BISA Portfolio Podcast

In this episode of the BISA Portfolio Podcast series “DE&I Voices,” guest host Logan Hickman of Nationwide interviews Jim Nickens of InSource, Inc. and Heather Hepburn of Webster Bank. All are members of the BISA Diversity, Equity & Inclusion Committee, a group that inspires member firms to develop an inclusive working environment to improve business results and strengthen our industry. 

Listen to the full episode to learn about how Hepburn, Nickens and Hickman are engaging in DE&I conversations and initiatives at their organizations.

About Logan Hickman
Logan Hickman, ChFC®, CLU®, serves as director of advisory annuity distribution for Nationwide. In his role, he leads a team of high-performing sales professionals who are responsible for growing advisory annuity sales within the broker-dealer channel. Hickman is also responsible for helping design and implement long-term sales strategies that align with Nationwide's mission of protecting people, businesses and futures with extraordinary care. 

About Heather Hepburn
Hepburn is the managing director of the Wealth Management Operations team at Webster Investments Services, Inc., with responsibility for managing the functions and processes of the back office as well as the relationships with its internal and external business partners. Heather is a leader with expertise in people management and broker-dealer operations. Her oversight includes due diligence, regulatory compliance and operations management. She manages special projects and collaborates with the leadership team on strategic initiatives.

About Jim Nickens
Nickens is president of InSource in Indianapolis, IN., a leading financial solutions partner for banks, broker-dealers and financial professionals across the country. He joined InSource in 2011 after a successful tenure as senior vice president and sales manager for Key Investment Services LLC (KIS) where he was responsible for providing sales leadership to financial advisors in the Eastern New York and Vermont regions. Prior to joining Key, Nickens served as regional investment sales manager and vice president for NatCity Investments, managing a successful team of financial advisors in Indiana and Kentucky. Prior to that position, he was vice president and affiliate sales manager for Fifth Third Securities in Toledo, OH. There he was named Manager of the Year.

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 series "The Voice of Wealth," Jacinda Norvell, wealth broker and sales execution director at Truist Wealth, and Donna McNeely, president of Kinecta Financial Management Company, discuss the intricacies of the wealth management career path and the challenges of recruitment and retention.

Key takeaways from this episode include:

• The importance of finding your passion and building a career around your strengths.
• The various career paths available within wealth management, from entry-level roles to senior leadership positions.
• The challenges and opportunities in recruiting and retaining top talent in the industry.
• The importance of creating a supportive and inclusive culture to foster employee satisfaction and loyalty.

Listen to the full episode to learn more about the wealth management career path and gain valuable insights from industry experts.

About Jacinda Norvell
Jacinda Norvell is a senior managing director and the wealth brokerage sales execution director for Truist Wealth and Trust Investment Services, Inc. offering over 25 years of financial services experience. Prior to joining SunTrust, now Truist, in 1997, Jacinda obtained both retail brokerage and institutional investment experience at The Robinson Humphrey Company and Invesco. Having worked in various management roles at SunTrust, now Truist, Jacinda currently leads sales enablement efforts for their broker/dealer focused on advisor recruiting and retention, business planning and execution for managers and advisors, and development and DEI initiatives.

About Donna McNeely
Donna McNeely is the president of Kinecta Financial Management Company, LLC, a wholly owned subsidiary of Kinecta Federal Credit Union. Donna is responsible for implementation of the company’s business goals, including overall management, strategy, growth and operating results.  She is accountable for successful operation of the company’s subsidiaries, Apollo Insurance, a property/casualty insurance agency providing insurance products services to credit unions nationwide, and Kinecta Financial & Insurance Services, a registered broker/dealer and insurance agency. 

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 series “The Voice of Wealth,” BISA’s Wealth Committee Chair Jacinda Norvell, wealth broker and sales execution director at Truist Wealth, talks about developing successful delivery models with Rebecca Robinson, director of wealth management at Zions Bancorporation. They discuss how Zions takes a collaborative approach to wealth management, tailoring their teams and services to each client's unique needs and complexity. Key takeaways of this episode include: 

• The importance of flexibility and emotional intelligence in wealth advisory, to truly understand client goals and challenges
• Strategies for fostering professional development in wealth management teams, such as hands-on training, mentorship and feedback sessions
• How a collaborative, planning-based culture can enhance the client experience and help advisors grow with their clients over time

About Jacinda Norvell
Jacinda Norvell is a senior managing director and the wealth brokerage sales execution director for Truist Wealth and Trust Investment Services, Inc. offering over 25 years of financial services experience. Prior to joining SunTrust, now Truist, in 1997, Jacinda obtained both retail brokerage and institutional investment experience at The Robinson Humphrey Company and Invesco. Having worked in various management roles at SunTrust, now Truist, Jacinda currently leads sales enablement efforts for their broker/dealer focused on advisor recruiting and retention, business planning and execution for managers and advisors, and development and DEI initiatives.

About Rebecca Robinson
Rebecca Robinson, CPA, CFP®, is the executive director of wealth management at Zions Bancorp, where she serves on the company's Executive Management Committee. As the head of wealth management, Rebecca leads a multi-state team of professionals who provide tailored investment management, wealth and business succession planning, philanthropic and fiduciary services
to high-net-worth families, business owners  and corporate clients. She provides the strategic vision for the firm’s planning centric approach to client service. In addition to her wealth management responsibilities, she serves as the executive in charge of bank’s affluent customer strategic initiative, chairs the benefits investment committee and is a member of the board of
directors for the Zions Bancorp Foundation. Rebecca also serves on the Board of Directors for BISA.

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, learn why mentoring matters and how to make the most of it from 2023 DE&I Rising Stars awardee Lindsay Diehl Green, United Bank, and her mentor, Pamela Dawson, US Bank. Piera Valle of Pacific Life is guest host of this podcast.

Topics covered include:

• Takeaways from the DE&I Rising Stars mentorship program
• What they've learned through this program
• Why they see mentorship and sponsorship as valuable to the industry
• What they've learned from each other
• How mentees can make the most of their time with a mentor

About Piera Valle
As a senior director in strategic accounts, Piera is responsible for developing and growing strategic partnerships for Pacific Life’s Consumer Markets Division.  She also serves as a board member for Pacific Life’s Women at PL connections group, focusing on their community efforts and has been on the BISA DE&I Committee for the last five years. 

About Pamela Dawson
As director of advisory business relations within U.S. Bank Asset
Management Group (AMG), Pamela is responsible for driving increased
awareness of AMG’s investment thought leadership, resource capabilities
and portfolio construction guidance.

Pamela specifically works with wealth management teams in U.S. Bancorp
Investments, an affiliate of U.S. Bank, in affluent markets. In this role, she
develops and delivers appropriate education and coaching to help team
members better understand, access and leverage AMG’s expertise in client
acquisition and retention opportunities. She is also a member of AMG’s
leadership team.

With more than 30 years helping organizations grow their businesses,
Pamela is an experienced executive in the financial services industry.
Prior to joining U.S. Bank, she was the senior director of the bank channel
for Russell Investments, where she established and grew the retail channel to
more than $4.5 billion in assets during her seven-year tenure. Prior to Russell,
she was a district sales manager for U.S. Bancorp Investments, an affiliate of
U.S. Bank. Pamela has also spent time in national accounts with American
International Group (AIG) and was the president of the broker/dealer division
at Washington Mutual.
 
About Lindsay Diehl Green
Lindsay serves as vice president, assistant director of operations & client services for United Wealth Management and United Brokerage Services, Inc. Responsible for the day-to-day management and oversight of account administration and operations, Lindsay works as part of the leadership team to develop and improve long-term strategies to meet client and company objectives. Lindsay joined United in 2005, and has held several leadership roles across the retail, brokerage and wealth management departments. Lindsay also serves as vice chair of United’s DE&I Council. She has been nationally recognized by BISA, being named to the DE&I Rising Star Program Class of 2023, and statewide by The WV State Journal’s Generation Next: 40 Under 40 Class of 2023 honoree. She is a long serving Advisory Council member and active volunteer for the Children’s Home Society of West Virginia. Lindsay holds the following licenses: Series 7, Series 66 and Life & Health Insurance. 

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

Kenneth Cherrier of F&G interviews Kendra Cain of Arvest and Kevin Larson of Cetera Financial Group on two topics making a splash in regulatory and compliance right now: off-channel communications and complex products through a Regulation Best Interest (Reg BI) lens. 

Listen to this podcast episode on your way to the BISA Regulatory & Compliance Summit, November 13 - 14, the event bringing together program executives and compliance officers from across the bank insurance and securities industry to learn about and discuss pressing regulatory and compliance issues. 

Key topics discussed:

• How staff communication is handled at their organizations
• If their organizations place restrictions on which digital communications to allow
• What information security requirements are considered when implementing new communication channels and vendors
• A few thought experiments on complex products — including whether an RR should be compensated more for additional complex product training; must a client fully understand all functionality of a complex product; and what steps BDs and RRs take when selling complex products to meet Best Interest requirements

About Kenneth Cherrier
As the CCO for Fidelity & Guaranty, Kenneth is responsible for the firm’s day-to-day Enterprise Risk Management function and has held numerous positions with prior firms in senior executive-level roles. Taking a “stewardship” approach to the industry, Kenneth acts as a FINRA arbitrator and is/has been an active member of numerous industry associations, such as NSCP, FSI, BISA, and CEFLI. He has sat on the Board of the NSCP, has thrice served as a member of the FINRA District 4/Midwest Regional Committee, and sat on FINRA’s Regulatory Affairs and Continuing Education Committees.

About Kendra Cain
Kendra serves as chief compliance officer at Arvest Wealth Management. She is an Accredited Investment Fiduciary (AIF®) and a Certified Regulatory and Compliance Professional (CRCP®). Kendra is also a member of the Bank Insurance and Securities Association's Regulatory and Compliance Education Committee. She has over 20 years of industry experience and has worked at other regional broker-dealers and investment advisors in various roles, including CCO and Director of Compliance and Operations. Kendra graduated from the University of Louisiana at Lafayette and resides in Lafayette, Louisiana.

About Kevin Larson
Kevin joined Cetera Investment Services in 2014 as the Chief Compliance Officer. In that capacity, he oversaw all compliance functions of Cetera Investment Services. He currently works within Risk Management at Cetera Financial Group. He is actively engaged in BISA and IRI to help provide education and act as a resource to banks and credit unions in this profession. Prior to joining Cetera, Kevin was the Chief Compliance Officer and Anti-Money Laundering Officer for a regional broker-dealer for seven years. Kevin holds his Series 7 and 24 licenses and received a Bachelor of Science degree in Marketing from Saint Cloud State University

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

Truist's Jacinda Norvell and Huntington's Mike Miroballi, BISA president, join host Jeff Hartney, BISA executive director, to discuss how the typical wealth client is evolving and changing. Here are a few highlights you won't want to miss in this episode of the BISA Portfolio Podcast:

• How the needs and expectations of the wealth client have changed
• Effective strategies to meet clients at different life stages
• Ensuring clients receive tailored financial solutions
• How to leverage technology to enhance the client experience
• Ensuring inclusivity and accessibility
• Providing value-added services to address client life goals
• Wealth transfer and intergenerational planning for high-net-worth families

About Jacinda Norvell
Jacinda Norvell is a senior managing director and the wealth brokerage sales execution director for Truist Wealth and Trust Investment Services, Inc. offering over 25 years of financial services experience. Prior to joining SunTrust, now Truist, in 1997, Jacinda obtained both retail brokerage and institutional investment experience at The Robinson Humphrey Company and Invesco. Having worked in various management roles at SunTrust, now Truist, Jacinda currently leads sales enablement efforts for their broker/dealer focused on advisor recruiting and retention, business planning and execution for managers and advisors, and development and DEI initiatives.
 
About Mike Miroballi
As president of the Huntington Investment Company, Michael Miroballi is responsible for leading the strategic direction, overseeing regulatory governance and setting priorities for the business.  

Michael joined Huntington in February of 2017 after spending nearly 16 years at BMO Financial Group. He has over 30 years of experience in financial services. Michael spent the early part of his career with Merrill Lynch and Citigroup as a financial advisor.  He obtained his CFA designation in 2000 and transitioned to portfolio management and trust investment management with Harris Private Bank, now known as BMO Private Bank, where among his accomplishments he led the creation of BMO’s open architecture outside manager and mutual fund platform. In 2007, Michael was appointed president of the bank’s retail broker-dealer, BMO Harris Financial Advisors.  As president of BMO Harris Financial Advisors, Mike led the transformation of the business to become a leader among peers in the growth of investment advisory assets under management. Likewise, as president of Huntington Investment Company, he has led the transformation of the business to become a planning-based advisory firm with advisory assets growing more than five-fold in just over five years.  

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, John Olerio of Webster Investments, chair of the BISA Research Committee, speaks with Chayce Horton and Asher Cheses of Cerulli Associates. Recently, BISA commissioned a study through Cerulli that showcases trends and strategies for recruiting and retaining advisors throughout their careers. In this podcast, they discuss some of the study's key takeaways, including:

• What's making recruitment difficult right now
• The key benefits of the bank and credit union space for advisors
• Strategies for developing junior advisors and supporting all advisors
• Why referrals matter
• What makes advisors stay
• Preparing for succession planning

To access the full BISA/Cerulli whitepaper for free, visit here.

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 special edition of the BISA Portfolio Podcast, Annual Convention Co-chairs LeAnn Rummel of Cetera Investment Services and Tim Layton of WealthVest share: 

• Their thoughts on key industry trends as we head into the convention 
• Their tips, tricks and secrets for making the most of the convention 
• Sessions they don't want to miss

Plus, you'll hear sneak peeks from keynote speakers that will give you a taste of what's to come! Haven't registered yet? Do so now.

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 BISA Portfolio Podcast, Jane-ellen Porter interviews Circle of Excellence Awardees, Jim Nonnengard and John Olerio, on how they've fostered community throughout their careers. 

They discuss:

• Their many years taking advantage of all networking opportunities BISA provides
• Strategies for seeking and developing community through networking
• How competitors become friends through BISA connections

About Jane-ellen Porter
Jane-ellen Porter is senior vice president and affluent regional sales manager for Wilmington Advisors @ MT.  In this role, she is responsible for managing the development, sales and relationship management of the Southern Connecticut and Tarrytown, New York investment and life insurance solutions and services offered through the Financial Advisors and Licensed Bank Employees.

About Jim Nonnengard
Jim Nonnengard serves as president of Regions Investment Services for the Wealth Management Group at Regions, a regional bank that operates throughout the South, Midwest and Texas and is headquartered in Birmingham, AL. He is responsible for providing executive and regulatory oversight of the Investment Services Department, which is comprised of Securities Licensed Financial Advisors and Insurance Licensed Bankers.

About John Olerio
With over 30 years of industry experience, John has focused his career on being a program manager for large regional banks with extensive experience with TPMs. He has been with Webster Investments since 1997 and has implemented short-term and long-term strategies to help set the directional course for the business line. John provides strategic strategies to the Community Bank and implements business plans that drive growth for the bank. 

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DISCLAIMER FROM LPL

The opinions voiced in this show (program) are for general information only and are not intended to provide specific advice or recommendations for any individual. To determine which investment(s) may be appropriate for you, consult with your attorney, accountant, and financial advisor or tax advisor prior to investing. 

Securities and advisory services are offered through LPL Financial (LPL), a registered investment advisor and broker-dealer (member FINRA/SIPC).  Insurance products are offered through LPL or its licensed affiliates. Webster Bank and Webster Investments are not registered as a broker-dealer or investment advisor. Registered representatives of LPL offer products and services using Webster Investments, and may also be employees of Webster Bank.  These products and services are being offered through LPL or its affiliates, which are separate entities from, and not affiliates of, Webster Bank or Webster Investments. 

Securities and insurance offered through LPL or its affiliates are:

 | Not Insured by FDIC or Any Other Government Agency | Not Bank Guaranteed | Not Bank Deposits or Obligations | May Lose Value

LPL Financial, Webster Investments and Webster Bank are not affiliated with BISA or any other referenced entities.
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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

Ram Nagappan (BNY Mellon | Pershing) and Howard Hammond (Fifth Third), 2022 Circle of Excellence award winners, share with guest host Jane-ellen Porter (Wilmington Advisors @M&T) their advice for cultivating growth on all stages of the career journey.

Topics include:

• How they’ve cultivated a growth mindset throughout their careers
• Pushing through times of stagnation
• Advice for industry leaders growing their teams
• Goals they set for future growth

Ram Nagappan is the Chief Information Officer for BNY Mellon | Pershing. With more than 30 years of information technology experience, Ram oversees the firm’s technology and deployment of digital, experience-centric wealth management solutions

Howard Hammond serves as executive vice president and head of Consumer Banking at Fifth Third Bancorp. He leads more than 8,000 employees and oversees more than 1,000 financial centers and approximately 2,200 ATMs across the Bank’s footprint. Howard is responsible for the division’s performance, objectives, products, operations and strategies. 

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