPAs, Enrolled Agents, Corporate Tax Executives, Financial Planners and Attorneys are all invited to join us November 19, 20 & 21st where Practicing Tax Professionals Learn, Network and Grow. New York Life MainStay Investments David Friedman Cell: [email protected]

11 New York Long Term Care Brokers, Ltd. Robert Vandy Cell: Phone: Our policy is taking care of you. So you can take of your clients. ALL fixed insurance lines - LTCI, Life (including Linked Benefit Life/LTCI and Life w/ltc & Chronic riders), Disability, Fixed (& Indexed) Annuities from 35+ of the top carriers in the industry. Objective research to find the best fit for you and your client. Is their retirement PROTECTED? Next Financial Group, Inc. Casey Morris Phone: [email protected] The eight-time winner of Investment Advisor Magazine s Broker-Dealer of the Year Award, built upon the simple idea that a broker-dealer should be beholden to the needs of its own representatives. NFP Advisor Services Barry Solon Phone: [email protected] NFP Advisor Services offers one of the top 10 independent broker/dealers in the nation, with complete wealth management solutions to affluent individuals and corporate clients. Our mission every day is to empower advisor success. We ve packaged the resources you need and the value you want within a community framework you won t find anywhere else. With over 25 years of experience in the financial services industry including tenures as a municipal bond broker, wholesaler and financial advisor, I am always interested in sharing ideas with successful advisors. I would love the opportunity to learn about your practice and discuss what our broker/dealer can offer to empower your success. Oppenheimer Funds Wendy Ehrlich Cell: [email protected] For over 25 years, Wendy Ehrlich has been helping Long Island s independent financial advisors differentiate themselves in a crowded marketplace. Whether it s consulting on a specific client case, articulating complex economic and market concepts in a investor-friendly manner, or providing suggestions on asset retention strategies, she is just a phone call away. Wendy s cell # is (516) Her partner, Chris Clark, can be reached directly at (212)

12 Principal Funds Michael R. Miller Cell: Global Investment Management Asset Allocation Expertise Retirement Leadership Prudential Annuities Carrie Short Cell: Rainier Investment Management Ron Alvares Cell: Phone: Mark Wolff Cell: Phone: Prudential Annuities specializes in helping clients meet the challenges of retirement income. Our Highest Daily benefits help protect your clients retirement income against market downturns with daily opportunity to take advantage of market upswings. Prudential Financial is an American based insurance company well known for instilling client confidence for over 135 years. Advisors who partner with us also gain access to our Advanced Planning department as well as the knowledge of our Industry Research Analysts who consult on building retirement income strategies for your clients. Seattle-based Rainier Investment Management is an employee-owned investment management firm serving clients since Rainier provides international small cap equity, domestic equity, and fixed income portfolio management to financial advisors, institutional investors, and individual investors through Rainier s noload family of mutual funds. Realty Capital Securities Michael Jones Phone: [email protected] Realty Capital Securities is an open architecture wholesale distribution platform for public and private real estate investment programs, business development companies, and other alternative investments. We work directly with Registered Representatives and Registered Investment Advisors all throughout the country.

13 Ronald Fatoullah & Associates Ronald A. Fatoullah, J.D., CELA Phone: Security Benefit Marcello Cosentino Cell: Ronald Fatoullah & Associates is an award winning Elder Law & Estate Planning law firm with offices in Great Neck, Manhattan, Queens and Brooklyn, NY. The firm concentrates its practice in all aspects of elder law, estate planning, trusts, wills, Medicaid eligibility and applications, probate, administration, guardianships, special needs planning, estate mediation and real estate. The firm is known for its outstanding service to the senior citizen and special needs communities. Mr. Fatoullah is frequently quoted in the New York Times, The Wall Street Journal and Newsday and is a co-author of the Long Term Care Planning Guide for Accountants. At Security Benefit, I provide advisors with tax management strategies that use investment-focused variable annuities to help boost after-tax portfolio value and help your clients accumulate wealth faster. For more information call (973) In all states except New York variable annuities are issued by Security Benefit Life Insurance Company (SBL). In New York variable annuities are issued by First Security Benefit Life Insurance and Annuity Company of New York (FSBL), Rye Brook, NY. SBL does not transact business in the state of New York. Services are offered through and annuities are distributed by Security Distributors, Inc., a wholly-owned subsidiary of SBL. SBL and FSBL are wholly-owned subsidiaries of Security Benefit Corporation (Security Benefit). SEI Investments Harley Nager Phone: [email protected] SEI Advisor Network provides financial advisors with turnkey wealth management services through outsourced investment strategies, administration and technology platforms, and practice management programs. SEI Advisor Network has served the independent financial advisor market for over 16 years, has over 4,900 advisors, and $31.7 billion in advisors assets under management. Visit us at SterlingRisk Larry Rowe Cell: Phone: [email protected] IncomeAssure is supplemental unemployment insurance, available in the District of Columbia and all U.S. states except Alaska, Hawaii and New Hampshire. We provide financial stability by replacing a portion of your income in the event you lose your job. With IncomeAssure, if you are laid off, you will receive 50% of your former salary, replaced through a combination of state unemployment benefits and our supplemental benefits, instead of the smaller amount your state would replace alone. IncomeAssure is underwritten by Great American Insurance Company, rated A+ (Superior) by A.M. Best (last affirmed February 21, 2014). Great American has been rated A (Excellent) or better by A.M. Best for over 100 years. IncomeAssure is administered by SterlingRisk, a U.S. top 40, privately held insurance brokerage and services firm.

14 TD Ameritrade Institutional Josh Reich Cell: Phone: TD Ameritrade Institutional is a leading provider of comprehensive brokerage and custody services to nearly 4,500 fee-based, independent Registered Investment Advisors and their clients. Our advanced technology platform and outstanding personal support allows advisors to run their businesses more efficiently and optimize time spent with clients. TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC/NFA Touchstone Investments Ken Fish Cell: [email protected] Touchstone Investments is a mutual fund company providing access to a distinctive selection of institutional asset managers who are known and respected for proficiency in their specific area of expertise. Touchstone offers their strategies which are not typically available to the average investor through an array of strategically focused funds across styles and assets classes including U.S. equity, global/international equity, U.S. fixed income, international fixed income, alternative investment and asset allocation funds. Transamerica Morris Glazer Cell: [email protected] Transamerica Capital, Inc. Ken Junge Cell: [email protected] David Pappas Cell: [email protected] With 34 years of retirement plan experience, Morris has worked in all fields of retirement, and is known for helping advisors create successful retirement plan programs for their clients. With a specialization in plan design and employee education campaigns, he is regarded as a valuable resource who demonstrates his unique insight on what it takes to help people achieve a confident retirement. A quarter century ago, Transamerica entered the mutual funds business with a simple understanding. No single investment process, style or investment manager will outperform all the time. That s how we became one of the pioneers of the subadvisory business, working to identify some of the best money managers in the world.

15 United Northern Mortgage Bankers Frank Melia, CMPS Cell: Phone: Frank Melia, CMPS, specializes in educating financial advisors regarding reverse mortgages, purchase loans, & refinance loans. A financial services marketing firm recently surveyed over 100,000 taxation, & financial planning firms, whose primary clientele are retirement age and above, and one question asked was; in conversation with your clients, does the topic of mortgage lending ever come up? 2 of 3 responded YES Who do you consider to be an expert in mortgage lending? I personally have helped over 1500 New York homeowners with their mortgage needs. Vanguard Financial Advisor Services Kelly Sweppenhiser, CFA Cell: [email protected] Kelly M. Sweppenhiser, CFA, is the Vanguard Executive living on Long Island in support of financial advisors. Vanguard s mission is To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. Contact Kelly or visit advisors.vanguard. com to learn more. Vanguard Funding Robert Jayne, CRMP/ Vice President Certified Reverse Mortgage Professional Phone: Cell: [email protected] Vanguard Funding LLC is a nationwide mortgage banker devoted to providing the highest standard of service for all residential mortgage banking needs. Since its inception in 2004, Vanguard Funding LLC sustains strict adherence of compliance to all mortgage rules and regulations. Honesty, integrity, transparency, and long-term customer satisfaction are pillars of our success. With a growing nationwide footprint, the company continually shows growth in its mortgage transactions of home purchase and refinance products including conventional, FHA, Reverse, HECM, Jumbo, HARP, 203(K), condo, co-ops, commercial and more. We welcome the opportunity to serve your client s financing needs. Voya Financial Josh Nauman Phone: [email protected] Build your business with America s Retirement Company As America s Retirement Company, Voya Financial equips you with industry-leading products and services to help your clients grow, protect and enjoy their Orange Money the money they need for retirement

16 Walton International Group Jessica Perez Cell: The Walton Group of Companies (Walton) is one of North America s leading land-based real estate investment and development groups, currently managing $3.6 billion in assets, including nearly 78,000 acres of land. 1 Walton employs leading industry experts to ensure quality asset acquisition and management along every step of the land investment process and makes a long-term commitment to the communities in which it operates in order to create sustainable and livable environments. Walton is well positioned to execute its all-cash 2 acquisition model in the current economic environment with a focus on path of growth investments in strategic submarkets. 1 Approximate as of June 30, Value is at cost. Includes land and reserves. 2 No acquisition indebtedness. In the event reserves are depleted, indebtedness may be incurred to cover administrative and concept planning expenses only. WeiserMazars LLP Richard Tannenbaum Cell: [email protected] WeiserMazars LLP is a client-centered, full-service accounting, tax and advisory firm with over 100 partners and approximately 650 professionals in eight U.S. offices. WeiserMazars is the independent U.S. member firm of the Mazars Group a prominent international accounting, audit, tax and advisory services organization with nearly 14,000 professionals in more than 70 countries. Our tailored Private Client Services group focuses on the particular needs of our clients, including specialized practices in Family Office Services, LGBT, Women, Next Generations, Law Firms, and International compliance. We assist our clients in securing their future well-being by collaborating with them to address their unique needs and guiding them to achieve personal, family and financial goals. Community

17 NOTES:

18 A Special Thanks To all of our sponsors and exhibitors who supported our annual Symposium and also all of the many events held throughout the year organized by the FPA of Long Island s board of directors and committees. Thank you for your generosity! The enrichment of the Financial Planning Association and our members relies on your support, education, and dedication. To past Symposium Chairs, Paul Schifter and Joe Fleischmann, for their support and direction. To Janet Cino, The FPA s Chapter Administrator, who works endlessly to ensure a well-run and successful Symposium year after year. Her devotion and work-ethic are unparalleled and are a huge factor in the existence and success for our Long Island FPA Chapter. To the Symposium Committee, who took time from their busy schedules to attend meetings, make phone calls, and answer s to coordinate this year s Symposium. Your ideas and contributions helped to make this year s Symposium possible. To today s volunteers whose dedication to the Financial Planning Association and efforts make this day run smoothly! A Thousand Thanks! Craig J. Ferrantino, CWS 2014 FPA of Long Island Symposium Chair

19 The FPA of Long Island Would Like to Thank All of Our 2014 Symposium Sponsors & Exhibitors FPA of Long Island (516)

20 Please support our sponsors... They support the Chapter and help curtail cost to members...