James Poer, CIMAChair of the Board
James Poer, CIMAChair of the Board
James Poer is CEO of Kestra Holdings, a network of financial firms united in their commitment to delivering a full end-to-end suite of wealth management solutions for financial advisors including investment platforms, technology services, and back-office support. He oversees the long-term strategic direction of the company, aligning the unique capabilities of each entity comprising Kestra Holdings to work in concert empowering advisors to create an exceptional end-client experience. Recognizing the importance of remaining responsive to the needs of advisors, James drives the continuous evolution of the business’s technology and service platforms. He also directs all M & A transactions, ensuring continuity of the company’s cultural integrity.
Since joining NFP Advisor Services Group in 2003, James has leveraged his leadership and experience to bring the business to new levels of unprecedented growth. He led the spin out of the Advisor Services Group from NFP in 2016, creating Kestra Financial and taking the company independent. With his support of an innovative, open architecture platform, James continues to position Kestra Holdings as a leader in the independent financial services space, increasing the company’s advisor count. Prior to joining Kestra Holdings, James held marketing and product development roles for two asset management companies and served as director of Advisory Services for two AIG RIAs.
James received his Bachelor of Science from Texas Christian University and completed the Securities Industry Institute program at the University of Pennsylvania’s Wharton Business School. He has more than 25 years of experience in the financial services industry and serves on the board of directors for Kestra Financial Holdings and the Financial Services Institute. James is a licensed registered representative holding FINRA Series 7, 24, 63, and 65 licenses.
Ed Forst, CFPVice Chair (Chair in 2022)
Ed Forst, CFPVice Chair (Chair in 2022)
Ed Forst is a CERTIFIED FINANCIAL PLANNER™ certificant and has been dedicated to helping individuals with all aspects of financial planning since 1980. As president and chief executive officer of the Lincoln Investment Companies, Ed oversees the activities of over 1,100 licensed advisors and more than 300 full-time operations and support personnel.
The Lincoln Investment Companies include a full-service broker-dealer and registered investment advisors serving the diverse and changing financial needs of more than 270,000 individual investors, representing over $24.7 billion in assets. For almost 50 years, Lincoln Investment has been committed to helping individuals and families achieve long-term financial well-being through the expert guidance of independent financial professionals.
John RooneyImmediate Past Chair
John RooneyImmediate Past Chair
John came to Commonwealth in 1988, after spending five years as a vice president at Moseley Securities in Boston. Arriving to work in the Product department, he handled mutual funds, partnerships, commodities, variable annuities, qualified plans, and individual issues. Over time, he has helped to engineer the growth of not only the Product department but also of Commonwealth as a whole. He is relied upon by all parties for his advice and perspective on the direction of the firm.
John opened and now manages Commonwealth’s West Coast office in San Diego. He has been a guest on numerous television shows and nationally syndicated radio programs, and he is regularly called upon for his expertise by the financial industry’s trade publications. John is a graduate of Colby College with a BA in government, and he attended Harvard Business School’s Owner/President Management Program. He also holds FINRA Series 3, 7, 24, 63, and 65 registrations.
J. Scott SpikerFSI PAC Chair
J. Scott SpikerFSI PAC Chair
Scott Spiker joined First Command Financial Services in September 2007, becoming the first Chief Executive Officer recruited from outside the company. Effective January 2017, the company’s Board of Directors also elected him as Chairman/CEO. In this dual role, Scott focuses on the continued development of the strategic direction of First Command, reaffirming and strengthening the company’s historic commitment to serving our nation’s career military families in their pursuit of financial security.
This emphasis aligns with Scott’s own history of military service. As a commissioned officer in the U.S. Navy, he served as the navigator aboard a frigate, undertaking a three-year tour of duty with extensive travel to the Indian Ocean. Scott also served as Head of Enlisted Recruiting for the Midwest Region at Great Lakes Naval Training Center.
Following his military service, Scott served in a number of senior executive roles in the investment, insurance and banking industries. His previous executive leadership positions include:
President and CEO of Destiny Health, President and CEO of the Stanton Group, President and COO of Definity Health, and President of the Business Services Group at Dain Rauscher (now RBC). He also served in senior leadership positions at Norwest Corporation (now Wells Fargo Corporation) and Mark Twain Bancshares.
Scott is actively involved in both his community and the financial services industry. In August 2014, he became the Chairman of the Board for United Way of Tarrant County and held that position until July 2016. Since his term ended, he has continued to serve as a member of the Board of Directors. He was also recently elected to the 2018 Board of Directors for the Financial Services Institute, an organization dedicated to ensuring all individuals have access to competent and affordable financial advice, products and services. He will assume this position in January 2018.
A 1977 graduate of the U.S. Naval Academy, Scott holds an MBA in Marketing and Finance from the University of Chicago Booth Graduate School of Business. He is married and has two daughters.
Denise BarrowsFinance Chair
Denise BarrowsFinance Chair
Denise B. Barrows, CPA, CFP® has been an independent financial advisor for over 20 years. In 1988, Denise earned her CERTIFIED FINANCIAL PLANNER (CFP®) designation. She is the managing partner of The Barrows Sollenberger Group, PC, a Certified Public Accounting firm located in Chambersburg, PA, She is also managing member of Barrows Trostle Advisors, LLC, a financial planning firm with two locations in Chambersburg and Gettysburg, PA. Denise and her team specialize in helping to provide financial peace of mind to individuals, families, and small businesses with customized tax, accounting, and financial planning strategies.
Denise is a licensed financial advisor with 1st Global Capital Corp. located in Dallas, Texas. Denise and her team use a disciplined financial planning process that takes a holistic approach to their clients’ financial lives. Their vision is to help their clients make and keep more of their money.
Denise is a graduate of West Chester University where she majored in Business Administration – Accounting. She is married to Jeff Barrows and they have two sons, Brian and Benjamin.
Giving back to the community has always been a priority for Denise. She has served as a director on the Chambersburg Hospital Board and is currently a council member at Trinity Evangelical Lutheran Church. She is also a member of the AICPA, PICPA, and FSI (Financial Services Institute) where she currently serves on the FSI Advisor council. She frequently speaks on taxation and financial planning.
Christine brings over 25 years of experience in financial services to her clients. She began her career in the home office of Commonwealth Financial Network, giving her work an operational perspective and a fiercely independent edge. While there, one of her roles was Director of Commonwealth’s Service Center, where she and her team were the front line for supporting Commonwealth’s growing field of advisors. In 2000, Christine moved to Maine and started her own practice, using the same spirit of independence she enjoyed while at Commonwealth. She is the founder of Back Cove Financial. Located in Falmouth, Maine, Christine’s practice focuses on planning and investment management for families and individuals. With her entire career’s affiliation at Commonwealth Financial Network, Christine has always been an advocate for and practitioner of the independent financial advisor and channel.
Christine earned her bachelor’s degree in Economics from Pomona College, and went on to pursue her MBA in Finance and Operations Management from Boston College while working at Commonwealth. She currently holds her series 7, 63, 65 and 24 registrations, as well as her CRPS® designation. Christine lives in Maine with her husband and two sons. Christine is passionate about giving back to her community and serves as president of The Portland Sunrise Rotary Club.
C. Kent Christian
C. Kent Christian
Kent Christian has been the President of Wells Fargo Advisors Financial Network since 2012. He is responsible for setting the strategic direction for the management, satisfaction, retention, and organic growth of Wells Fargo Advisors’ independent financial advisor business.
Kent spent the majority of his professional career at Bank of America Corp., serving in various leadership and management capacities in capital markets, retail securities, and private banking for the company and its predecessors. He then moved on to become executive vice president of Sales and Marketing for Plan Member Financial Corporation in Santa Barbara, Calif. Next, Kent became national sales director at Raymond James Financial Services in St.Petersburg, Fla., where he managed the activities of more than 4,300 independent advisors nationwide.
In 2005, he joined Wachovia Securities (now Wells Fargo Advisors) to serve as president of the firm’s Independent Brokerage Group, and, three years later, he was asked to lead the Financial Services Group, where he provided executive leadership for the firm’s investment, advisory and banking products, research and advice, as well as the client and FA platform.
Kent is a graduate of Duke University with a degree in Economics and holds Series 7, 24, 53, and 63 registrations.
Kent currently serves as the co-chairman of the Securities Industry and Financial Markets Association (SIFMA) Private Client Services Committee. He previously served on SIFMA’s executive committee and board of directors, as well as the board of directors of the Financial Services Institute and board of directors of the United Way of Greater St. Louis, MO, and Richmond & Petersburg.
Mary Beth Hofmeister
Mary Beth Hofmeister
Mary Beth has worked over 20 years to grow a financial services practice centered on offering clients cohesive planning, products and services tailored to their unique needs and circumstances. She began her career in the field of employee benefits for large regional and national employers, working in Chicago, Boston and the Capital District of New York. When encouraged by her own financial advisor to bring her experience to financial advising, Mary Beth embraced an opportunity to start her own financial services practice. After several years with an insurance-based organization, she pursued practice as an independent advisor and her certification as a Certified Financial Planner TM. In 2016, Mary Beth formed Sage Financial Associates based in Albany, NY, and is honored to serve as Branch Manager for the affiliated group of advisors.
Mary Beth has provided insurance consulting and brokerage services to fellow financial professionals for nearly 20 years, as co-owner of Shipp Financial Services, Inc. For many years, she has been active in the Financial Planning Association, serving on the local board for eight years, including two years as chapter President. Mary Beth has served and volunteered for a number of organizations and boards in her community and for her alma mater, the University of Notre Dame. Mary Beth currently serves on the board for Colonie Senior Services Center, in Albany, NY, and the Financial Services Institute, based in Washington, D.C., which advocates for access to affordable financial advice for clients with independent advisors and firms.
Mary Beth and her husband Tom love to spend time with their son Jason, his girlfriend Alanna, their Bernese Mountain dog Bentley, friends and extended family. They also enjoy getting away to favorite spots in the mountains, at the ocean or traveling to new destinations, and cheering on the Fighting Irish!
Steve Horn, President, has worked with the Prosperity Financial Group since 2002. Steve assists individuals, business owners and not-for-profits in evaluating their financial planning and investment needs. An active member of his community, he recently proudly served as Treasurer for Children Inc, a regional non-profit focused on improving lives by providing high-quality childcare in underserved communities.
Steve is an Investment Adviser Representative, holds his series 7 and 66 securities registration, and recently became a Certified Wealth Strategist (CWS). While attending the University of Kentucky (BS, Economics, ’96), he was able to learn the game of rugby, eventually becoming co-captain of the squad. Steve also attended the University of North Carolina-Chapel Hill’s Kenan-Flagler School of Business, receiving his MBA in 2003.
He resides in Independence, Kentucky with his wife, three daughters and golden-doodle. An active outdoorsman, he and his family can often be found on a hike, fishing or at the beach.
Doug Ketterer is the Chief Executive Officer and Founding Partner of Atria Wealth Solutions. Atria, a wealth management solutions holding company launched in 2017, is focused on delivering a clear path to the future of wealth management. Atria’s four broker-dealer subsidiaries support nearly 2,000 financial advisors with more than $65B of assets under administration.
Doug has more than 30 years of experience in the wealth management industry. He spent most of his career at Morgan Stanley, where he successfully led the entire U.S. financial advisor and branch office network as the Head of Field Management and ran its Private Wealth Management business which focused on ultra high net worth clients.
In addition to these roles, Doug held multiple leadership positions within Morgan Stanley’s wealth management division, including overseeing the product and services organization as well as creating the strategy and client segmentation organization. Beyond his wealth management experience, he was a key executive in Morgan Stanley’s asset management division and spent many years in investment banking.
Doug earned a BA in finance from SUNY Albany and an MBA from New York University’s Leonard N. Stern School of Business. He serves on the Board of Directors of Atria Wealth Solutions, the Financial Services Institute and is the President of a 9/11-related 501(c)(3) focused on providing scholarships to college students in financial need.
Bob Oros is the CEO of HighTower, a national wealth management firm that invests in and supports independent, fee-only advisors to accelerate their growth. Mr. Oros joined HighTower in January 2019 to expand M&A, build out the firm’s advisor-focused infrastructure and scale the company. He has more than 20 years of leadership, strategic and operational experience, with a strong track record of successfully recruiting, retaining and supporting advisors at firms such as HD Vest, Fidelity and LPL Financial and Charles Schwab.
Chris Perry serves as President at Broadridge Financial Solutions (NYSE: BR). With over $4 billion in revenues and part of the S&P 500® Index, Broadridge is a global Fintech leader enabling corporate governance, powering capital markets, and helping wealth and asset management firms grow worldwide. The company provides communications, technology, data and analytics solutions around the world. Broadridge processes more than US $5 trillion in fixed income and equity trades daily, delivers essential communications for more than 5,000 brands to over 75% of North American households and manages shareholder voting in 90 countries. The company employs more than 10,000 associates in 18 countries worldwide.
Chris joined Broadridge in 2014 and as a member of the Executive Committee, he oversees all client and market-facing activities globally and is responsible for delivering the company’s annual sales targets spanning all business units and product lines. During his tenure, he has implemented both strategic and tactical programs aimed at achieving world-class service in customer support, account management, client training, lead generation and marketing. He has also been a driving force behind the transformation of the organization from a portfolio of companies to an enterprise cloud-based services provider. Broadridge has enjoyed five years of consecutive record setting sales under Chris’ leadership.
Over the previous 14 years, Chris has held numerous management and commercial roles at Thomson Reuters (NYSE: TRI), and its predecessor, Thomson Financial. There he served as Global Managing Director of Risk for the Financial and Risk Division, where he was responsible for overseeing Governance, Risk and Compliance, as well as Pricing and Reference services. He was accountable for all aspects of management—including P&L responsibility—for approximately $700 million in annual revenue during an active acquisition and growth phase. Previously, he served as President of Global Sales and Account Management of the Financial and Risk Division overseeing 4,000 professionals worldwide. Earlier in his career, Chris worked in institutional trading and retail brokerage.
Chris served as a member of the Board of Directors of the Make-A-Wish Foundation of New Jersey for over ten years and currently serves as a member of the Board of Directors for NPower, an organization that provides underprivileged youths and military veterans with the opportunity to build tech skills and achieve their potential. In addition, he is a sponsor of the Women on Wall Street Association, a New York-based business leadership organization that helps accelerate careers of women in financial services and unites business professionals in support of equality, executive leadership and breaking the glass ceiling. Until October 2018, Chris served as Chairman of BritishAmerican Business, a membership organization that enables transatlantic commerce, and continues to serve on their Executive Board.
Chris holds a B.S. in Finance and Economics from Northern Illinois University and an MBA in Marketing from Lewis University.
Jodi began her career with Raymond James in 1994 and has had the opportunity to work with advisors in various capacities throughout her career of 25-plus years. She has held a variety of roles, supporting customer operations, asset management, and the Independent Contractors Division (ICD) of RJFS as a vice president of business development and senior vice president and regional director for ICD’s Southeast region. Her experience with the firm provides Jodi the unique ability to understand and support advisors on several different levels. Building relationships, coaching and assisting advisors in the growth of their practices is where Jodi focuses the majority of her time. She understands the two key areas of building any practice – business growth and risk management – and supports advisors on both ends of the spectrum.
Jodi is a graduate of Eckerd College in St. Petersburg. She holds Series 7, 24, 63 and 65 licenses, and is a Registered Corporate Coach with the World Association of Business Coaches. Jodi currently serves on the board of the Florida Securities Dealer’s Association and the St. Petersburg Free Clinic.
Jodi resides in St. Petersburg with her husband, Norm.
Jamie Price is President and CEO of Advisor Group, one of the nation’s largest networks of independent financial professionals. He is responsible for the management of more than 2,300 employees, who serve the needs of the firm’s more than 10,600 financial professionals. He is a member of the Advisor GroupBoard of Directors.
Jamie has deep financial services and entrepreneurial experience, and a track record of building innovative investment solutions in the wealth management space. He is focused on field management, technology, and service, combined with a desire to drive profitable growth for advisors. Reflecting his passion for client-driven businesses, just prior to joining Advisor Group, Jamie invested in and led the startup 1-800DOCTORS, a concierge service that connects patients with medical professionals. The role put him in daily contact with consumers and reinforced the importance of understanding client trends to drive business strategy across technology, product, education, and service platforms.
As Head of Wealth Management Advisor Group Americas at UBS, Jamie was responsible for North American client-facing businesses, including 7,300 employees and 7,000 financial advisors located in more than 400 offices across the continent. Under his leadership, UBS was able to propel financial advisor growth, as measured by McLagan, from No. 3 to No. 1. As President and COO of Prudential Securities, he led the firm to achieve the highest national broker-dealer client satisfaction ranking from JD Power andAssociates. Jamie also sits on the board of Invest in Others, an organization that recognizes and honors advisors who give back to their community.
Jamie attended the Charles H. Lundquist College of Business at the University of Oregon, where he earned a B.S. degree in Finance/Economics.
Thomas J. Santucci is the founder and president of Gateway Investments, LLC., located in Garden City, NY.
Tom’s experience as an investment professional spans over twenty years, first as a Financial Advisor with Smith Barney and then as Vice President of Investments with UBS Financial Services. In these positions, he managed client assets concentrating in the areas of wealth management and retirement planning. He also established an investment advisory business, managing assets for individual investors and institutional accounts.
As a member of the New York State Bar, Tom received his Juris Doctorate degree from the Touro College Jacob D. Fuchsberg Law Center. While actively practicing law, he was the managing partner of Santucci, Denkberg and Wasserstein from 1987 to 1995, and an associate in the firm of Shaw, Goldman, Licitra, Levine and Weinberg, P.C. from 1983 to 1987. From 1986 to 1996, he served as Legislative Counsel to the New York State Assembly, reviewing and assisting in drafting legislation and serving as a constituent liaison.
Tom is designated as a Certified Investment Management Analyst (CIMA) and Accredited Investment Fiduciary (AIF). The CIMA designation represents successful completion of a rigorous academic program conducted in conjunction with the Wharton School of Business, as well as a high level of credibility, integrity and knowledge.
A resident of Garden City, NY, Tom received a Bachelor of Arts degree from St. John’s University. He is Chairman of the Queens Chamber of Commerce, as well as a director of the Boys & Girls Club of Metro Queens, where he previously served as President. Tom also was elected and served as a member of the 10th District Committee for the Financial Industry Regulatory Authority (FINRA).
Tom is an active participant in numerous civic and charitable endeavors and shares his passion for community service with the advisors and staff of Gateway Investments.
Evamarie Schoenborn serves as the Vice President of Investment Products and Services & President and CEO of Northwestern Mutual Wealth Management Company.
Evamarie is responsible for the investments and product offerings of the Wealth Management division.
Evamarie’s career began with American Enterprise Life Insurance Company (AEL), a firm that created customized variable and fixed annuity offerings for banks, third party marketers and broker-dealers. Working for the leader of the firm Evamarie was able to learn the business end-to-end,
from pricing and distribution to the technology enabling the customizable chassis.
From there Evamarie went onto a newly created role working in Product Strategy & Implementation for American Express Financial Advisors. In this role, Evamarie was responsible for recasting complex compensation programs into industry standard (GDC) for the broker-dealer. Working with actuaries across the investments and insurance organizations Evamarie ensured the new compensation framework was competitive and economically viable from a client, advisor and shareholder perspective.
Having done work spanning both the investments and insurance organization Evamarie’s next role was within the Wealth Management division of Ameriprise Financial, working within the non-discretionary advisory program where she was responsible for the product management of the industry’s largest non-discretionary platform. From there she went on to lead pricing and fees across the broker-dealer product set, took on responsibility for the firm’s cash management functionality, ownership for capital markets products including pricing and policies, grew the securities-based lending programs (margin & pledge) and led the build out of the active/passive third party discretionary managed account offering.
Evamarie’s experience spans annuities, brokerage, advisory, securities-based lending (margin/pledge), money movement and operations transformations. Evamarie has spent her career advocating on behalf of clients and advisors – bringing the best talent together across large, matrixed organizations to ensure the product/investment offerings are economically viable, compliant and competitive.
Evamarie in her over 20 years of financial services experience has introduced new product offerings, priced a broker-dealer offering, led the response on regulatorily driven change, led operations transformations and developed teams of investment professionals.
In her current role, her responsibilities include strategic planning, profit and loss, product development and management. She holds her BS from St. Cloud State University, 1994 and MBA, St. Cloud State University, 1998.
Marc Squires is head of the wealth and brokerage platforms for Fidelity Institutional, a division of Fidelity Investments, which offers clearing, custody, investment products, brokerage, and trading services to a wide range of financial intermediary firms and institutions. Fidelity Investments is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing, and other financial products and services to institutions, financial intermediaries, and individuals.
In this role, Mr. Squires is responsible for ensuring the satisfaction of Fidelity Institutional’s diverse broker-dealer client base by helping them meet their business goals and supporting them in the evolving wealth management landscape. He and his team provide Fidelity’s broker-dealer clients access to a flexible, open-technology environment, extensive practice management resources, wealth management investments, and related execution and clearing services.
Prior to assuming his current position in April 2020, Mr. Squires led a Fidelity Institutional business management team for five years that was responsible for driving strategy, planning, field services, competitive analysis, agile transformation, and business development support for Fidelity’s clearing and custody businesses, while maintaining a focus on the strategic and tactical efforts of the firm’s sales and relationship management teams. He also held roles in business strategy as well as sales and relationship management effectiveness. Mr. Squires joined Fidelity in 1997 and has held multiple positions within Personal Investing and Workplace Investing before joining Fidelity Institutional in 2007.
Mr. Squires earned his bachelor of arts degree in justice from American University. He also holds the FinancialIndustry Regulatory Authority (FINRA) Series 7, 24, and 63 licenses.
Tim Stinson is head of Wealth Management and Recruiting Sales and the executive leader responsible for the overall strategy and growth of wealth management and business development acrossCetera Financial Group. This scope includes sales and consulting support of advisory platforms, and recruiting. In this role, he is focused on igniting asset growth and leading and attracting teams dedicated to the delivery of an Advice-Centric Experience® aimed to guide more clients to reaching financial well being throughout all stages of life.
Most recently, Stinson served as Cetera’s national sales manager, tasked with driving the growth of Cetera’s advisory platforms.
Prior to joining Cetera, he was senior vice president of business development in the Southwestern U.S. for the institutional platform at Northern Trust. Before Northern Trust, he was senior vice president at Fidelity Investments responsible for managing the Southwestern Institutional Wealth Services organization working with independent RIAs. Stinsonalsoserved in senior leadership roles at firms such as Fortigent and SEI.
Stinson holds a Bachelor of Science degree in marketing from Saint Joseph’s University and has been a member of theUniversity of Pennsylvania’s Wharton Business School Executive Management Program, where he studied new leadership paradigms. He carries the Accredited Investment Fiduciary (AIF)designation and holds his Series 7 and 24 securities registrations.
Dale E. Brown, CAEEx Officio
Dale E. Brown, CAEEx Officio
Dale E. Brown, CAE, is the founding president and CEO of the Financial Services Institute (FSI).
Dale brings more than 30 years of association management experience to FSI with broad leadership in government relations and constituent advocacy. He leads FSI’s advocacy strategy, interacting frequently with regulators and policymakers in Washington, D.C. Prior to joining FSI at its launch, Dale guided the government relations, corporate and broker-dealer programs for the Financial Planning Association (FPA) and the International Association for Financial Planning (IAFP). Dale led the successful fight in the mid-1990s against the IRS’s attempts to force broker-dealers to re-classify independent contractor representatives as statutory employees.
Dale was named a Certified Association Executive (CAE) in 1995. He is a past president of the Georgia Society of Association Executives (GSAE), and a recipient of GSAE’s President’s Award in 1995 and 2001. In May 2002, Dale received GSAE’s highest honor, the Clifford M. Clarke Award, given annually to an association executive who has demonstrated exemplary personal leadership and service to his or her own association, the association community and the general community.
Dale is an elder at Redeemer Church of Arlington, VA. He also serves on the board of Orphan Prevent Community, an Atlanta-based 501(c)3 ministry to at risk families in Guatemala.
Dale has been recognized by Registered Rep magazine as one of “Ten to Watch” in 2005; included in Boomer Market Advisor’s “Forward Thinking Five” in 2006; and was named for nine consecutive years as one of ThinkAdvisor’s 25 most influential individuals in and around the planning profession. He was named by InvestmentNews as one of the Power 20 for 2012.
Dale attended the University of Georgia and graduated from Georgia State University with a bachelor’s degree in political science.