Speakers
Thomas D. Giachetti, Shareholder, is Chair of the Securities Group of Stark & Stark. A former investment banker and NASD registered representative, Mr. Giachetti's legal practice is devoted to investment-related matters, including the representation of investment advisers, financial planners, broker-dealers, public and private investment companies (e.g., mutual funds, hedge funds, etc.), CPA firms and registered representatives throughout the United States. He also advises claimants and respondents in securities regulatory, arbitration and litigation matters.
Mr. Giachetti is a recognized author and commentator on investment-related legal matters and a frequent lecturer at securities industry compliance seminars, annual meetings, and educational programs throughout the country. He also serves as an expert witness in securities litigation/arbitration throughout the United States.
The Securities Practice Group of Stark & Stark represents investment advisers, financial planners, broker-dealers, CPA firms, registered representatives, public and private investment companies (e.g., mutual funds, hedge funds, etc.), and investors throughout the United States. The firm, with over 100 attorneys, and offices in Princeton, Cherry Hill, Philadelphia, and New York City serves clients located across the United States and Canada.
Mr. Giachetti is a frequent contributor to the New Jersey Law Blog.
Spenser Segal, CFP, is the Chairman and CEO of ActiFi, Inc., a software and solutions company focused on delivering scalable practice management programs to the financial services industry. By implementing ActiFi's proven people, process, and technology solutions based on research, best-practices, and industry benchmarks, financial advisors and the institutions that serve them run more effective and profitable businesses.
Mr. Segal has more than 20 years of experience in the financial services industry, including Vice President of e-Commerce Strategy and Development for American Express Financial Advisors (AEFA), where he directed the reconstruction of several business-focused Web sites into an integrated, customer-oriented financial services offering. He also held management positions at Dain Rauscher, Barrington Capital Management, and BigCharts, making significant contributions to the growth of each business. For a number of years, Mr. Segal ran a successful financial planning and money management practice as a Certified Financial Planner.
A graduate of the University of Minnesota, Mr. Segal also earned the Accredited Investment Fiduciary Analyst™ designation from the Center for Fiduciary Studies. He serves on the Board of Directors/Advisors of numerous non-profit and for-profit organizations. Mr. Segal lives in Plymouth, MN, with his wife and three children.
ADVISER PANELISTS
| LOS ANGELES, CA |
| Matthew Beck | Financial Advisor | |
| Blaine Lourd | President | Lourd Capital Management |
| Andrew C. Karlinski, CFP® | Registered Representative | AK Financial Group |
| Scott Roseman | Chairman, Senior Portfolio Manager | Roseman Wagner Wealth Management |
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| CHICAGO, IL |
| Gregory J. Berg | Senior Financial Advisor CRPC® | |
Daniel J. Red Goldstein, CRPC® | Partner, Registered Investment Advisor | Teak Tree Capital |
| Bennett Marks | President, Chief Investment Officer | Marks Group Wealth Management |
| David Hansen | President and CEO | Yellowstone Partners Wealth Management |
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| STAMFORD, CT |
| Richard Oaster | Senior Financial Advisor, CFP®, CDFA™, MBA | |
| Robert J. Monte | Financial Advisor, Managing Member | Monte Financial Group, LLC |
| Charles A. Kerwood III, CFP®, ChFC | President | Waller Financial Planning Group, Inc. |
| Michael Jelormine, CPA/PFS | Principal | Southport Station Financial Management |
CUSTODIAN REPRESENTATIVE PANELISTS
| LOS ANGELES, CA |
| Mike DeLorenzo | Divisional Vice President West | Ameriprise FInancial |
| Tim Stinson | Senior Vice President, Sales | Fidelity Institutional Wealth Services |
| Bill Morrissey | Executive Vice President Business Development | LPL Financial |
| Mike DiGirolamo | Managing Director | Raymond James Investment Advisors Division |
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| CHICAGO, IL |
| Matt Kelley | Divisional Vice President Central | Ameriprise Financial |
| Mike Romano | Senior Vice President, Sales | |
| Bill Morrissey | Executive Vice President Business Development | LPL Financial |
| Mike DiGirolamo | Managing Director | Raymond James Investment Advisors Division |
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| STAMFORD, CT |
| George Fekete | Divisional Vice President East | Ameriprise Financial |
| Pat Jancsy | Senior Vice President, Sales | |
| Bill Morrissey | Executive Vice President Business Development | LPL Financial |
| Mike DiGirolamo | Managing Director | Raymond James Investment Advisors Division |
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