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  • 1. CENTER FOR DUE DILIGENCE P.O. Box 8 • Western Springs, Illinois 60558 (630) 662-0284 • Fax (630) 662-0286 Consulting • Research E-mail: CFDD@401kduediligence.com Competitive Analysis Web: http://www.401kduediligence.com CFDD ADVISOR CONFERENCE SPEAKER BIOS How To Grow Your Retirement Plans Business Part II: Changing Business Practices October 12-14, 2004 Radisson O’Hare, Rosemont, IL Tuesday, October 12, 2004 7:00 a.m. - 8:00 a.m. Registration & Breakfast 8:00 a.m. – 8:15 a.m. Grand Ballroom Introduction Phil Chiricotti, President, CFDD Phillip Chiricotti is the President of the Center for Due Diligence, an independent consulting/research organization specializing exclusively in 401(k) program competitive analysis for the trade. Chiricotti has been in the financial services industry for over thirty years and has specialized in retirement plans for over a decade. Before launching the CFDD, Phil was a retirement advisor and he holds a BSBA from Tri State College, majors in finance and accounting, and did graduate work at the University of Chicago. He resides in Oakbrook, Illinois with his son Sean (15) and his daughter Kelly (17). Phil’s passions include Renaissance art, architecture and ancient military history. 8:15 a.m. – 9:30 a.m. Grand South Legislative Outlook & Impact On Advisor-Sold Retirement Plans David L. Wray, President, Profit Sharing/401(k) Council of America David L. Wray is the President of the Profit sharing/401(k) Council of America (PSCA), a national, non-profit association of companies that sponsor profit sharing and 401(k) plans for over 4 million employees. David is a nationally recognized authority on 401(k) and other defined-contribution plan issues and has testified before a number of congressional committees and at Labor Department, Treasury Department, and Internal Revenue Service hearings. David is Vice Chair of the Department of Labor’s ERISA Advisory Council, which advises the Secretary of Labor on benefits issues, and was a member of the Certified Financial Planner Board of Standards Advisory Board. David frequently speaks before trade groups, contributes to benefits publications and is often quoted in the media. David has written “Take Control With Your 401(k)” which was published by Dearborn Center for Due Diligence
  • 2. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 2 September 28, 2004 Trade in June 2002. Wray also is executive director of the Profit Sharing/401(k) Education Foundation (PSEF), a non-profit educational organization dedicated to disseminating facts about the most effective uses of profit- Tuesday, October 12, 2004 (Continued) sharing, 401(k), and related plans. David also served as President from 1993 to 1996 of the International Association for Financial Participation (IAFP), a Paris based alliance of national organizations that promote the use of employee financial participation. Grand Central Joint Distribution: “Coopetition” Comes of Age Charles E. Wenzel, Sr VP,Distribution Support, BISYS Retirement Services Tommy Thomasson, President & CEO, DAC Charles E. Wenzel is Senior Vice President of Distribution Support Services for retirement services at BISYS. With over 15 years in the industry, Charlie came to BISYS from Seligman Advisors where he served as National Sales Manager for 2½ years. Prior to Seligman, Charlie worked for Trust Consultants as the National Sales Manager and as a Regional Managing Consultant supporting the distribution network of several mutual fund companies, assisting them in turnkey 401(k) and other retirement products. Charlie’s focus at BISYS is to oversee all sales, marketing and support services for its alliance partners’ 401(k) products. He has extensive experience working with the institutional partners and sales agents through whom BISYS distributes its product. Mr. Wenzel holds a Bachelor’s degree from Indiana University in Public Finance. Tommy Thomasson served as executive vice president prior to being elected president and CEO. Tommy co- founded DailyAccess in 1995 and has been a driving force in bringing DAC from an idea to a reality and an emerging market leader. Thomasson's concentration on the development of strategic alliances for the company has been fundamental in the firm's success. Before to forming DAC, he was a Financial Consultant with Merrill Lynch for five years, focusing on the 401(k) market and gaining extensive marketing experience with large plan sponsors. Professional activities while at Merrill Lynch included sponsoring and coordinating the Annual Retirement Plan and ERISA Conference as well as being a member of the Mobile Employee Benefits Council. Tommy also owned and operated a Registered Investment Advisory firm, Financial Asset Management Services, Inc., which provided money management services to private and institutional clients. Thomasson graduated with a Bachelor's degree from Washington & Lee University, Lexington, Virginia. Grand North Sales Opportunity: New Development For Companies With Traditional Defined Benefit Pension Plans Joe Masterson, Senior Vice President, Diversified Investment Advisors Joe Masterson, Senior Vice President, is a member of Diversified's Executive Management Committee and Investment Committee. Joe is responsible for leading Sales and Distribution Channel Management teams. He has been with Diversified for 18 years. Prior to his current assignment, Joe also led Diversified's Regional Client Management Organization in addition to his current responsibilities. Joe held similar responsibilities with Diversified's predecessor, Mutual of New York, where he was also responsible for their Investment Advisory Division. Prior to joining MONY, he was a Vice President with Citicorp Investment Management, Inc. Joe began his pension career in 1976 with Aetna, where he worked with many of their largest clients in the New York Center for Due Diligence
  • 3. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 3 September 28, 2004 area. He received a B.S. in Marketing and an M.B.A. in Investment Management Finance from Fordham University. Tuesday, October 12, 2004 (Continued) 9:45 a.m. – 11:00 a.m. Grand South Procedures, Practices & New Challenges In Crediting Sub/TA & 12b-1 Fees As Recordkeeping Offsets Glenn A. Dial, VP, National Sales Manager, Ceridian Retirement Plan Services Glenn A. Dial is the Vice President/National Sales Manager for Ceridian Retirement Plan Services. He is responsible for managing a national wholesaler sales force for all retirement plan products including 401(k), 403(b), Money Purchase, ESOP’s and Defined Benefit plans. Glenn’s responsibilities also include developing alliances with Broker Dealers, Mutual Fund Companies and Consultants. Glenn has been in his current position with Ceridian since 1999. Prior to joining Ceridian, he was the 401(k) Southeast Regional Sales Manager for Automatic Data Processing. Glenn came to ADP from Smith Barney where he was a producing broker concentrating on 401(k) plans. Glenn is a NASD registered Principal and holds a MBA from Rollins College and a BSBA-Finance from the University of Central Florida. Grand Central Reasonable Compensation & Client Disclosure Advisor Moderated Roundtable Of Advisors -Jon Geller (Moderator), Managing Director Retirement Services Practice, The Bostonian Group -Laura Gough, Director of Corporate, Executive Services & Retirement Plans, Robert W. Baird -Bryan M. Schneider, Senior Vice President, Director & Shareholder, Smith Hayes Financial Services Jon Geller is Managing Director of the Retirement Services Practice at The Bostonian Group, a Boston-based multi-practice employee benefits consulting firm. The Retirement Services Practice consults to over 70 corporations with plan assets in excess of $600 million. The practice is comprised of 6 professionals with over 70 years of experience. As Managing Director, Jon is responsible for overseeing the servicing of the firm’s retirement clients and developing new consulting relationships. Jon has extensive experience in all aspects of the structure and management of defined contribution plans including plan design, investments, fiduciary responsibility, cost containment, and employee communication. Prior to joining The Bostonian Group in 2001, Jon held senior-level sales and marketing positions with Fidelity Investments, Barclays Global Investors, and mPower. Jon has a MBA degree from Babson College and recently obtained the Accredited Investment Fiduciary (AIF) designation from The Center for Fiduciary Studies. Jon holds his NASD Series 7, 63 and 66 licenses. Laura Gough is Director of Corporate and Executive Services and Retirement Plans Services for Robert W. Baird & Co. Ms. Gough is responsible for directing the firm's sales and marketing of corporate services, which includes corporate cash management, stock options, Employee Stock Purchase Plans, Rule 144, 10b5-1 contracts, and qualified and non-qualified retirement plans. Ms. Gough is active in organizations identifying industry issues Center for Due Diligence
  • 4. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 4 September 28, 2004 and contributing to industry outreach. She currently serves as Chairperson for the Securities Industry Association Retirement Savings Committee and is a member of the Security Industry Association 529 Committee. She is also a member of the International Foundation of Employee Benefits, the National Association of Stock Plan Professionals, and an affiliate member of the American Society of Pension Actuaries. Ms. Gough earned a B.S. in Tuesday, October 12, 2004 (Continued) Economics from Virginia Commonwealth University. She holds the National Association of Securities Dealers Series 6, 7, 9, 10, 24, 63, and 26 licenses as well as her State of Wisconsin insurance license. Bryan M. Schneider is a Senior Vice President, Director and Shareholder with the firm SMITH HAYES Financial Services. He earned a degree in Business Administration with an emphasis in Accounting and Finance from Nebraska Wesleyan University. Prior to joining SMITH HAYES in 1996, Schneider spent four years in the public accounting and consulting profession. As part of a four-member team at SMITH HAYES that focuses on qualified and nonqualified retirement plans, Bryan’s responsibilities include plan design, investment management, employee communication, ERISA compliance and general consulting services to the team’s sixty plus clients. He is also responsible for competitive analysis and developing new corporate relationships. Schneider is a member of numerous advisory groups and is Series 7, 63, 65, 24 and insurance licensed. Grand North Retirement & IRA Rollover Markets In Transition Ronald A. Cohen, VP/ Mgr, Intermediary Plan Sales, Scudder Retirement Svcs. Ron Cohen is Vice President and head of intermediary plan sales and consultant relations at Scudder Retirement Services. He has served in this role since August 2000 and is responsible for managing the premium plan sales force as well as developing and maintaining relationships with the intermediary channels. In addition, he focuses on alternative distribution channels such as strategic alliances and e-distribution. Prior to this role, Ron worked as a sales representative covering the northeast region and previously served as a relationship manager. He has been with the firm since 1993. Ron received a BA from the University of Massachusetts. Additionally, he received a Pension Plan Certification at Bentley College in 1998. 11:15 a.m. – 12:30 p.m. Grand South Cross Selling: How To Increase Revenue From Your Existing Book Of Business David L. Musto, SVP, Emerging Corporate Segment, Prudential Financial Michael Domingos, Vice President, Prudential Retirement Tom Kret, SVP- Investments and Retirement Plan Consultant, Smith Barney Matt Gnabasik, Managing Director, Blue Prairie Group David L. Musto is Senior Vice President of the Advisor-Sold Corporate Segment for Prudential Retirement, a unit of Prudential Financial. In this role, David is responsible for product development, distribution and service models for corporate clients with under $20 million in retirement plan assets. Prior to joining Prudential, Musto was senior vice president of the Growth Market Segment for CIGNA's full-service retirement business, which was acquired by Prudential in April 2004. Previously, David was Vice President of Product Management for CIGNA Center for Due Diligence
  • 5. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 5 September 28, 2004 Retirement & Investment Services. Before joining CIGNA, David served as vice president of Product Management at Kamoon, a start-up financial software company, where he led efforts to define, develop and market new product capabilities and service offerings. Prior to that, he served in various senior leadership roles for Prudential Retirement Services. David graduated from the College of William and Mary with a bachelor's of Tuesday, October 12, 2004 (Continued) business administration degree in finance and from New York University with a master's of business administration in finance and international business. Michael Domingos, Vice President, located in Chicago, Illinois, is responsible for the development of new client relationships in the Midwest region. Mike joined Prudential Retirement in 1993 and has ten years of experience in the institutional retirement business. He received his B.S. in Business Administration from the University of Hartford, and holds a number of securities licenses including NASD Series 7, 6, 63, and 24. Thomas B. Kret, a Corporate Client Group Director, and Senior Vice President – Investments and Retirement Plan Consultant with more than twenty years of experience in the securities industry, is dedicated to helping his corporate and individual clients meet their financial goals. He established the Kret Group at Smith Barney to provide retirement plan consulting services for plan sponsors and retirement plan participants and investment consulting for individual investors. Mr. Kret is a graduate of Western Illinois University, with a major in Finance, and a minor in Spanish. He earned a Masters degree in International Finance from Thunderbird, (The American Graduate School of Internationa Management), ranked by US News and World Report as the number one graduate school for international business for the fifth consecutive year. Tom began his career with Paine Webber in 1983, and moved his practice Prudential Securities, Inc. in 1987. At PSI he served as a member of the firm’s exclusive 401(k) Advisory Council. In January 2001, Tom joined Smith Barney as a Senior Vice President – Investments and Retirement Plan Consultant. Believing a hands on approach works best, he has conducted employee educational meetings for thousands of participants and can conduct meetings in both English and Spanish. Matt Gnabasik is an accomplished retirement plans consultant and has worked with hundreds of corporate, not- for-profit and government clients throughout the country. Matt has sold institutional retirement plans for a large 401k provider and has headed up three retirement practices in Florida and the Midwest. He is the founder of Blue Prairie Group, a Chicago-based human resource and investment consulting firm. Matt is also the author of the award winning book for plan sponsors, “Smart Choices: Selecting & Administering a Safe 401(k) Plan” and is currently working on his second book aimed at financial advisors entitled, “401(k) Inc: Building A Successful Retirement Plan Practice.” Grand Central Commission Management Reporting System Charles E. Wenzel, Sr. VP,Distribution Support, BISYS Retirement Services R. Clifton D’Amato, CEO, Matrix Settlement and Clearance Services, LLC Charles E. Wenzel is Senior Vice President of Distribution Support Services for retirement services at BISYS. With over 15 years in the industry, Charlie came to BISYS from Seligman Advisors where he served as National Sales Manager for 2½ years. Prior to Seligman, Charlie worked for Trust Consultants as the National Sales Manager and as a Regional Managing Consultant supporting the distribution network of several mutual fund companies, assisting them in turnkey 401(k) and other retirement products. Charlie’s focus at BISYS is to oversee all sales, marketing and support services for its alliance partners’ 401(k) products. He has extensive Center for Due Diligence
  • 6. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 6 September 28, 2004 experience working with the institutional partners and sales agents through whom BISYS distributes its product. Mr. Wenzel holds a Bachelor’s degree from Indiana University in Public Finance. Tuesday, October 12, 2004 (Continued) R. Clifton D’Amato is Chief Executive Officer of Matrix Settlement & Clearance Services, LLC (“MSCS”) a position he has held since 1999. Cliff has been a Manager, Chief Technology Officer, and Financial and Operations Principal of MSCS Financial Services, LLC, member NASD & SIPC and a wholly owned subsidiary of MSCS since 2001. He has been President of Matrix Advisory Services, LLC, a state registered investment adviser since 2001. Cliff is a business professional with over 25 years of diversified business experience in domestic and international organizations including a major public accounting firm and commercial bank. In addition to being one of the original shareholders of Optech, he spent seven years at Bankers Trust in New York with senior management responsibilities in both the defined contribution business as well as the corporate trust and agency group. Cliff holds the following license: Series 27 (Financial Operations Principal). Grand North IRS, DOL & Fiduciary Audits: How To Identify Problems, Solutions & Marketing Opportunities In DB & DC Plans Mark Niziak, Esq., Director, ERISA/Consulting Services, NYLIMt Sean Kelley, Vice President, Retirement Plan Sales, NYLIM Mark Niziak is Director of ERISA/Consulting Services at NYLIM Retirement Plan Services. He has consulted on all aspects of employee benefit plans and has been a lecturer at numerous employee benefit seminars. Mark is a member of the American Bar Association, the Massachusetts Bar Association, the Employee Benefits and Executive Compensation Committee of the ABA Section of Business Law and the Employee Benefits Committee of the ABA Section of Taxation. He received a B.A. from Johns Hopkins University, a J.D. from the University of Michigan and an LL.M. from Boston University. Sean Kelley is Vice President, Director of Retirement Plan Sales in the Western Region. Sean comes to NYLIM with over thirteen years’ experience selling and distributing retirement plans on the West Coast. Most recently, Sean was at Fidelity Investments Institutional Services Company Inc where he managed one of the most visible and successful sales territories. He has also developed leading sales regions for AIM Distributors, Inc., John Hancock Funds, Inc., and Wells Fargo & Company. During his career, he has been involved in over 300 retirement plan transactions. Because of his extensive background in retirement plan sales and marketing, Sean has authored several articles and is a frequently requested speaker at various industry events. He holds a certificate in Pension Fund and Investment Management from the Wharton School at the University of Pennsylvania. 12:30 p.m. – 1:30 p.m. Lunch Center for Due Diligence
  • 7. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 7 September 28, 2004 Center for Due Diligence
  • 8. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 8 September 28, 2004 Tuesday, October 12, 2004 (Continued) 1:30 p.m. – 2:45 p.m. Grand South How To Work In Conjunction With ERISA Attorneys Dale R. Vlasek, Esq., McDonald Hopkins Co., LPA Dale R. Vlasek is a shareholder in McDonald Hopkins Co., LPA. He is chairman of the Employee Benefits Practice Group. He focuses his practice on all employee benefit matters including pension, profit sharing and 401(k) planning, design, operation and compliance matters, ESOPs, welfare benefit plans (e.g. group health, life, dependent care programs) design, operation and compliance matters, ERISA litigation, and multi-employer pension plans. He serves as benefits counsel to a number of middle-market and larger companies. He received his B.A. and M.A. degrees from Cleveland State University, and his J.D. degree (high distinction, Order of the Coif) and Ph.D. degree from the University of Iowa. Grand Central A Strong TPA Partnership Can Enhance Your Retirement Sales Manulife Moderated Roundtable Of TPAs - John D. Shuta (Moderator), Midwest Regional Marketing Director, Manulife Financial, US Group Pensions - Larry Shippee, President, The Benefits Consulting Group - Howard Simon, CPA, President, Howard Simon & Associates - Scott Emering, Managing Partner, The Emering Companies, LLC - Peter Stephan, President and Principal, The Pension Group John D. Shuta has worked for Manulife since April, 2000, holding numerous positions including Enrollment Coordinator, Sales Associate, Sales Support Manager, and currently, the Regional Marketing Director for the Midwest. Prior to Manulife, John held positions in sales and sales management for 11 years in various industries. John also has been designated as an Accredited Pension Representative by the National Institute of Pension Administrators (NIPA). Larry Shippee entered the employee benefits industry in 1975. Larry has held the position of Chief Actuary for a national benefits consulting firm and has also served as Chief Actuary for a major life insurance company that specializes in the employee benefit marketplace. In 1987 he formed The Benefits Consulting Group to provide quality actuarial, consulting and administrative services to businesses sponsoring retirement plans. Center for Due Diligence
  • 9. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 9 September 28, 2004 Tuesday, October 12, 2004 (Continued) Howard A. Simon, CPA, is the President and founder of Howard Simon & Associates, Inc. an actuarial consulting firm located in Riverwoods, Illinois and established in 1981. He is a graduate in accounting from Northern Illinois University. Howard was a former manager with the firms of Grant Thornton and Arthur Young & Co. During the last twenty years he has worked in the retirement plan area and has been a frequent speaker on retirement planning matters. Howard has been asked to speak on various retirement plan topics to the Illinois, Ohio and Wisconsin CPA Societies. Howard is a member of the American Institute of Certified Public Accountants, the Illinois Society of Certified Public Accountants, the Ohio Society of Certified Public Accountants, the Florida Society of Certified Public Accountants and the American Society of Pension Actuaries. Scott Emering currently directs Operations, New Business Development, and Client Service for The Emering Companies, LLC (TEC). As a result, Scott has experience dealing with a variety of client issues related to the installation and operation of qualified plans. Prior to joining TEC, Scott began his Management career with Ernst & Young, LLP. As part of their Consumer Products and Strategic Advisory Service Groups, he managed major consulting engagements at Kraft Foods and Kimberly Clark. After five years, he left to assist an Internet Start-Up as an Account Executive for Ford Motor Company, who was both a key client and investor Peter Stephan is the President of The Pension Group, Inc. located in Irvine, CA. He is responsible for the firm’s strategic direction and the overall marketing of the company’s services. Actively involved in the pension administration field for over 25 years, he is the past 1996-97 President of the National Institute of Pension Administrators, Inc. (NIPA) and an associate member of the American Society of Pension Actuaries (ASPA). He is an active community supporter in the Orange County Business Council, the Irvine Chamber of Commerce and the California State University – Fullerton College of Business and Economics Executive Council. The Pension Group, Inc., with a staff of 25, has assisted over 1200 businesses set-up and administer tax-deductible retirement plans. Grand North Fiduciary Models For Fund Menu Selection & The Role Of The Advisor Richard T. Mason, VP-General Mgr, Northeast DC Business, ING Richard Mason is Vice President-General Manager of ING’s Northeast Region Defined Contribution Sales and Service Organization. He currently has oversight of the Northeast Defined Contribution field organization, with over 50 employees in 9 offices that service the Health and Government marketplace as well as Corporate Market customers, totaling over $7 billion in qualified assets. Rick joined Aetna/ING in 1986 as part of an Executive Management Development Program. As a senior member of ING’s field management team, Rick leads many of ING’s Defined Contribution Product Development initiatives. He has published and lectured on numerous plan sponsor fiduciary issues and has provided expert guidance in the development and implementation of customized educational solutions. Rick serves as a member of the New York Employee Benefits Conference (NYBEC) Board of Directors. Rick is an alumnus of Providence College and was graduated Summa Cum Laude with a Bachelor Degree of Science in Business Administration/Finance. Center for Due Diligence
  • 10. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 10 September 28, 2004 Tuesday, October 12, 2004 (Continued) 3:00 p.m. – 4:15 p.m. Grand South THE NEXT GENERATION OF TELEMARKETING: Specialists Must Leverage Talent, Resources, & New Marketing Systems To Drive More Sales Tom Herbruck, Qualified Plans Specialist & Shareholder, Herbruck Alder Tom Herbruck is a qualified plans specialist and shareholder at Herbruck Alder, a leading employee benefits brokerage and consulting firm in Cleveland, Ohio. Herbruck heads a qualified plan department of four specialists and they manage retirement plans for over 100 sponsors. Herbruck & Alder’s 35 employees also manage benefit plans for over 500 Ohio corporations. Prior to joining Herbruck Alder, Tom was a pension representative for Principal Financial Group. Tom graduated from Hamilton College in 1991 and has earned his CFP, CLU and REBC designations. Grand Central HSA’s & PEO’s Kelly Michel, VP, Special Markets & Bank Channel Management, Transamerica Frank Bruno, Senior Vice President, CNA Trust Kelly Michel is the Vice President of Special Markets and Bank Channel Management for Transamerica Retirement Services, based in Los Angeles California. Kelly leads a team of specialist focused in finding retirement solutions for Human Resource Outsourcers and Professional Employer Organizations. This team has positioned Transamerica Retirement Services as the leading retirement plan provider in these industries with assets under management in excess of $500 million. She is an active member of the National Association of Professional Employer Organizations, and the National Association of Alternative Staffing and has authored several articles for industry publications on retirement plans and their use in the employee leasing industry. Kelly joined Transamerica in 1998. Prior to joining Transamerica, Kelly worked for Great-West Life & Annuity as an Account Executive, as well as 401(k) Client Service Manager for seven years. She received her Bachelor of Science in Business Management from Pepperdine University in Malibu California. Kelly is a registered representative and principal with the NASD and is a licensed insurance agent. Frank Bruno is Senior Vice President and National Sales Director for CNA Trust. Bruno has been with CNA for over six years and is responsible for overall management of the Sales & Marketing Department. Frank has been a member of the pension sales community for over seventeen years and has worked in the sales area for Manulife, John Hancock and CIGNA. Frank’s tenure has provided him with experience in both the large and small plan market, including investment only and the full service arena. He also graduated from the University of California in 1984. Center for Due Diligence
  • 11. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 11 September 28, 2004 Tuesday, October 12, 2004 (Continued) Grand North What The Mutual Funds Scandal Means For Investment Advisors & Fiduciaries Rocco DiBruno, Director, Retirement Group, Thornburg Investment Mgmt Rocco DiBruno is the Director of the Retirement Group at Thornburg Investment Management, the investment advisor for Thornburg Mutual Funds. He is responsible for investment only DC sales and marketing of the company’s value added services to service providers and financial advisors. Prior to joining Thornburg, Rocco spent 16 years at Merrill Lynch, most recently as Regional Vice President of 401(k) and Defined Contribution Sales. Rocco also has over 23 years experience working with financial advisors and plan sponsors in retirement plan sales, consulting, marketing, and product development. Rocco is Series 7 and 63 licensed and holds the Accredited Investment Fiduciary Auditor (AIFA) designation from The Center for Fiduciary Studies. He is a graduate of Temple University in Philadelphia, PA. 4:15 p.m. – 5:45 p.m. Exhibition Area Cocktail Party Wednesday, October 13, 2004 7:00 a.m. – 8:00 a.m. Breakfast 8:00 a.m. – 9:15 a.m. Grand South Investment Outlook Dale K. Hanks, Financial Analyst, Capital Research and Management Company Dale K. Hanks currently serves as a Financial Analyst in Capital Research and Management's Institutional Investment Services Department. Dale received his B.A. degree in International Political Economy (magna cum laude) from the University of California, Berkeley, and a M.A. in Theological Ethics from Fuller Theological Seminary. He joined the Capital Group Companies in 1987. After spending several years with American Funds, Dale worked as an Investment Administrator for Capital Guardian and he helped establish a new Portfolio Control department for Capital Guardian's Personal Investment Management division. Center for Due Diligence
  • 12. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 12 September 28, 2004 Wednesday, October 13, 2004 (Continued) Grand Central Investment Alternatives In Qualified Plans: Utilizing Separate Account Management as a “Win-Win” Solution Tommy Thomasson, President & CEO, DAC Michael Bauer, Palmore Consulting Group, a member of the PRIME Group, UBS Financial Services Sharon H. Ennis, Vice President, Reliance Trust Company Tommy Thomasson served as executive vice president prior to being elected president and CEO. Tommy co- founded DailyAccess in 1995 and has been a driving force in bringing DAC from an idea to a reality and an emerging market leader. Thomasson's concentration on the development of strategic alliances for the company has been fundamental in the firm's success. Before to forming DAC, he was a Financial Consultant with Merrill Lynch for five years, focusing on the 401(k) market and gaining extensive marketing experience with large plan sponsors. Professional activities while at Merrill Lynch included sponsoring and coordinating the Annual Retirement Plan and ERISA Conference as well as being a member of the Mobile Employee Benefits Council. Tommy also owned and operated a Registered Investment Advisory firm, Financial Asset Management Services, Inc., which provided money management services to private and institutional clients. Thomasson graduated with a Bachelor's degree from Washington & Lee University, Lexington, Virginia. Michael R. Bauer received a BA in Financial Administration and Mathematics from Michigan State University in 1988 and an MBA in Finance from Wayne State University in 1989. Before joining UBS in 2002 as a Retirement Plans Consultant for the Palmore Consulting Group, he spent 13 years in the retirement and investment community with vendors/asset managers for retirement plans (5.5 years at NBD Bank, 1 year at First of America Bank, and 6.5 years with CIGNA Retirement & Investment Services). His primary responsibilities included servicing, selling and consulting on retirement plan solutions for plan sponsors. Michael has extensive experience and background with the design and implementation of the following plan types: 401(k), Profit Sharing, Defined Benefit Pension, Target Benefit, Nuclear Decommissioning, Deferred Compensation, Supplemental Unemployment Benefit, Endowment, Foundation and Charitable Trusts. Key responsibilities included assisting clients with plan legal/technical compliance, investment policy design and implementation, asset allocation modeling (including extensive plan liability review and analysis) money manager searches, portfolio performance monitoring, fiduciary file maintenance, new product and service introduction and comprehensive review of key administrative processes and procedures. Sharon H. Ennis joined Reliance Trust Company in 1993 as Senior Vice President; she is the Manager of Alliance Services in the Institutional Trust Division. Her responsibilities include sales, product development and institutional relationship management. Sharon has over twenty-five years experience managing and consulting in financial services environments. Her background includes securities brokerage, investment management, compliance, employee benefits, trust operations and product development. Prior to joining Reliance in 1993, she served as a Vice President at Bank of America, managing in the institutional trust division and the Bank's predecessor companies in their investment services group and brokerage subsidiary. Sharon professional education includes NASD licensing (six total, including four NASD Principal designations), the Tuck School of Business at Dartmouth, Cannon Financial Institute of Employee Benefits, SPARK and ASPA memberships. Sharon has served as the Chairman of Reliance's Investment Policy Committee. Center for Due Diligence
  • 13. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 13 September 28, 2004 Wednesday, October 13, 2004 (Continued) Grand North Bundled DB & Total Retirement Plans Outsourcing Gary Anderson, Managing Director, Inst’l Sales, MassMutual Retirement Svcs Andy Kelleher, Managing Director, Inst’l Sales, MassMutual Retirement Svcs Gary Anderson has been a Managing Director of Institutional Sales for MassMutual Retirement Services since 1977, first in Miami, Florida, then the Chicago Regional office from 1984 to present. Gary managed to successfully convert marketing efforts from the small/micro market to mid-market working primarily with commissioned intermediaries. Gary is a graduate of Arizona State University. Andy Kelleher is Managing Director of Institutional Sales for MassMutual Retirement Services. Andy previously worked for MassMutual Retirement Services in Institutional Sales from '88 to '92 and held Sales and Sales Management positions with Fidelity Institutional Retirement Services Company for the past 12 years before re-joining MassMutual in January. Andy has spent the last 5 years selling on a direct basis to the $75M to $400M marketplace. Andy is a graduate of University of Houston. 9:30 a.m. – 10:45 a.m. Grand South What Consultants Are Doing That Works & How To Compete With Them Dick Darian, Senior Divisional Vice President, MFS Retirement Services Tony Leonard, Regional VP, MFS Retirement Services Dick Darian is a Senior Divisional Vice President and National Sales Manager of MFS Retirement Services Inc. In addition, Dick manages the consultant relations team nationwide. He has been with MFS for 4 years. Prior to joining MFS, he held various sales management positions at Reliastar Financial. Dick began his 22-year retirement plan career at WTR Benefit Services where he was an employee benefit consultant and partner. He holds his 6, 63 and 26 licensure from NASD. Anthony J. Leonard is a Regional Vice President for MFS Retirement Services, Inc., a unit of MFS Investment Management. Tony joined MFS in September 2003. Previously, he was Sales Director for New York Life Investment Management from 2000 to 2003. Prior to that, Mr. Leonard served as Intermediary Sales Manager for 401kExchange.com, Product Manager for SEI Investments and Regional Director for Putnam Investments. Mr. Leonard earned a bachelor’s degree in Economics from the University of Notre Dame. He has Series 7, 65 and 63 certifications from the NASD. Center for Due Diligence
  • 14. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 14 September 28, 2004 Wednesday, October 13, 2004 (Continued) Grand Central Revolutionary Participant Communications To Drive Participant Behavior Adrian D. Hodge, Sr. VP, Eastern Division Manager, Retirement Sales, Fidelity Advisor (FIIS) Adrian D. Hodge joined Fidelity Investments Institutional Services Company, Inc. (FIIS) in August of 1995. Based out of Boston, Adrian is the Eastern Division Manager for retirement sales. He has a team of five retirement specialists that provide technical, business development, and sales support for investment professionals that focus their business in the qualified and non-qualified retirement plan industry. Prior to joining Fidelity, Adrian served as divisional vice president for PaineWebber, Inc. in Boston, Massachusetts. He has seventeen years of experience in the ERISA/Pension field and is well versed in employee benefit plans, investment management services and business development. Adrian attended George Mason University majoring in economics and international studies. Grand North Managing Fiduciary Responsibility & Prohibited Transactions Jeffrey Miller, President and CEO, GoldK, Inc. Jeffrey Miller has been an innovator in retirement plans throughout his career. He began as an ERISA attorney in Washington before joining Smith Barney, where he developed the retirement-services unit. He is credited with building the industry's first integrated 401(k) fiduciary management and participant advice program, 401(k) Trak, which resulted in the issuance of a groundbreaking Department of Labor exemption permitting Smith Barney to provide advice to plan participants as far back as 1992. He later moved to Putnam Investments to head advisor- sold 401(k) plans, insurance and annuities before being tapped to lead Putnam's European business development group in London, where he managed strategic joint ventures across the continent, ran an offshore fund family and built a sales and client-service organization. Returning to Boston, Mr. Miller launched Putnam's private asset management business before joining GoldK in early 2002. Jeff is the author of The 401(k) Plan Management Handbook, published in the U.S. and Japan by McGraw Hill, and has written numerous articles about retirement plans in investment and pension periodicals. He is a graduate of Boston University's School of Management and American University's Washington College of Law. 11:00 a.m. – 12:15 p.m. Grand South The Holy Grail: Income During Retirement Gordon Forrester, Director of Marketing, Putnam Investments Gordon Forrester joined Putnam in 1999 as Managing Director, Director of Marketing, Putnam Retail Management. Gordon is responsible for product management, product development, design of marketing programs and channel development. Gordon has 19 years experience in the investment industry and he holds NASD Series 7 and 63 licenses. He is a member of Putnam’s Partners and Executive Committees. Prior to joining Putnam, Gordon was CAO at Evergreen Investment Services from 1996 to 1999, and Managing Director at Furman Selz from 1987 to 1996. Gordon has a B.A. from the University of Strathclyde. Center for Due Diligence
  • 15. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 15 September 28, 2004 Wednesday, October 13, 2004 (Continued) Grand Central Changing Your Business Model From Commission Based To Fee Based NYL Moderated Roundtable Of Advisors - Sean Kelley (Moderator), VP/Director Retirement Sales West, NYLIM - Randy Long, Managing Principal, SageView Advisory Group - Doug Prince, Senior Vice President, McDonald Investments - Chris Reagan, CIMA(r), Managing Director, Mesirow Financial Sean Kelley is Vice President, Director of Retirement Plan Sales in the Western Region. Sean comes to NYLIM with over thirteen years’ experience selling and distributing retirement plans on the West Coast. Most recently, Sean was at Fidelity Investments Institutional Services Company Inc where he managed one of the most visible and successful sales territories. He has also developed leading sales regions for AIM Distributors, Inc., John Hancock Funds, Inc., and Wells Fargo & Company. During his career, he has been involved in over 300 retirement plan transactions. Because of his extensive background in retirement plan sales and marketing, Sean has authored several articles and is a frequently requested speaker at various industry events. He holds a certificate in Pension Fund and Investment Management from the Wharton School at the University of Pennsylvania. Randy Long is Managing Principal of SageView Advisory Group. SageView specializes in providing plan design, implementation and retirement plan administration to corporate clients. Randy has been in the financial services industry for over 25 years and has specialized in retirement plans since 1989. SageView manages over $750 Million in retirement assets. Randy is an Accredited Investment Fiduciary (AIF), member of ASPA, and a CFA candidate. He has a Bachelor of Science degree in Business Administration from San Diego State University and holds several licenses including Series 7, 24, 63, 65, Life and Disability. Doug Prince is a Senior Vice President and Retirement Plans Specialist with McDonald Investments. Prince currently manages more than $500 million in retirement assets for over 100 clients. Prior to joining McDonald in 1996, Doug helped develop an employee benefits consulting practice at a National CPA firm and also worked for a law firm. Doug has published many articles, is a frequent speaker, a CPA and an Accredited Investment Fiduciary Auditor. Chris Reagan assists clients in establishing and maintaining their fiduciary process. With 12 years specializing in retirement plan services, he proposes strategies, selects providers, recommends investments, supervises implementation and manages client relationships. Reagan is adept at identifying and fulfilling the unique needs of middle-market organizations. Chris is a Certified Investment Management Analyst (CIMA), a designation earned through rigorous study in finance and statistics at the University of Pennsylvania's Wharton School of Business. He is also a Chartered Retirement Plan Specialist and a member of the Investment Management Consultants Association. Chris joined Mesirow Financial in 1990 and is a member of Mesirow Financial's 401(k) investment committee, managed money advisory board and a shareholder of the firm. He earned a bachelor's degree from the University of Notre Dame in 1980. Center for Due Diligence
  • 16. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 16 September 28, 2004 Wednesday, October 13, 2004 (Continued) Grand North How Providers Can Help Support Advisor Business John Stoma, Sr. VP/Director, Retirement Services, Oppenheimer Funds George Fahey, Sr. VP/National Sales Director, Retirement Svcs, Oppenheimer John Stoma, Senior Vice President and Director of Retirement Plans, OppenheimerFunds, Inc. John directs all sales and marketing efforts for OppenheimerFunds’ $35 billion retirement plan business, including 401(k) and qualified plans, 403(b) plans, IRAs and small business plans. John joined OppenheimerFunds in 1994 with more than 25 years of experience as a pension specialist. Prior to joining Oppenheimer, he was Vice President of US Group Pension Strategy and Marketing for ManuLife Financial, a major international insurance company based in Toronto, Canada. Previously, he was Vice President of Corporate Retirement Plans with UNUM. John holds a BA from Purdue University and a JD from Suffolk University Law School. George Fahey 12:15 – 1:15 p.m. Lunch _____________________________________ 1:15 p.m. – 2:30 p.m. Grand South Why Sub-Advisory Services Are Important: An Advisor Model Kent Baur, CEO, Invesmart Advisors Kent Baur’s seventeen years in the investment business includes experience as a plan sponsor, investment consultant and money manager. Prior to joining Invesmart in 2003, he spent seven years as Managing Director at Montgomery Asset Management where he directed the research department and established a risk management and quality control process for multiple investment disciplines. Previously, he was a founding member and Director of Research for Summit Strategies Group, a premier provider of institutional consulting services to large pension plans and insurance companies, where he developed proprietary asset allocation and manager selection tools. Kent began his institutional investing career as an investment analyst for the Missouri State Employees' Retirement System. He earned a B.S. in Finance from the University of Missouri in 1986 and achieved the CFA designation in 1993. Grand Central Working With ERISA Attorneys Advisor Moderated Roundtable Of Advisors & ERISA Attorneys - Doug Prince (Moderator), Senior Vice President, McDonald Investments - Stephen D. Smith, Esq., Krieg DeVault LLP - Dale R. Vlasek, Esq., McDonald Hopkins Co., LPA Center for Due Diligence
  • 17. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 17 September 28, 2004 Wednesday, October 13, 2004 (Continued) Doug Prince is a Senior Vice President and Retirement Plans Specialist with McDonald Investments. Prince currently manages more than $500 million in retirement assets for over 100 clients. Prior to joining McDonald in 1996, Doug helped develop an employee benefits consulting practice at a National CPA firm and also worked for a law firm. Doug has published many articles, is a frequent speaker, a CPA and an Accredited Investment Fiduciary Auditor. Stephen D. Smith has dedicated his private law practice primarily to employee stock ownership plans ("ESOPs") and structuring ESOP transactions since 1984. Stephen has been responsible for structuring over 125 ESOP transactions for public and private companies. He also designs and implements equity and non-equity-based incentive compensation programs. Stephen represents ESOP fiduciaries, including employer-appointed "committees" and independent ESOP trustees, in ESOP transactions throughout the United States. He is a partner with the Indianapolis law firm of Krieg DeVault LLP. He holds AB and JD degrees from Indiana University and an LLM in Taxation from Georgetown University Law Center. He is a member of the American, Indiana State and Indianapolis Bar Associations. Stephen is also a member of The ESOP Association and its Indiana Chapter, The National Center for Employee Ownership, Employee-Owned S Corporations of America ("ESCA") and its Advisory Board, and the Indiana Pension Conference. Stephen was actively involved in drafting the S corporation ESOP enabling legislation contained in the Taxpayer Relief Act of 1997. He structured the first ESOP to be sponsored by an S corporation for Liberty Check Printers of Minneapolis. Mr. Smith also structured the first ESOP to become a registered bank holding company – the Horizon Bancorp ESOP of Michigan City. Stephen was a co-author of the S corporation ESOP "anti-abuse" legislation known as the "Breaux/Ramstad Bill." Dale R. Vlasek is a shareholder in McDonald Hopkins Co., LPA. He is chairman of the Employee Benefits Practice Group. He focuses his practice on all employee benefit matters including pension, profit sharing and 401(k) planning, design, operation and compliance matters, ESOPs, welfare benefit plans (e.g. group health, life, dependent care programs) design, operation and compliance matters, ERISA litigation, and multi-employer pension plans. He serves as benefits counsel to a number of middle-market and larger companies. He received his B.A. and M.A. degrees from Cleveland State University, and his J.D. degree (high distinction, Order of the Coif) and Ph.D. degree from the University of Iowa. Center for Due Diligence
  • 18. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 18 September 28, 2004 Wednesday, October 13, 2004 (Continued) Grand North Database Marketing Jason Jones, Senior Account Manager, Larkspur Data Jason Jones is a Senior Account Manager at Larkspur Data working specifically in the Broker Dealer and Mutual Fund Channels. Since starting with Larkspur Data in 1999, Jason has helped over 2,500 financial advisors, and wholesalers build their qualified plan business using Larkspur Data’s proven database marketing techniques. Jason has presented at many conferences and seminars around the country, teaching top-producing financial advisors to prospect more effectively. He holds a B.A. from San Francisco State University. Jason lives with his family in the San Francisco Bay Area. 3:00 p.m. – 4:15 p.m. Grand South The Next Generation Of Institutional Advisors Cosmo Smith, President & CEO, Retirement Plan Advisory Group Cosmo Smith is the founder and CEO of the RPAG, a consortium of 11 independent member firms that manage about $14 billion in retirement plan assets. The consortium has combined intellectual property, developed integrated services, created equity value as a team and is among the fastest growing firms catering to Retirement, Executive Planning and Group Benefits producers. Prior to forming RPAG, Cosmo was Asset International’s principal strategist and led a group of private equity investors, technologists, media executives and consulting firms in the founding of PLANSPONSOR.com and GLOBALCUSTODIAN.com, now primary information sources to the institutional investment community. Smith has held marketing, business development and investment posts with Skandia Group, CIGNA and J.P. Morgan. He received his MBA from the University of Connecticut and is currently on the faculty in the Cameron School at The University of North Carolina at Wilmington. His academic areas of focus are corporate finance and investment management. Grand Central How To Draft A RFI/RFPs Mark A. Metz, Sr. VP, Director of Sales & Marketing, ABN AMRO Retirement Services David S. Hinderstein, President, GBS Retirement Services, Inc. Mark A. Metz entered the retirement plan industry in 1979 with a major insurance company where he last served as Midwest Regional Pension Manager with sales, marketing and client service responsibility for a ten-state territory. He joined ABN AMRO Asset Management in 1995. Mark earned his B.S. degree in Mathematics from Western Illinois University. He has achieved the Certified Employee Benefits Specialist (CEBS) designation from the International Foundation of Employee Benefit Plans. Center for Due Diligence
  • 19. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 19 September 28, 2004 Wednesday, October 13, 2004 (Continued) David S. Hinderstein David joined the staff of GBS Retirement Services, Inc. in October 1994 as a Senior Benefits Consultant and was promoted to President on October 1999. In this position, he is responsible for overseeing all facets of Gallagher's national retirement services practices. GBS Retirement Services, Inc. (An independent broker dealer and a member of the NASD) comprise the division of Arthur J. Gallagher & Co. (NYSE-AJG) that specializes in retirement plan services to public, municipal and not-for-profit entities. Prior to joining GBS Retirement Services, Inc., David spent almost 10 years in various management positions with CitiStreet (previously the Copeland Companies). His most recent responsibility was as Regional Manager in the Southwest with emphasis on consulting and servicing large defined contribution plans for healthcare and higher educational institutions. David earned his BS degree in Finance from The American University in Washington, D.C.. He also is a Registered Representative and a Registered Principal with the National Association of Securities Dealers (NASD). Grand North Key Fiduciary Issues For Advisors In 2004 Fred Reish, Esq., Managing Director, Reish Luftman Reicher & Cohen (Sponsored by ING) Fred Reish is an ERISA attorney, whose practice focuses on tax qualification and fiduciary responsibility issues, including IRS audits and DOL investigations. Fred is regularly quoted in pension publications and the general media. He has written over 250 articles, as well as four books about retirement plans. In addition, he writes columns on 401(k) fiduciary issues for Plan Sponsor magazine and the Journal of Pension Benefits. Fred has received the IRS Commissioner's Award and the IRS District Director's Award for his contributions to professional education. Fred co-founded the first IRS conference sponsored by ASPA and contributed to the development of the IRS remedial programs. Fred also served as a founding Co-Chair of the ASPA 401(k) Sales Summit. 4:15 p.m. – 5:45 p.m. Exhibition Area Cocktail Party Center for Due Diligence
  • 20. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 20 September 28, 2004 Thursday, October 14, 2004 7:00 a.m. – 8:00 a.m. Breakfast Grand Ballroom The Strengths & Weaknesses Of Various Providers (3 Sessions) CFDD Moderated Roundtable Of Advisors, Phillip Chiricotti 8:00 a.m. – 9:15 a.m. Small Market: • Tom Herbruck, Qualified Plans Specialist & Shareholder, Herbruck Alder • Chip Romjue, Investment Consultant, Smith Hayes • Pat Oberlander, Director, Retirement Services, McDonald Investments • Advisor To Be Named 9:45 a.m. – 11:00 a.m. Mid-Market: • Ken Ulrich, Senior Vice President, Complete Pension Services, Inc • Kenneth J. Rogers, President, Rogers Financial/Walnut Securities • John B. Mott, Senior Vice President, Smith Barney • Advisor To Be Named 11:30 a.m. – 12:45 p.m. Large Market • Randy Long, Managing Principal, SageView Advisory Group • Dorann J. Cafaro, Retirement Consultant, The Cafaro Group, UBS Financial Services • Laura Gough, Director of Corporate, Executive Services & Retirement Plans, Robert W. Baird • Advisor To Be Named Phillip Chiricotti is the President of the Center for Due Diligence, an independent consulting/research organization specializing exclusively in 401(k) program competitive analysis for the trade. Chiricotti has been in the financial services industry for over thirty years and has specialized in retirement plans for over a decade. Before launching the CFDD, Phil was a retirement advisor and he holds a BSBA from Tri State College, majors in finance and accounting, and did graduate work at the University of Chicago. He resides in Oakbrook, Illinois with his son Sean (15) and his daughter Kelly (17). Phil’s passions include Renaissance art, architecture and ancient military history. Center for Due Diligence
  • 21. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 21 September 28, 2004 Thursday, October 14, 2004 (Continued) Tom Herbruck is a qualified plans specialist and shareholder at Herbruck Alder, a leading employee benefits brokerage and consulting firm in Cleveland, Ohio. Herbruck heads a qualified plan department of four specialists and they manage retirement plans for over 100 sponsors. Herbruck & Alder’s 35 employees also manage benefit plans for over 500 Ohio corporations. Prior to joining Herbruck Alder, Tom was a pension representative for Principal Financial Group. Tom graduated from Hamilton College in 1991 and has earned his CFP, CLU and REBC designations. Chip Romjue works with a team of four retirement plan specialists at SMITH HAYES Financial Services, an employee-owned firm based in Lincoln, Nebraska. Chip has been involved in selling and servicing retirement plans in the midwest since 1997. While his client list includes qualified and non-qualified plans from the start- up phase to plans in excess of $50 million, Chip focuses on the $1 million to $10 million market. Chip is a graduate of Nebraska Wesleyan University and had 11 years of banking experience prior to joining SMITH HAYES. Pat Oberlander has headed up the retirement services department at McDonald Financial Group, the broker dealer arm of Key bank, for the past 8 years. McDonald has about 600 financial advisors around the country and Pat manages a team of 15 that supports their retirement plan sales efforts, averaging over 500 plans sold and $700 million in takeover assets each of the past three years. He has been in the retirement business almost 30 years with stints at Travelers, CIGNA, and Transamerica before he joined McDonald. -------------------------- Ken Ulrich is a Senior Vice President with Complete Pension Services, Inc., a Southern California independent retirement plans consulting firm with more than 200 plans under management. Ulrich has over twelve years experience in the industry and also manages other producers for the firm. Prior to joining Complete Pension Services in 1999, he held similar positions with PaineWebber and Wells Fargo. Ken also has an extensive marketing background and held senior marketing positions with Procter & Gamble and Mattel prior to entering the financial services field. Ken holds BS and MBA degrees from the University of Southern California. Kenneth J. Rogers founded Rogers Financial in 1994. Rogers Financial, an independent retirement plans consulting firm, works with 30 plan sponsors having more than $500 million in assets under management. Rogers Financial is a Registered Investment Advisor in the state of Virginia, and Ken is a also a registered representative with Walnut Street Securities. Prior to establishing his own firm, Ken served as Regional Pension Consultant for The New England, and as a Financial Advisor with Merrill Lynch. Ken holds a BS degree from James Madison University. John B. Mott is one of only 40 people across the country that has been awarded the designation of Corporate Client Group Director as well as Senior 401(k) Advisory Member at Smith Barney. He focuses on the management and design of qualified and non-qualified retirement plans and is responsible for over 45 corporate plans across the country that make up over 30,000 plan participants. With over 20 years of experience in the financial services industry, John is able to bring a level of knowledge and expertise that is truly unique and beneficial to the plan sponsor as well as the employee. John is a Graduate of Rice University in Houston, Texas. - - - - - - - - - - - - - - - - - - - - - - - -- - Center for Due Diligence
  • 22. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 22 September 28, 2004 Thursday, October 14, 2004 (Continued) Randy Long is Managing Principal of SageView Advisory Group. SageView specializes in providing plan design, implementation and retirement plan administration to corporate clients. Randy has been in the financial services industry for over 25 years and has specialized in retirement plans since 1989. SageView manages over $750 Million in retirement assets. Randy is an Accredited Investment Fiduciary (AIF), member of ASPA, and a CFA candidate. He has a Bachelor of Science degree in Business Administration from San Diego State University and holds several licenses including Series 7, 24, 63, 65, Life and Disability. Dorann J. Cafaro is a founding partner of The Cafaro Group focusing exclusively on design and implementation of retirement plans, providing the identification and monitoring of investment programs tailored to meet sponsor’s need. Dorann Cafaro has been a Regional Director of Retirement Services for Prudential Investments, a Corporate Vice President and Manager of Training Financial Planning for PaineWebber, and a Senior Vice President of Marketing for a leading money management firm. She holds a BS from Marquette University and is Series 8,7, 63,65, Life and Health licensed. With over 25 years in the financial industry, Ms. Cafaro is recognized for her unique unbiased consulting advice. Laura Gough is Director of Corporate and Executive Services and Retirement Plans Services for Robert W. Baird & Co. Ms. Gough is responsible for directing the firm's sales and marketing of corporate services, which includes corporate cash management, stock options, Employee Stock Purchase Plans, Rule 144, 10b5-1 contracts, and qualified and non-qualified retirement plans. Ms. Gough is active in organizations identifying industry issues and contributing to industry outreach. She currently serves as Chairperson for the Securities Industry Association Retirement Savings Committee and is a member of the Security Industry Association 529 Committee. She is also a member of the International Foundation of Employee Benefits, the National Association of Stock Plan Professionals, and an affiliate member of the American Society of Pension Actuaries. Ms. Gough earned a B.S. in Economics from Virginia Commonwealth University. She holds the National Association of Securities Dealers Series 6, 7, 9, 10, 24, 63, and 26 licenses as well as her State of Wisconsin insurance license. “For organizations and employees alike, the only real security is the ability to grow, change and adapt.” - Kearney - Center for Due Diligence
  • 23. How To Grow Your Retirement Plans Business - Conference Speaker Bios Page 23 September 28, 2004 Conference Contact Information: Center for Due Diligence P.O. Box 8 Western Springs, Illinois 60558 Phone: (630) 662-0284 Fax: (630) 662-0286 Email: cfdd@401kduediligence.com CFDD Home Page: http://401kduediligence.com Advisor Conference Homepage: http://www.401kduediligence.com/CFDDconference2004.asp Center for Due Diligence