Board of Directors

J. Scott Spiker joined First Command Financial Services in September 2007, becoming the first Chief Executive Officer recruited from outside the company. In January 2017, the company’s Board of Directors elected him as Chairman in addition to his title as CEO. In 2020, Scott relinquished the CEO title in January and retired from the company in September, staying on as Chairman. In this role, Scott focuses on the continued development of the strategic direction of First Command, reaffirming and strengthening the company’s 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 where, as a commissioned officer in the U.S. Navy, he served as a Surface Warfare Officer onboard a frigate and served as Head of Enlisted Recruiting for the Midwest Region.

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 Bankcorp (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. He was also 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. Scott is also on the Board of Directors for CaringBridge, a 501(c)(3) nonprofit organization committed to helping those with health issues get the support they need through online outreach.

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.

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.

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.

Tim Stinson is President of Cetera Advisor Networks. Prior to this role he was the head of Wealth Management and Recruiting Sales and the executive leader responsible for the overall strategy and growth of wealth management and business development across Cetera 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. Stinson also served 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 the University 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.

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.

Elizabeth “Libet” Anderson is President, Concourse Financial Group Securities. She joined the company in 2016 to serve as Vice President and Managing Director of Advisory and Planning.

Previously, she was a Director at Edward Jones, where she led the rollout of the firm’s first advisor-directed, fee-based solution. Before that, she served as Chief Executive Officer of Sterne Agee Asset Management, leading the firm’s marketing and sales functions, while also focusing on growing its wealth management platform.

Early in her career, Ms. Anderson served as an advisor with Merrill Lynch before assuming the role of Regional Vice President with both AmSouth Investment Services and Pioneer Investments. She has over 30 years of financial services experience.

Ms. Anderson earned a Bachelor of Arts in Economics from Middlebury College. She is a Certified Investment Management Analyst (CIMA®) and holds Series 6, 7, 24, 26, 63, and 65 licenses. She is a current board member for Investments & Wealth Institute and is currently the Vice Chair of the Finance Committee. Additionally, she is on the board of the Freshwater Land Trust, a non-profit dedicated to preserving land and building trails so that Alabama communities are healthier and happier.

Libet and her husband Jason have three adult children, Maggie, Andrew and Matthew. She is a competitive runner and endurance athlete.

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.

Von D. Cook II is an Accredited Investment FiduciaryⓇ, Registered Principal and Investment Advisor Representative for individuals, entrepreneurs and business owners, helping them accrue and manage their wealth. With twenty years of experience in the Securities industry, Von specializes in active asset management and comprehensive financial planning. He is driven by the belief that every client deserves premiere investment performance and services without high account minimums and exorbitant fees. Through working with hundreds of financial advisors, Von knows firsthand how critical the role of an OSJ Manager is to the success of breakaway financial advisors. He is committed to affording them the supervisory resources necessary to ensure they are operating within regulations, while affording them the independence to successfully build and manage their own brands.

Von launched his career as an Investment Advisor Representative with Morgan Stanley in the early 2000’s before transitioning to ING Financial Partners as an OSJ Manager. Over the next decade, Von’s commitment to his clients’ best interests, combined with his depth of experience in OSJ Management, led him to launch Client Centric Advisors in 2017 under Cambridge Investment Research. As a member of Cambridge’s Compliance & Supervisions Advisory Council and a Cambridge Premiere Club top producer, Von frequently appears on leadership panels to present his experience, advice, and best practices.

Von holds FINRA Certifications including General Securities Representative (Series 7), General Securities Principal (Series 24), Uniform Combined State Law (Series 66), Future Managed Funds (Series 31), and State Insurance Licenses. As a member of Florida Vistage, Von collaborates and advises other leading CEOs and business owners to achieve next-level results for their companies, clients, and themselves.

Von holds a Bachelor of Science from Florida State University.

Dr. Alex David is President and CEO of Stifel Independent Advisors, LLC, the independent broker-dealer subsidiary of Stifel Financial Corp. (NYSE: SF).

Dr. David joined Stifel Independent Advisors in 2021 after spending 13 years at Wells Fargo Advisors, where he served in a number of roles, including Head of Branch Development and Marketing for the firm’s independent brokerage arm, Wells Fargo Advisors Financial Network (FiNet). In this role, he guided FiNet’s business development and market strategy and led a team responsible for recruiting, consulting, coaching, and managing independent financial advisors. Prior to that, as a Managing Director from 2008-2014, he helped bring in more than $55 billion in assets through recruiting and M&A activity.

Earlier in his career, Dr. David was as an institutional wholesaler with Lord Abbett, Federated Investors, and OppenheimerFunds, and served as an Economist with the New York City Bar Association, delivering more than 500 economic talks at conferences and events, including the Congressional Black Caucus and the National Bar Association. He holds doctorates in economics and marketing and a master’s degree in international economics from the Lubin School of Business at Pace University.

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.

David Knoch is CEO of Docupace, a solutions provider focused on digitizing and automating operations in the financial advice and investment industry. David joined Docupace as CEO in April 2020 and has spearheaded the company’s strategic transformation – marked by double-digit revenue growth, product/capability expansion, multiple acquisitions and numerous industry accolades. David Knoch was named to the ThinkAdvisor Luminaries Class of 2021, was awarded CEO of the Year by WealthTech Americas in April 2022 and was voted one of the most 25 most influential people in the Investment Advisory industry two years in a row in 2018 and 2019 by the readers of Investment Advisor Magazine.

Prior to joining Docupace, David served as president of 1st Global, a wealth management partner to CPA and tax planning firms. David set the strategic direction for the company, was the architect of its award-winning culture and substantially increased revenue during his 11 years as president, prior to the company’s strategic sale to Blucora in 2019. David has previously provided expert testimony before Congress, and has been featured in the Wall Street Journal. David has previously served as Chair of the FSI Board of Directors, Chair of the North Texas Chapter of the Young Presidents Organization (YPO), and is currently on the advisory board of the Dallas Chapter of Conscious Capitalism. He earned his BA degree in political science from the University of Massachusetts, Amherst.

As president, Stephen drives Kestra’s revenue growth, executes and expands the company’s existing growth strategy, and furthers the evolution of Kestra Financial’s value proposition to Empower Advisor Success.

Stephen has a deep and singular focus on delivering technology and wealth management platform innovations and enhancing practice management solutions for independent financial professionals.

A results-oriented leader, Stephen has a combination of strong strategic and analytical skills, a keen sense of client and team, and a practical aptitude for driving growth and creating value.

Prior to joining Kestra Financial, Stephen held senior positions at leading wealth management firms, including eMoney Advisor, Fidelity Investments, and LPL Financial.

Stephen earned his MBA from the Amos Tuck School of Business Administration at Dartmouth College, where he was an Amos Tuck Scholar, in addition to a BA in economics from Colby College. He is a member of the board of directors of REACH Beyond Domestic Violence, and a member of the advisory boards of several FinTechs.

Robert Milmore joined First Command Financial Services as a Financial Advisor in November 2014. He previously worked for 3 years as a private wealth manager at top research and wealth management firms. Prior to that, he served for seven years in the United States Army, where he was a company commander in the 82nd Airborne Division, platoon leader in the 101st Airborne Division and a ranger instructor in the 4th Ranger Training Battalion. He attained the rank of Captain.

A graduate of United State Military Academy with a Bachelor’s degree in Law, Robert holds Series 7, 63, 66, 26 and 24 securities licenses plus life and health insurance licenses in Colorado.

Robert is committed to coaching clients to pursue their financial goals and lifetime dreams by bringing sound financial knowledge and trustworthy advice to a lasting relationship with each individual and family he serves.

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.

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.

Emily Schlosser is the Chief Operating Officer for BNY Mellon | Pershing. In this role, Emily ensures Pershing has the people, systems, procedures and operational controls in place to effectively grow and serve its clients, while maintaining financial strength and operating efficiency. She shares responsibility with the Chief Executive Officer for all Pershing affiliates globally and is a member of Pershing’s Executive Committee.

Emily joined Pershing from Goldman Sachs, where she was head of change for the company’s Global Markets Division. In that role, she led the transformation of the institutional client experience as well as major initiatives aimed at driving new revenue streams, building scale and managing risk and regulatory obligations.

Prior to her tenure at Goldman Sachs, Emily served as COO of Corporate Services at E*TRADE, leading client service, participant engagement, technology, marketing, operations, risk, finance and human resources. Both firm revenue and assets under management increased under her direction. Emily has held a progression of leadership positions in her career that honed her expertise in digital and organizational transformation.

Emily earned a Bachelor of Arts degree in Economics and Mathematics, graduating cum laude from Bucknell University, and a Master of Business Administration from Columbia Business School.

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 Financial Industry Regulatory Authority (FINRA) Series 7, 24, and 63 licenses.

Amy Webber is Chief Executive Officer of Cambridge Investment Research, Inc. and serves as a member of the Board of Directors and Executive Council. With over 30 years of experience, her commitment to independent financial professionals is demonstrated in her passion for delivering high level, personal service and leading management solutions. Amy joined Cambridge in 1998, and her leadership has led to Cambridge being a well-respected, innovative, and fast-growing independent broker-dealer and corporate RIA. Driven to continually refine the value proposition of advice solutions offered by the independent broker-dealer and RIA business models to best support financial professionals and investors now and into the future, Amy has led significant innovation within the Cambridge community. She leverages the support and contributions of Cambridge’s leadership team, business partners, and input from financial professionals themselves.

Amy is a visible voice on important issues across the industry including nextgen, women in the industry, and diversity and inclusion. She also actively and publicly voices support for effective change in regulation to support the future of independent objective financial advice. Amy recently completed her term as a member of the FINRA Board of Governors as the Independent Dealer/Insurance Affiliate Governor. She formerly served on the Financial Services Institute (FSI) Board of Directors from 2014-2017 and again in 2022, serving as chair in 2016. She sits on various industry advisory councils, speaks publicly to address topics across the industry spectrum, and has served on the Indian Hills Community College Board of Trustees since 2019. Amy hosts her own podcast and blog series, Cambridge Stronger, based on candid conversations with inspirational financial professionals and leaders within the fiercely independent financial services industry.

Amy has been recognized as a ‘Woman to Watch’ by InvestmentNews magazine and was selected as a four-time member of the IA25 most influential in the industry by Investment Advisor magazine. She was also named one of the Top 50 Women in Wealth Management by Wealth Management for three consecutive years, and was recently recognized in the inaugural ThinkAdvisor LUMINARIES Class of 2021 in the categories of Diversity and Inclusion, Thought Leadership and Education, and Executive Leadership.

Gwen Weithaus has primary accountabilities to direct the design, implementation and maintenance of comprehensive risk management and controls programs for the Northwestern Mutual Wealth Management Company. This includes responsibility for advisory program supervision, complex products supervision, regulatory initiatives, business continuity and resilience, product risk management and vendor risk management. With these accountabilities and responsibilities, she regularly meets with regulators and provides regular reporting to Boards of Directors, Audit Committees, and corporate governance committees.

She founded an industry roundtable 17 years ago which comprises of 30 financial services firms and peers with a membership representing 75 people. This group meets regularly to discuss various regulatory strategy, risk, and creative solutions to the industry’s challenges. Gwen serves on the FINRA Membership Committee and the MSRB Professional Qualifications Advisory Committee and is a member of Securities Industry Financial Markets Association (SIFMA) Compliance & Legal and participates on various SIFMA committees. She also serves on the Financial Services Institute (FSI) Board of Directors, which represents the financial services industry for independent firms.

Gwen joined Northwestern Mutual in 2004, serving in various compliance roles supporting investment products, programs, and services. In 2016 and 2017, she led a cross-enterprise team to implement solutions to comply with the Department of Labor Fiduciary Rule to continue meeting the needs of retirement clients. Most recently, she is accountable for leading the Northwestern Mutual Best Interest Standard of Care Program in a holistic manner to address all industry best interest regulations resulting in positive client and field experiences with consistent and coordinated best interest recommendation frameworks true to the company’s 165-year history of client best interest.

With more than 25 years of industry and regulatory experience in various roles, prior to Northwestern Mutual, Gwen held roles as a regulatory consulting manager at Deloitte, a compliance director at Strong Investments, a compliance examiner with FINRA and a field compliance examiner with the Aid Association for Lutherans (Thrivent Financial). She holds Series 6, 7, 24, 26, 51 and 53 registrations.
She graduated from the University of Wisconsin – Oshkosh with a bachelor’s in business administration with an emphasis in finance and marketing. She is also a graduate of SIFMA Securities Industry Institute Executive Leadership Development Program at the Wharton School of Business at the University of Pennsylvania.

Gwen and her husband Chris have two daughters, and they enjoy bicycling and traveling.

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.