In this episode of the BISA Portfolio Podcast, Jay McAnelly (Ameriprise Financial Institutions) and Lee Bennett (F&G Life) of the BISA Content Advisory Committee interview a diverse group of industry professionals and students on hot topics recorded live at the BISA Annual Conference.

The conversation features industry veterans Jane-ellen Porter (Wilmington Advisors at M&T), Tim Coleman (Centier Bank), Frank Rehhaut (Kinecta Wealth Management) and Kendra Cain (Arvest) as well as first-time attendee Kim Heisey (First Bank Texas) and college students Imani Washington and Jasmine Pierce, attending the conference alongside Financial Alliance for Representation and Empowerment (FARE) Executive Director Nicole Ridley.

Discussions cover emerging trends gleaned from the conference, like AI implementation, regulatory changes and strategies for aligning with Gen Z in the financial services industry.

BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel.

• Visit the Portfolio content hub
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In this episode of the BISA Portfolio Podcast, Kevin Mummau and Kevin McCarthy from the BISA Research Committee talk with Scott Smith of Cerulli about how to effectively use BISA's Insights & Analytics Advantage monthly reports for success.

The conversation highlights the growing willingness of investors to pay for financial advice and emphasizes the importance of data-driven decision-making in areas like risk management, compliance, and understanding customer preferences. Listeners will gain actionable strategies for incorporating these monthly reports into their business practices to enhance their competitive edge in our industry.

Access BISA's Insights & Analytics Advantage Reports today.

About Kevin Mummau
Mummau is the managing director at CUSO Financial Services, L.P. (CFS) and Sorrento Pacific Financial, LLC (SPF), members FINRA and registered investment adviser. CFS provides investment and financial planning services to credit union members. As a senior executive at CFS/SPF, Mummau has over 35 years of broad experience in the brokerage industry. His diverse background covers many facets of the securities industry including, trading, supervision, operations, compliance, retail and branch management. Most notably, five years as the corporate OSJ and regional manager for a major independent broker dealer, responsible for supervising the production of 80 – 100 branch offices.

About Kevin McCarthy
McCarthy leads Geogia, South Carolina and the Premier Investment Group for Synovus Securities. Prior to that role, he was senior vice president and head of business development for SunTrust Private Wealth Management and SunTrust Investments. In that capacity, McCarthy led the growth, practice management and partnership initiatives within the broad wealth organization. McCarthy has decades of experience, having served in various leadership roles at prior firms including Wells Fargo and Merrill Lynch.

About Scott Smith
With more than 25 years of financial services industry experience, Smith leads Cerulli’s research efforts focused on investor behavior and advisory relationships. In his time at Cerulli, he has authored more than 30 in-depth reports on topics ranging from wholesale distribution to digital advice platforms. His research helps Cerulli’s clients understand how to optimize their platforms given the evolving demand for financial advice.

BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel.

• Visit the Portfolio content hub
• Become a BISA member

In this episode of the BISA Portfolio Podcast, BISA Regulatory & Compliance Education Committee member Connie Capco of Northern Trust Securities talks with Jarret Jacobs of Fifth Third Securities and Debi Lucke of Ameriprise Financial Services about their approaches to navigating the world of customer complaints. They discuss the fine line between a simple service issue and a formal complaint, the importance of effective complaint management systems and the potential regulatory implications of mishandled complaints.

About Connie Capco
Capco is the director of sales supervision for NTSI Wealth Brokerage and responsible for day-to-day sales supervision and client-facing sales support for the dual registrant broker dealer / registered investment advisor. She serves as a liaison between wealth brokerage sales, NTSI operations, NTSI compliance and wealth management risk and control with the goal of creating efficient, frictionless fulfillment of products and services. Her extensive industry experience helps to drive growth in Northern Trust’s brokerage business and to further enhance the client experience through an integrated approach with wealth management partners. Capco earned a Bachelor of Arts in international business with a business management minor from Eckerd College in St. Petersburg, Florida.

About Jarrett Jacobs
Jacobs serves as the chief compliance officer for Fifth Third Securities, Inc. broker-dealer and registered investment adviser. He is responsible for the compliance and risk-related matters surrounding Fifth Third Securities’ retail and capital markets lines of businesses, including compliance with U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules and regulations. Jacobs has over 25 years of experience in broker-dealer and investment advisor compliance. Prior to joining Fifth Third Securities, Inc. in 2006, he served as RIA Compliance Officer for Raymond James Financial Services.

About Debi Lucke
Lucke is the director of the complaint resolution team at Ameriprise Financial Services, LLC, in Minneapolis, leading a team of compliance professionals who review and respond to customer complaints. She has worked in the broker/dealer field for more than 30 years, primarily in compliance and specifically in the customer complaint space. She is a subject matter expert regarding the rules and regulations surrounding customer complaint reporting and helps develop policies and procedures to ensure these obligations are met. Lucke is a member of the FINRA Complaint Initiative Committee and has served as a member of various working groups within the committee associated with regulatory reporting, as well as an Ameriprise Chairman’s Award for Excellence Finalist in 2021.

BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel.

• Visit the Portfolio content hub
• Become a BISA member