Recognizing the Members Who Exemplify Outstanding Advocacy 

Advocacy is most effective when policymakers hear directly from the people affected by the decisions they make. Throughout 2026, FSI members helped provide that perspective by meeting with lawmakers and regulators, serving on councils and task forces, responding to calls to action, and sharing their expertise with our staff. 

Their engagement gives FSI a stronger voice on the issues affecting financial advisors, their businesses, and the millions of Americans they serve. The Advocacy Circle of Excellence recognizes members who made particularly significant contributions to that work during the year. 

Among those honorees, four members have earned the Stephen R. Kareta Excellence in Advocacy Award, FSI’s highest individual advocacy honor. Named in memory of Stephen R. Kareta, a model advocate for our industry, the award honors members who exemplify his commitment to public policy engagement and service. 

This year’s recipients are: 

Carlo Bentley, AIFA^®, PPC^®, 401k Plan Specialist, Wealth Manager, Bentley & Company Wealth Management

Bentley has been one of FSI’s most active financial advisor advocates. He engaged with both of Louisiana’s senators on priority issues, including the Modern Worker Empowerment Act and the Financial Exploitation Prevention Act. Beyond his work with FSI, Bentley spoke with local students during Career Day about advocacy, public policy, and the role lobbyists play in Washington.

Alexander Chan, Director of Advisory Compliance, Cetera Financial Group

Chan served on the 2026 OneVoice Task Force and the Investment Advisory Services Council. Following OneVoice, he continued building his advocacy knowledge joined fellow members on Capitol Hill during Advocacy Summit. 

Cynthia Jefferies, Vice President of Compliance, CFE, CRCP^®, Commonwealth Financial Network

Jefferies chaired the Compliance Council and served on the AI Task Force, which produced FSI’s AI study white paper, Artificial Intelligence: Balancing Innovation, Interoperability, and Oversight. She has consistently participated in FSI advocacy activities over the years. 

Matthew Watts, Senior Vice President of Supervision, Raymond James Financial, Inc.

Watts served on the Supervision Working Group and Investment Advisory Services Council. He is a consistent advocate, participating in Advocacy Summit and the State Capital Day in New York, and participates in industry collaboration through FSI-hosted events and discussions.

2026 Advocacy Circle of Excellence Honorees 

The following members also earned places in the Advocacy Circle of Excellence through their sustained involvement in FSI’s advocacy initiatives:

• Brian G. Carter, MBA, Fractional CTO, Carter Tech Consulting 
• Matthew Carter, CFP^®, Financial Advisor, Voya Financial Advisors 
• Kelly J. Cartier, CFP^®, President, Cartier Financial, LLC 
• Melissa Couch, AIF^®, Director of Advisory Operations, Principal Securities  
• Thomas Daniel, Head of Compliance Testing & Risk, MML Investors Services, LLC 
• Brad Greenbaum, AIFA^®, CLU, CHFC, RHU, Vice President, Altigro Pension Services, Inc. 
• Eric Haubert, Financial Advisor, Senior Financial Advisor, Registered Principal, Nest Capital 
• Karolina Hawley, Director of Compliance Operations, J.W. Cole 
• Fraj Lazreg, CFM, MRFC^®, AIFA^®, Regional Director, Money Concepts International | CEO, Nest Level Financial Network, Investors’ Advantage Portfolios 
• Brian Olah, Financial Advisor, Halo Wealth Management, LLC 
• James Robinson, RICP^®, Wealth Management Advisor, Schulfer & Associates Wealth Management 
• Ralph Rosenbaum, MBA, CPA|PFS, IAR, Owner, Rosenbaum Financial Services
• Tim Ryder, Senior Vice President, Wealth Solutions, First Command Financial Services  
• Patricia Soto, ChFEBC℠, Financial Advisor, My Shepherd Financial 
• Val Vest, Executive Vice President & Chief Experience Officer, Cambridge Investment Research  

2026 Firm Excellence Award 

FSI also introduced the Firm Excellence Award this year to recognize the combined advocacy efforts of a member firm and its affiliated financial advisors. 

We are pleased to recognize First Command Financial Services as the recipient of the inaugural award. 

First Command helped advance FSI’s advocacy priorities throughout the year. Both firm leaders and financial advisors met with lawmakers and regulators, as well as fostered industry collaboration and education on the issues shaping the profession through participation in FSI events. 

Further, CEO Mark Steffe helped launch FSI’s AI Task Force, which has helped guide the industry’s approach to AI and contributed to FSI’s AI white paper. Other members of the First Command team also participated in the task force. 

We congratulate all of this year’s honorees and appreciate the time and expertise they devoted to this work.