The following sessions have been approved for one (1) CFP® continuing education credit each.

Read about each presenter by clicking on their photo.

 

MarioNardoneYou're an amazing CFP®! But are you really CIO material?

Monday, September 9 | 10:10 - 11:00 a.m.

Presented by Mario Nardone
• Track: Investment Solutions  • Level: Launch

You're a CFP® by trade, but a CIO by default. Managing assets isn't rocket science, but all that other stuff...well, it can get a bit hairy. What parameters should you have around rebalancing? How much due diligence should you be doing on this ETF? All S&P 500 indexes are the same, right?

Turns out, there's quite a few boxes you need to be checking. In this session, Mario Nardone of XY Investment Solutions will walk you through a checklist to make sure you are qualified and equipped to integrate investment management into your firm, whether that be on your own or through delegation/outsourcing.

Mario Nardone

Mario Nardone, CFA, is Chief Investment Strategist for XY Investment Solutions and President & Founder of East Bay Financial Services. He began his career in 1999, with Vanguard, where he consulted institutions and financial advisors on investment policy, portfolio construction, and Exchange-Traded Funds (ETFs).

Mario relocated to Charleston in 2010, to serve as Chief Investment Officer and Chief Compliance Officer for an RIA before establishing East Bay Financial Services, the collaborative partner firm of XY Investment Solutions.

Mario is Past President of the CFA Society South Carolina and Former Chairman of the College of Charleston Finance Department Advisory Board. He is an avid traveler, SCUBA diver, and enjoys spending time with his wife, Piper, and their "energetic" lab/shepherd mix, Cady.

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Amy FlorianAdvising Clients Through the Toughest Times of Life

Monday, September 9 | 10:10 - 11:00 a.m.

Presented by Amy Florian
• Track: Financial Planning  • Level: Scaling - Lifestyle Firm

When clients cope with death, divorce, empty nest syndrome, or other life transitions, what you say and do in the office has more influence on your relationship than your financial savvy ever did. In this session, Amy Florian will teach you how to answer the dreaded “bad news” call and will explore the unique issues your clients face, the differences between how men and women deal with transition, and the best ways to communicate at appointments and on the phone. Learn to handle a crying client and whether the stages of grief are applicable. Gain skills to deal with irrational fears, bring humor into meetings, and help clients of all ages make wise decisions in the midst of loss. Walk away with practical, proven strategies that you can implement immediately.

Amy Florian

Amy Florian, CEO of Corgenius, teaches professionals to build strong relationships with clients through all the losses and transitions of life.

She is author of over 150 articles and the award-winning books “No Longer Awkward: Communicating with Clients through the Toughest Times of Life” and “A Friend Indeed: Help Those You Love When They Grieve”. She is the recipient of numerous awards for her ground-breaking work, and has been quoted or featured throughout the financial trade press, including the Wall Street Journal, CNBC, and many others.

Amy holds a Master’s Degree and is a Fellow in Thanatology. She taught graduate programs for 10 years, has worked with over 2,000 grieving people, and consults with firms, corporations, and individuals internationally.

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#XYPNLIVE 2019 in St. Louis

 

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Compliance/Operations

Financial Planning

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Jon HaleMaking Sustainability and Impact a Part of Your Practice

Monday, September 9 | 11:10 a.m. - 12:00 p.m.

Presented by Jon Hale
• Track: Investment Solutions  • Level: Refine and Grow

You've probably heard a lot about sustainable (responsible, impact, ESG) investing over the past several years, but you may still be on the fence about making it a part of your practice. In this session, Morningstar's Jon Hale will discuss the reasons why a sustainability focus may be a good fit for you and your practice, how to talk to clients about it, and how to implement it in client portfolios.

Jon Hale

Jon Hale is the global head of sustainable investing for Morningstar Research Services, LLC. He assumed that role in 2016 at the launch of Morningstar's Sustainability Rating for funds.

Prior to that, Jon has been Morningstar's director of manager research and a portfolio manager for Morningstar Investment Management. Jon has a Ph.D. from Indiana University and is a CFA charterholder.

Jon writes extensively about sustainable investing for morningstar.com and on his Medium blog, The ESG Advisor.

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Sarah FallawEye-Rolls or Head Nods? Understanding Client Attitudes Towards Financial Planning

Monday, September 9 | 11:10 a.m. - 12:00 p.m.

Presented by Sarah Fallaw
• Track: Financial Planning  • Level: Launch

How can attitudes about budgeting, spending, and investing impact how you work with clients? Each client has a unique outlook on different aspects of the financial planning process, and those attitudes can influence success in providing advice and helping clients reach their goals. In this session, you’ll gain a deeper understanding of how attitudes relate to financial behaviors and financial outcomes such as net worth, regardless of how old we are or our income level. You will leave with a set of structured questions you can use to add to your prospecting/onboarding process to uncover financial attitudes. This session is eligible for 1 CFP® Board credit.

Sarah Fallaw

Sarah Stanley Fallaw, Ph.D. is the author of The Next Millionaire Next Door and the founder of DataPoints LLC, a research and technology company that provides advisors and individuals with behavioral science tools to achieve financial success. DataPoints created the industry's first assessment of individual propensity to build wealth based on The Millionaire Next Door and has been featured in MarketWatch, Money Magazine, InvestmentNews, U.S. News & World Report, and Michael Kitces’ Nerds Eye View.

Her research on psychometrics and financial psychology has been featured in conferences and publications including Industrial and Organizational Psychology and the Journal of Financial Services Professionals.

Sarah received her Ph.D. in Applied Psychology from the University of Georgia in 2003.

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Rebecca ConnerShane MasonStock Options 101: ISOs, Non-Quals, and RSUs, Oh My!

Monday, September 9 | 3:10 - 4:00 p.m.

Presented by Shane Mason & Rebecca Conner
• Track: Investment Solutions  • Level: Refine and Grow

In this session, Shane Mason and Rebecca Conner will help you think about planning for stock options with real-world situations. You’ll have the opportunity to steal from the pros as Shane and Rebecca share the client interaction experiences of Amazon, Google, and the many IPOs/Mergers they’ve worked on with clients.

Shane Mason

Shane is a Certified Public Accountant in New York City. He specializes in tax preparation and financial planning services for small and medium business owners, creatives, tech professionals, expatriates and foreign nationals living in the US.

When he's not writing about himself in the third person, Shane enjoys drinking gallons of coffee, biking to the beach and trying to catch up on the books he was supposed to read in high school.

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Rebecca Conner

Rebecca J Conner is the Founder and Lead Advisor of SeedSafe Financial LLC. As a CPA with a decade of tax planning experience, Rebecca developed a special interest in bringing strategy and education to entrepreneurs and tech executives of quickly growing companies.

Rebecca uses her experience in tax planning and taxation to provide stock compensation planning around stock options and RSUs while keeping the bigger financial picture in check. She has worked with many employees of IPOing companies, public companies, and mergers.

She began her career in public accounting and moved into the investment industry in 2009 when she joined Dimensional Fund Advisors in Austin, TX. She has undergraduate degrees in Business Honors and Accounting, as well as a Master in Professional Accounting, from The University of Texas at Austin.

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Chris Dale Melissa EllisWidows and Divorcees: Servicing Women in Transition

Monday, September 9 | 11:10 a.m. - 12:00 p.m.

Presented by Melissa Ellis and Chris Dale
• Track: Sales/Marketing • Level: Refine and Grow

In this session, Chris Dale and Melissa Ellis will dive into the nuances of working with women during some of their most difficult transitions: divorce and death of a spouse. As planners who focus specifically on women, Chris and Melissa will share explicit tactics for working with these niches, things to consider when consulting them, and most importantly, how they humanize the relationship.

Melissa Ellis

Melissa J. Ellis is a Certified Financial Planner™ and Certified Divorce Financial Analyst™ based in Overland Park KS.

After launching Sapphire Wealth Planning in 2016, Melissa decided to focus on helping women with their Divorce Planning needs. Melissa graduated from the University of Missouri with a Masters degree in Personal Financial Planning degree & is a member of the XY Planning Network Advisory Committee. She also takes time to volunteer with Junior Achievement and Big Brothers Big Sisters of Kansas City.

Melissa's lifelong passion for travel and has taken her to all 50 states, Europe, Canada, Mexico and the Caribbean. Her next travel goal is to visit all 7 continents!

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Chris Dale

After a 17 year financial career, Christopher left the corporate world to start Life After Grief Financial Planning(LAG). LAG focuses on helping those in grief navigate financial matters.

His own experiences with caregiving, the loss of his parents and a child have given rise to the formation of his firm. Christopher also created Life After Grief Consulting(LAGC) as a result of advisors seeking him out for his expertise and process for working with clients in grief.

Through LAGC, Christopher has created a professional education program to advisors with grieving clients. This training was devised to give advisors a grieving client guide. This guide helps distinguish a client's grieving style, proper communicate techniques, workflows, timelines and much more.

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Cristina BehrensGeorge KinderA Conversation with George Kinder and Fellow Registered Life Planners®

Monday, September 9 | 3:10 - 4:00 p.m.

Presented by George Kinder, Cristina Behrens, Scott Frank, and Frankie Corrado
• Track: Financial Planning  • Level: Scaling - Lifestyle Firm

Frankie Corrado Scott FrankJoin George Kinder and fellow Registered Life Planners® Cristina Behrens, Scott Frank, and Frankie Corrado for this session, and be sure to bring your questions. Expect a wide-ranging conversation on Life Planning, its roots in mindfulness, the Three Questions, EVOKE®, best business practices, delivering Life Planning to the underserved, and using EVOKE® to build community vitality, as well as a discussion of George’s new book: A Golden Civilization and the Map of Mindfulness.

George Kinder

Internationally recognized as the father of the Life Planning movement, George Kinder revolutionized financial advice for over 30 years by training over 3,000 professionals in 30 countries in the field of Financial Life Planning.

He founded the Kinder Institute of Life Planning in 2003 after 30 years as a practicing financial planner and tax advisor. He has written six books, including three books on money, The Seven Stages of Money Maturity, Lighting the Torch, and Life Planning for You, which are considered by many to be the seminal works in the burgeoning field of Financial Life Planning.

In his new book, A Golden Civilization and a Map of Mindfulness, Kinder draws on 50 years as a mindfulness practitioner, 30 years as a mindfulness teacher, and his experience training financial advisors globally to challenge the basic concepts of economics, our understanding of democracy, of space-time, and our own hearts. His objective is to bring greater levels of freedom everywhere.

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Cristina Livadary, CFP®

Cristina is a Certified Financial Planner® and Registered Life Planner®. Formerly she led sales and consulting efforts as a Regional Director for Russell Investments. In this role she worked in both Southern California and Hawaii, consulting for and working with over 10,000 financial advisors.

After years of experience in the industry she grew dissatisfied with the wide disparities in knowledge, empathy, and skill within the advisor population. Today, she believes that even greater success can be achieved by solving issues holistically - with individuals and their families.

Cristina designed her own life plan and has transitioned to her dream career as a financial life planner who does everything in her power to positively impact the lives of her clients.

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Scott Frank, CFP®

Scott is the Founder of Stone Steps Financial, a financial life planning firm based in Encinitas, CA. Scott is passionate about helping clients align their money with their life.

Before he applies his technical expertise as a CFP professional and CFA charterholder, he has deep discussions with clients through the EVOKE Process to help clients determine what matters to them most. With this lens, Scott works with clients to build and implement a financial life plan.

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Frankie Corrado

Frankie Corrado is a Financial Life Guide and partner at the firm, Blue Blaze Financial Advisors. Utilizing skills learned as both a CFP(r) and Registered Life Planner (RLP), Frankie guides clients to their optimal lives by appealing to both their heads and their hearts. Since incorporating Life Planning techniques into his practice, Frankie has found tremendous energy and buy-in from clients to take the necessary actions required to reach their unique and individual goals.

In addition to his role with Blue Blaze, Frankie also serves as the President of the Board of Directors for the non-profit financial planning organization, the Alliance of Comprehensive Planners (ACP).

In his spare time, Frankie pursues the elements in his own Life Plan!

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Travis ParryThe Relational Finance Gap

Monday, September 9 | 4:10 - 5:00 p.m.

Presented by Travis Parry
• Track: Financial Planning  • Level: Refine and Grow

Have you ever met with a married couple who showed signs of relationship problems? Most financial planners have, but unfortunately, they often don’t serve these couples well. The result is a dip in productivity and loss of revenue. In this session, Dr. Parry presents the research behind the relational and financial gap and explains what every financial planner needs to know to help at-risk couples. You will learn how to help these couples and better understand what you might need to work on in your own relationships as well.

Dr. Travis Parry

Dr. Travis G. Parry began his professional career as a financial advisor in 2002. After a series of life-changing events, he invested in his education and earned several degrees in behavioral science to better understand human behavior.

He coaches financial advisors to help them be more productive so they can make more time for family and live their life on purpose.

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Alex RiedelComplementing the Financial Plan with Portfolio Management

Wednesday, September 11 | 8:30 - 9:20 a.m.

Presented by Alex Riedel
• Track: Investment Solutions

Complementing your clients’ financial plans with disciplined investment management is essential. Whether you currently delegate investment management, are considering delegating in the future, or you do it yourself, this session will help you better understand how to incorporate investment research and portfolio management to help your clients reach their goals.

Alex Riedel

Alex Riedel is the director of the portfolio specialist group. He is responsible for communicating the firm’s investment philosophy, process, and strategies to clients, advisors, and other stakeholders in the firm’s strategies. Alex participates in portfolio management meetings and serves as a liaison between the portfolio managers and the firm’s clients. He brings 19 years of industry experience.

Alex came to Morningstar through the acquisition of Ibbotson Associates where he was a senior client service manager for institutional clients. Prior to joining Ibbotson Associates in 1999, Alex previously worked for Mercer Investment Consulting.

Alex holds a bachelor’s degree in finance with a concentration in investments from the University of Illinois, Urbana-Champaign.

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Hui-Chin ChenWhat You Need to Know About Working with Clients with Global Planning Needs

Wednesday, September 11 | 9:30 - 10:20 a.m.

Presented by Hui-chin Chen
• Track: Financial Planning  • Level: Scaling - Lifestyle Firm

As the world gets flatter, you will encounter more clients with international ties or global mobility. At the same time, governments around the world increasingly impose regulations to make global living full of costly landmines. Traditional single country planning or even country-pair cross-border planning are not enough to serve these clients and their families who call multiple countries home in their lifetime.

In this session, you will learn how to differentiate various types global planning needs, how to identify planning opportunities and potential pitfalls, and how to best serve these clients while supporting their global connections and lifestyle.

Hui-chin Chen

Hui-chin Chen, CFP® is a first-generation immigrant to the US and a globally mobile professional. Drawing from her own experience of living in seven countries in the past ten years, she specializes in working with US citizens around the world and visa holders in the US, helping them make prudent financial decisions for international moves and global living.

She was named one of the 40 Under 40 Financial Advisors by InvestmentNews in 2017. Hui-chin owns Pavlov Financial Planning and breaks down complex global planning topics in everyday language on her blog Money Matters for Globetrotters.

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Josh KegleyThe RIGHT Retirement Plan

Wednesday, September 11 | 10:30 - 11:20 a.m.

Presented by Josh Kegley
• Track: Investment Solutions  • Level: Refine and Grow

In this session, you’ll learn the information needed to design an appropriate retirement plan to meet your clients’ goals. It all starts with asking the right questions and understanding the various plan types available. This session will walk you through several different plan design examples that progress from the basics to more complex, and will explore the new tax law and the opportunities it presents for Cash Balance plans.

Josh Kegley

Josh Kegley is National Sales Director for Retirement Plan Consultants (RPC). Josh is responsible for 401(k)/Qualified Plan Consulting and business development initiatives in partnership with financial advisors. RPC's fee based retirement solution offers expertise in plan design, administration and recordkeeping services, audit ready compliance documentation, optional 3(38) investment fiduciary services or an open architecture investment platform.

Prior to joining RPC, Josh spent over 4 years with Mutual of Omaha. Josh was responsible for developing relationships with advisors and providing product and retirement plan education.

Prior to Mutual of Omaha, Josh spent time as a Relationship Manager and Account Manager for a TPA. This broad experience over 15 years allows Josh to provide plan design, education and consulting to advisors.

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Jason HowellFamily Governance: A System for Developing High Net Worth Clients

Wednesday, September 11 | 10:30 - 11:20 a.m.

Presented by Jason Howell
• Track: Financial Planning  • Level: Scaling - Lifestyle Firm

The rich get richer because the rich get help. Today, independent firms have the ability to deliver what the ultra-high net worth clients value most from their advisors: help passing on their values along with their wealth. Family governance is a system for creating family harmony, preserving family history, and nurturing family values (and wealth) through the purposeful structure and stewardship of the founding family members. Mass affluent families are only one or two generations away from becoming (at least) high net worth ($5 million or more) and can take advantage of this system. In this session, you’ll learn to enhance your financial planning process to bring this opportunity to your clients.

Jason Howell

Jason Howell is a CERTIFIED FINANCIAL PLANNER™ professional, author of “Joy of Financial Planning,” Instructor of Personal Finance at American University, President and founder of Jason Howell Company.

Jason is a veteran XYPN member (#60) having started his membership and his firm in August of 2015. This is his third business and fourth career. From mowing lawns in his early teens, to starting an accounting and software firm for musicians post-college (George Mason University), to running as an Independent for U.S. Congress in 2012, Jason has consistently tried to disrupt old industries (even when he was ahead of his time). His mission is to bring the best of ultra-high net worth family financial planning to this generation’s mass affluent.

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