The seven sessions within the Compliance/Operations track at #XYPNLIVE are geared to help planners address compliance regulations and run the daily operations of their firm.
Read more about each presenter by clicking on their photo.
Account Opening Made Easy
Monday, September 9 | 10:10 - 11:00 a.m.
Presented by Curtis Divona
• Level: Launch
Does the thought of opening new accounts make you cringe? Are clunky processes slowing you down? Then you won’t want to miss this session where Curtis Divona of TD Ameritrade will detail the best ways to ensure your new client accounts get opened quickly, seamlessly, and free from NIGOs. Spend less time with paperwork and more time transforming your clients' lives.
Curtis Divona is a Senior Manager of Wealth Management Services at TDAI. He is responsible for the service experience of West Coast RIAs in the Core Segment.
Curtis has been with TDAI for just under 10 years, most of which has been in service. Curtis' passion is helping independent RIAs grow through technology integration and working more efficienty with their custodian.
On the people leadership side, inspiring associates to realize the positive impact they can have helping RIAs in the community and industry.
Curtis holds a Bachelor of Science in Finance from San Diego State University, and holds his Series 7, 63 and 24 licenses.×
The Evolving Landscape of Social Media Compliance
Monday, September 9 | 11:10 a.m. - 12:00 p.m.
Presented by Scott Gill
• Level: Refine and Grow
The marketing and advertising regulations set forth by SEC guidelines were not created with Facebook, Twitter, and Instagram in mind. Consequently, framing these regulations to create a viable social media policy for your firm can be a challenge. In this session, XYPN’s Senior Compliance Consultant, Scott Gill, discusses ways to be both compliant and effective in your social media marketing strategies.
Scott is a formerly licensed Securities Principal with experience in both RIA and broker-dealer compliance. He began his financial services career in 2006 as a Registered Representative with E*Trade Financial in Alpharetta, GA. He has also worked with J.P. Morgan Private Banking in Chicago, IL and with Wells Fargo Advisors in Chapel Hill, NC.
Scott’s most recent role before joining Team XYPN was as Compliance Officer of Carolinas Investment Consulting in Charlotte, NC. He’s a graduate of The University of North Carolina at Chapel Hill and formerly held FINRA Series 7, 63, 65, 24, 4 and 53 Licenses.
Scott lives in Charlotte, NC with his wife Meredith, and their two sons Tyson and Jackson and daughter Eva. ×
All Things Financial Statements
Monday, September 9 | 3:10 - 4:00 p.m.
Presented by Hayley Stewart
In this session, Hayley Stewart of FA Bean Counters discusses all things financial statements. She will dive into the details of the types of expenses that need to appear on your P&L and the types of items that need to go on your balance sheet. Hayley will also discuss cash vs. accrual accounting—and how to determine what’s right for you—and how your financial statements might change depending on the type of accounting you are doing.
Hayley is the Director of Bookkeeping at FA Bean Counters, LLC.
She graduated from Montana State University in 2012 with a degree in accounting and began her career with a small public accounting firm in Bozeman, MT working as office manager after a short time she began doing bookkeeping, payroll, and tax for a wide variety of business's.
When she's not helping out small business with bookkeeping, payroll, and tax needs you can find her outside adventuring in the mountains surrounding Bozeman.×
Implementing a Client Service Calendar
Monday, September 9 | 4:10 - 5:00 p.m.
Presented by Emily Purdon
Are you currently lacking a repeatable financial planning process? Do you have a retirement-centric process that needs to be rebuilt? Are you struggling with fee conversations? Do you need a visual representation of the value you add to your ongoing client relationships? If you answered “yes” to any of these questions, then this is the session for you. XYPN’s Financial Planning & Process Coach, Emily Purdon, will walk you through how to implement and adapt the XYPN client service calendar, and how to use it to clarify and improve your value proposition.
You will receive a financial planning practice diagnostic worksheet to evaluate your processes after the conference, as well as a complimentary 30-minute coaching call to discuss your firm’s challenges.
Emily Purdon, CFP®
Emily joined XYPN as the Financial Planning & Process Coach in June. After three years as a financial planner at a large fee-only RIA in McLean, VA, she was excited to support the Advisor Success team.
She expects to earn her M.S. in Advanced Personal Financial Planning from Kansas State University (KSU) in May 2020. She completed KSU’s Financial Therapy Graduate Certificate program in May. And, she completed Wharton's Executive Education Program in Client Psychology this April. Emily graduated from the Financial Planning Association's Residency Program in 2017.
She is completing her second term on the Financial Planning Association National Capital Area Board as the NexGen Director. Additionally, Emily serves on Virginia Tech’s Pamplin College of Business Recent Alumni Board as the Outreach Chair.×
Create Effective Workflows That (Actually) Work
Wednesday, September 11 | 8:30 - 9:20 a.m.
Presented by Pam Horack, Charesse Hagan, & Amber Foreman
• Level: Launch
In this session, Pam Horack, Charesse Hagan, and Amber Foreman will help you visualize and create the targeted workflows you need for your business. Designed for those new to the industry or veteran planners, this interactive session will focus on the nuances of using the workflows feature within Wealthbox. In addition, Pam, Charesse, and Amber will share solutions to the challenges you face implementing Wealthbox features for daily task management. Creating real-life processes specific to your firm is the payoff for attending this session. You will walk away from this hands-on discussion with a workflow strategy for clients, opportunities, and projects that you can easily replicate when you return to your office.
Your mom understands you and is there to provide good advice. Pam Horack is Your Financial Mom and she does the same thing for working families.
Using the concept of Your Financial Tower, she simplifies money concepts into processes that anyone can implement. She noticed that brokers in corporate America targeted business owners and wealthy clients. Her intuition said those who needed the most help were working families with homes and retirement savings. This underserved group had more questions than money and needed someone to give their financial needs the attention they deserved.
She started Pathfinder Planning to provide personal financial planning advice and asset management for a simple fee to solve financial challenges for employees and their families.×
Charesse Spiller is an operations consultant who works exclusively with financial planners. Charesse proactively engages with each firm to analyze their current processes, create new systems, and implement them so they can seamlessly scale their business.
Her experience working with multiple firms across the United States has shown her the ins-and-outs of what makes a financial planning firm successful while drawing key knowledge from three core areas: the financial planning process, the client experience, and technology integrations.
In a short time span, Charesse has been invited and spoken at both the FPA and TD Ameritrade National LINC conferences and has been featured on various FPA Activate and TD Ameritrade publications.×
Amber Foreman, Head of Customer Success, works closely with customers to help them get the most of out Wealthbox. She assists new customers with initial set up, data migration, and team onboarding.
Additionally, Amber provides ongoing Wealthbox demonstrations for existing and new features in Wealthbox by sharing best practices.×
How to Automate Your Workflow and Spend More Time With Clients
Wednesday, September 11 | 9:30 - 10:20 a.m.
Presented by Arielle Minicozzi
• Level: Refine and Grow
Interested in building and automating your processes, but don’t know where to start? Right here’s a great place! In this session, you will learn how to create and automate a simple workflow from initial scheduling to contract execution. Workflow whiz Arielle Minicozzi will show you how to: build a simple workflow, integrate scheduling software, implement an email series, create an onboarding questionnaire that pre-populates a sample contract, and, finally, how to link it all together using Zapier.
Arielle Minicozzi is a woman who wears many hats. Before she started Sphynx Financial Planning in 2017 she was an art major in college and then a loan officer for six years.
While setting up her own business workflows and technology she realized other advisors could benefit from the same systems and tools. She began a side hustle consulting other advisors that has since evolved into her main venture.
Arielle has a passion for helping her financial planning clients achieve financial stability and for helping other advisors serve more clients. ×
How to Prepare for a Regulatory Examination
Wednesday, September 11 | 10:30 - 11:20 a.m.
Presented by Kingston Hollman
• Level: Launch
RIA regulatory exams are an unavoidable part of your business. Rather than stress over the inevitable, you can set yourself up for a successful routine examination by ensuring your firm establishes and maintains an effective compliance program with all of the appropriate components based on your firm’s business practices. In this session, XYPN Compliance Consultant Kingston Hollman will discuss several steps you can take to ensure you are taking charge of and maintaining your compliance program in a manner that sets you up for success during your first (or next) regulatory examination.
As a former Regulator Kingston routinely examined state registered IA’s, closely working with firms helping them comply with business conduct, compliance with rules, statutes, sales, and business practices.
Prior to becoming a compliance professional Kingston ran a state registered IA firm where he combined his industry experience, and technical knowledge to help clients after working for two nationally recognized broker dealers.×