Thomas D. Giachetti, Shareholder, is Chair of the Securities Group. 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.
Philip Palaveev, a principal with Moss Adams LLP, leads the market research for the Moss Adams Financial Services Practice and consults with broker-dealers and registered financial advisors on issues of strategy, business planning, and compensation. Mr. Palaveev’s work focuses on the relationship between strategy and operational and financial management and covers specialized topics such as budgeting and forecasting, ownership and partner admission, alliances with CPAs and other referral sources, and the transition from full-service environment to independence.
Mr. Palaveev leads the development of the Financial Services Institute Broker-Dealer Compensation and Financial Performance Studies. He has published articles and has been quoted in industry publications such as the Journal of Financial Planning, Investment Advisor, Investment News, Registered Representative and Financial Planning magazine.
Mr. Palaveev holds an MBA from the Charles H. Lundquist School of Business at the University of Oregon and a Bachelor of Arts in Economics.
| JERSEY CITY, NJ | ||
| Sean Hanlon | President | Hanlon Investment Management |
| David J. Yvars | CEO | David J. Yvars Group, Inc. |
| David J Cottam | Managing Partner | National Wealth Management, LLC |
| Bert Rayle | Partner | Edge Capital Partners |
| Christopher M. Lamb | CIMA, Principal and Co-Founder | Old Mission Investment Company, LLC |
| CHICAGO, IL | ||
| Ronald Strauss | President | Pekin Singer |
| Ted Rich | President | Vinoy Capital, LLC |
| Rege Eisaman | CEO | Interocean Capital LLC |
| Fred Paulman | Managing Partner | RMB Capital Management |
| Ron Brock | Managing Director | Sheaff Brock Investment Advisors, LLC |
| HUNTINGTON BEACH, CA | ||
| Rege Eisaman | CEO | Interocean Capital LLC |
| Philip Gainsborogh | President | Gainsborogh Financial Consultants, Inc |
| Blaine Lourd | President | Lourd Capital Management |
| Sonja White | President | Fortune Financial Services, LLC |
| Lee Munson | Managing Director | Portfolio, LLC |
CUSTODIAN REPRESENTATIVE PANELISTS
| JERSEY CITY, NJ | ||
| Paul Wichman | Managing Director | Pershing Advisor Solutions LLC |
| Fran Hayes | Director | TD Ameritrade Institutional Services |
| Scott Dell'Orfano | Executive Vice President | Fidelity Institutional Wealth Services |
| Mike DiGirolamo | SVP, Managing Director | Raymond James Investment Advisor |
| Chris Nastopoulos | Managing Director | Bear, Stearns & Co. Inc. |
| CHICAGO, IL | ||
| Paul Wichman | Managing Director | Pershing Advisor Solutions LLC |
| Gary Ausman | Director | TD Ameritrade Institutional Services |
| Scott Dell'Orfano | Executive Vice President | Fidelity Institutional Wealth Services |
| Mike DiGirolamo | SVP, Managing Director | Raymond James Investment Advisor |
| Chris Nastopoulos | Managing Director | Bear, Stearns & Co. Inc. |
| HUNTINGTON BEACH, CA | ||
| Sheetal Brown | Vice President | Pershing Advisor Solutions LLC |
| Pete Dorsey | Director | TD Ameritrade Institutional Services |
| Scott Dell'Orfano | Executive Vice President | Fidelity Institutional Wealth Services |
| Mike DiGirolamo | SVP, Managing Director | Raymond James Investment Advisor |
| Chris Nastopoulos | Managing Director | Bear, Stearns & Co. Inc. |
SPONSORED BY
InvesmentNews is the host of the What you Need to Know About Going Independent Workshop Series. Sponsors of the event are not held responsible for any information provided.