Empowering Change: FSI’s 2024 Advocacy Circle of Excellence

Fostering meaningful relationships with lawmakers and regulators at the state and federal levels has been integral to our work at FSI over the last 20 years. And it has paid dividends.

Through tireless advocacy on Capitol Hill and in statehouses across the country, we are now part of the debate whenever laws or rules are considered that would impact the independent financial services industry. FSI wouldn’t enjoy this privilege without the dedication and passion of our members.

This is why we launched our annual advocacy awards program – to honor those who go above and beyond to support our shared mission.

Since 2020, we’ve been naming exemplary members to our FSI Advocacy Circle of Excellence and presenting the Stephen R. Kareta Excellence in Advocacy Award to a select few. Kareta, a model FSI member, set a high bar, working hard to protect and advance the interests of members and Main Street investors. 

This year’s Stephen R. Kareta Excellence in Advocacy Award winners are Mike Pedlow, Frank Tauches and Matthew Watts.

Pedlow, Executive Vice President & Chief Compliance Officer at Kestra Financial, is an active FSI member participating in a number of our events. In addition, he led fellow members from Texas in meetings with lawmakers on Capitol Hill.

Beyond that, Pedlow is engaged with FSI in other ways, including serving as the Chair of the Compliance Council and as a member of both the Standard of Care Taskforce and the Regulation by Enforcement Working Group.

Tauches is the Supervising Principal at American Portfolios Financial Services and a long-time active FSI member. Not only has he participated in FSI events, but he has also encouraged other FSI members to get engaged and participate.

As an attendee of FSI’s New York State Capitol Hill Day this summer, Tauches was instrumental, providing lawmakers context and insight on recent policy developments. Additionally, he serves on the Supervision Working Group.

Watts serves as Senior Vice President of Supervision at Raymond James Financial Services. Like the others, he has helped lead to discussions with lawmakers and advocates vigorously for our priorities.

Watts is an active Standard of Care task force member and serves on the Supervision Working Group. He diligently responds to calls to action.

In addition to Pedlow, Tauches and Watts, the other members of the 2024 FSI Advocacy Circle of Excellence are:

• Larry Casey, First Vice President and Chief Information Officer, Cambridge Investment Research, Inc.
• Virginia Cook, Senior Vice President, Compliance Office, PFS Investments Inc.
• Fred Dawson, President, Dawson Wealth Management LLC
• Ted Ferik, Senior Investment Analyst, Avantax Wealth Management
• David Flippo, Financial Advisor, First Command Financial Services
• Steven Flax, Senior Vice President, Human Resources, Lincoln Investment
• Sunday Grace, Executive Vice President & Chief Financial Officer, First Command Financial Services
• Veronica Hammond, Senior Vice President & Chief Compliance Officer, First Command Financial Services
• Matt Kinsella, Vice President & Chief Compliance Officer, Ameritas Investment Company, LLC
• Mary Kusske, Managing Director – Senior Advisor, Gallagher Fiduciary Advisors, LLC
• Ruth Matt, Founder & CEO, Fore River Financial
• Patricia McCallop, Chief Compliance Officer, Cetera Advisor Networks LLC and Cetera Advisors LLC
• Hilary Pluemer, Chief Administrative Officer, Prospera Financial Services, Inc.
• Angela Renna, President, Sterling Financial Group, LLC
• Shawn Scholz, Head of Compliance & Chief Compliance Officer, AE Wealth Management, LLC
• Wendy Simmons, Managing Director, Human Resources, Prospera Financial Services

FSI President and CEO Dale Brown praised this year’s honorees saying, “We are proud to honor these distinguished members in this year’s Circle of Excellence. Through their work and engagement, these honorees have made a lasting impact in the industry, ensuring Main Street Americans have access to professional and affordable financial advice, products and services. They have demonstrated an unwavering commitment to our mission and advocacy priorities, which has greatly contributed to two decades of successful advocacy for independent financial advisors and firms.”