In this important episode we discuss what it really takes to create investing opportunities for all client segments - how to bring investing to the masses. We also discuss how quickly our industry is changing, where the puck is going, and what we must do to keep up.

Discussion topics include:

• The threat posed by the app-based fintechs
• How to bring investing to the masses
• Eliminating friction in the investing process
• Effectively serving the NextGen investors
• Being there when the investor transitions from DIY to DIFM (Do It For Me)
• Abandoning what got you to where you are today

We also introduce a new “disruptor” third-party broker dealer to our channel!

Hosts:

Scott Stathis and Bob Mittel

Our discussion guests are:

• Bill Capuzzi - CEO Apex Fintech Solutions
• Joseph Marasciullo – President United Nations Federal Credit Union
• Justin Steitz - Chief Operating Officer at Copper Financial

Our sponsoring partner, who made this episode possible, is:

Copper Financial

Music Credits:

Band: A Rusty Something (Nick Simpson)

Song: SSRI

Disclosure Statement from Copper Financial:

The information contained within this podcast is provided for informational purposes only and should not be construed as personalized investment advice, or an offer to sell or the solicitation of any offer to buy any securities. The comments, views, and opinions expressed in the presentation are those of the speakers and do not necessarily represent the views of Copper Financial (“CuFi”). Some asset categories and investments discussed in this podcast may not be available through CuFi.

 Securities and advisory services offered through CuFi, Member FINRA/SIPC. CuFi is a SEC registered investment adviser. Products offered through CuFi: are not NCUA/NCUSIF or otherwise federally insured, are not guarantees or obligations of the credit union, and may involve investment risk including possible loss of principal. CuFi is a wholly-owned subsidiary of CommunityAmerica Credit Union.

Disclosure Statement from Apex Clearing Corporation:

Information provided by Bill Capuzzi in this podcast is for informational purposes only and is not intended to be a solicitation, offering or recommendation of any security, digital asset, or investment management/advisory service. Opinions and commentary expressed by Bill Capuzzi are his own and not necessarily those of Apex Clearing Corporation, a subsidiary of Apex Fintech Solutions. Apex Clearing Corporation is a SEC-registered broker-dealer and member of FINRA /SIPC. Cryptocurrency products and services are offered through an affiliate Apex Crypto LLC (NMLS ID 1828849).

Listen to highlights of this fascinating discussion on ESG investing with a panel of subject matter experts.

In this fascinating discussion we peal back the layers of ESG to uncover what it really is, how to manage it by leveraging the latest technology, how to cut through the “greenwashed” marketing fluff, and how to use ESG as a practice differentiator.

We promise you this is the most enlightening ESG discussion you will ever listen to!

Once you listen to the episode be sure to visit our ESG page for the information and graphics that will provide additional related insights.

Hosts:

Scott Stathis and Bob Mittel

Discussion Guests:

• Gabe Rissman – Co-Founder, YourStake
• Patrick Reed – Co-Founder YourStake
• Sean Meighan – Managing Director, Advisory Services, Atria Wealth Solutions
• Max Mintz – Financial Planner, Common Interests
• Keith Burger – National Sales Director, formally AIG now Luma Technologies

Sponsoring Partner:

YourStake

Music Credits:

Band: A Rusty Something (Nick Simpson)

Song: SSRI

This episode focuses on leveraging technology to create efficient and standardized workflows and processes to move contacts through the prospecting pipeline and have them emerge as loyal clients.

We are grateful to LPL for co-hosting and sponsoring this episode and appreciate their insights on utilizing defined workflows as a foundation for building technology solutions.

Both of our program management guests are from top-tier programs and are responsible for driving revenue growth.

Hosts:

Scott Stathis and Bob Mittel

Discussion Guests:

• Arthur Osman, EVP Institution Services Business Consulting at LPL
• Brad Johannes, VP Wealth Management at DECU Investment & Retirement Services
• JC Murray, SVP at First Interstate Bank

Sponsoring Partner:

LPL

Music Credits:

Band: A Rusty Something (Nick Simpson)

Song: SSRI

The initial and primary source of communications with a client is the advisor. However, there are multitudes of additional ancillary communications that must be conducted with a client to evolve and manage the relationship. Some of these communication types include onboarding, compliance, marketing, account management, etc. 

These necessary communications can be executed through a variety of digital means or by physical mailings. These ancillary “touches” must be expertly planed, monitored, and managed if they are to create the desired professional client experience.

Smart organizations will take inventory of every client communication touchpoint and make sure they are leveraging every one of these communications for optimal relationship development.

This discussion will delve into how to expertly manage these communications in a way that will meet, and ideally exceed, client expectations.

Hosts:

Scott Stathis and Bob Mittel

Discussion Guests:

• Anna Hockett - Sr National Account Executive at Doxim
• Scott Orr – VP Strategic Accounts at Doxim
• Don Clark - Regional Manager at Wintrust
• Teo Trandafir - Director, Investment Services at UW Credit Union

Sponsoring Partner:

Doxim

Music Credits:

Band: A Rusty Something (Nick Simpson)

Song: SSRI

Episode Overview

In this episode, titled “The Tech-Human Balancing Act” we will discuss the relative role of technology in the development of client relationships and trust. We will also cover subjects such as exceeding client expectations, data mining to identify the “next best action”, enhancing the advisor’s value proposition, and the future of technology in our channel.

Host:

Scott Stathis and Bob Mittel

Discussion Guests:

• Eugene Elias, Chief Operating Officer at Atria Wealth Solutions
• Brian Bichler, Head of Technology Platform Experience, Managing Director at Atria Wealth Solutions
• Ryan Tingey, Program Development Manager at CUSO Financial Services
• Brandon Handy, Advisor Development Manager at CUSO Financial Services

Sponsoring Partner:

Atria Wealth Solutions

Music Credits:

Band: A Rusty Something (Nick Simpson)

Song: SSRI