BISA Portfolio Podcast

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

In this second part of a two-part series highlighting BISA DE&I Rising Stars Program participants, guest host Piera Valle (Pacific Life) is joined by Amy Busch (The Huntington Investment Company) and Mary Tuggle (iCapital), both from the program's 2022 cohort. 

They share their stories, thoughts and advice after almost a year spent as program participants, discussing topics including:

• Benefits of having a mentor 7:03
• Their commitment to DE&I 10:37
• Recruiting and retaining young professionals 18:36
• Advice for people new to the industry 26:50
• and more!

The BISA DE&I Program is an exclusive BISA-sponsored recognition and leadership development program for professionals who have demonstrated commitment to creating an impact in and advancing DE&I in our industry or within their communities. It’s designed to foster professional growth, leadership growth and career advancement for diverse individuals through mentoring, networking events and volunteer opportunities.

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

Managing SEC and FINRA exam priorities isn't always a walk in the park, but guest host Carol Goulding (M&T Securities) and guest Serina Shores (Huntington Financial Advisors) break down how they do so effectively — and have fun along the way — in this edition of the BISA Portfolio Podcast. Topics discussed include:

• Process for analyzing letters (8:12)
• Finding best practices (10:45)
• Contacting regulators directly (12:52)
• Addressing results of FINRA analysis (15:47)
• Involving legal staff (16:46)
• Reporting to the board (19:16)
• Implementing and tailoring training (21:24)

Please note that all comments represent the opinions of the speakers and don't necessarily represent the opinions of their firms.

Carol Goulding is a senior vice president with banking and securities industry experience concentrating on regulatory and compliance issues. She is currently the senior compliance manager for Wilmington Trust’s Wealth Division and is responsible for overseeing business policies and procedures to ensure compliance with regulatory and ethical sales practices. She holds several FINRA licenses as well as a Life, Accident and Health license.   

Serina Shores is the senior vice president - chief compliance officer of Huntington Financial Advisors. She has over 23 years of experience in the industry in various roles. Prior to Huntington Financial Advisors, she served in multiple capacities at Washington Mutual’s WM Financial Services and JP Morgan Chase’s Chase Investment Services Corp. She is married and has two children and a running partner — Buster the Cavachon dog.

BISA's Regulatory & Compliance Program serves as a resource for BISA member companies in an increasingly stringent regulatory environment. BISA partners with qualified firms to provide strategic insights and regulatory, compliance and risk management expertise through regular editorial content submission, training and education, conference programming and other monitoring and risk management information services that would benefit BISA members.  BISA accomplishes this through two yearly regulatory and compliance summits, one in the fall and one in the spring. Learn more about these events here. BISA members are also welcome to join the monthly Regulatory & Compliance Networking Group. Info can be found 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 first part of a two-part series highlighting BISA DE&I Rising Stars Program participants, guest host Piera Valle (Pacific Life) is joined by Jenny Kaskel (InspereX) and Michael Lollman (Frost Investment Services), both from the program's 2021 cohort. 

They share their stories, thoughts and advice after more than a year spent as program participants, discussing topics including:

• Their commitment to DE&I
• Navigating generational differences in the wealth management space
• Recruiting and retaining diverse voices

The BISA DE&I Program is an exclusive BISA-sponsored recognition and leadership development program for professionals who have demonstrated commitment to creating an impact in and advancing DE&I in our industry or within their communities. It’s designed to foster professional growth, leadership growth and career advancement for diverse individuals through mentoring, networking events and volunteer opportunities.

If you know someone who would be perfect for this program, nominate them for the 2023 cohort by Oct. 31, 2022. 

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 two-part series of the BISA Portfolio Podcast, Portfolio contributing editor Rich Blake is joined by Kevin Beard, chief growth officer at Atria Wealth Solutions, and Jim Nickens, president of InSource, Inc. and executive vice president of USAnnuity Partners - both members of BISA's Diversity, Equity & Inclusion Committee.
 
In this second episode, Beard and Nickens share their thoughts on:

• Executive buy-in and commitment to DEI,
• How to hold leaders accountable to supporting DEI in an organization,
• Examples of particularly effective leaders in the financial services industry that have advanced DEI in authentic and impactful ways,  and
• Advice for future leaders who look forward to a more inclusive, diverse financial industry.

Circle back to Portfolio Podcast Episode 7 to hear from Beard and Nickens about their leadership journeys, what DEI means to them and how to keep the conversation going about DEI within organizations.

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 two-part series of the BISA Portfolio Podcast, Portfolio contributing editor Rich Blake is joined by Kevin Beard, chief growth officer at Atria Wealth Solutions, and Jim Nickens, president of InSource, Inc. and executive vice president of USAnnuity Partners - both members of BISA's Diversity, Equity & Inclusion Committee.

In this first episode, Beard and Nickens share their leadership journeys, what DEI means to them and how to keep the conversation going about DEI within organizations.

Keep an eye out for second episode of this two-part series with Beard and Nickens, and listen back to the July 2021 BISA Portfolio Podcast interview with Martin Powell from CUNA Mutual Group who shared his own inspirational leadership journey.

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