Honoring Those Who Demonstrate the Power of Advocacy

For more than two decades, advocacy has been the core tenet of FSI’s mission. By fostering strong, lasting relationships with lawmakers and regulators at both the state and federal levels, we’ve ensured that our members’ voices have influence whenever rules or legislation that could impact our industry are on the table.

That influence and credibility didn’t happen by chance. It’s the result of our members’ dedication, engagement and willingness to step up when it matters most. To recognize those who go above and beyond in advancing our shared mission, we honor members each year through our Stephen R. Kareta Excellence in Advocacy Award and our Advocacy Circle of Excellence.

Named in memory of Stephen R. Kareta, a model advocate for our industry, the award represents the highest standard of service and commitment. This year’s recipients—Robert Guldner, Mike Pedlow and Patrick McGrath—embody the dedication, leadership and passion that define FSI’s advocacy work.

Guldner, Chief Compliance Officer at Steward Partners Global Advisory, has played a pivotal role in guiding FSI’s Compliance Council and has been a key contributor to our AI Task Force. His engagement also includes participation in FSI Forum & Capitol Hill Day

On the advocacy front, he engaged directly with lawmakers and regulators in a variety of settings, from meeting with Rep. Thomas Suozzi (NY-03) to high-impact sessions with NASAA staff. At every turn, he provided fellow members and FSI staff with thoughtful and actionable insights.

Pedlow is Executive Vice President & Chief Compliance Officer at Kestra Financial. He brings years of consistent engagement to his advocacy work. From FSI Forum & Capitol Hill Day to OneVoice, he is known for going above and beyond—arranging meetings with lawmakers and following up with detailed briefings.

Pedlow contributes meaningfully to FSI volunteer groups, including working groups on payments to ensemble practices, regulation by enforcement and standard of care, and recently he participated in the Boston NASAA roundtable.

McGrath, a financial advisor, has shown exceptional commitment to advocacy over the years. He has invested a vast amount of time and energy into building meaningful relationships with lawmakers.

In 2025, McGrath led meetings with Rep. Rob Bresnahan (Pa.) and Sen. Dave McCormick (Pa.), a key Senate Banking Committee member, and attended a PAC fundraiser on FSI’s behalf. He is a model for what an engaged FSI financial advisor member can achieve.

2025 Advocacy Circle of Excellence Nominees

• John Amore, President, Kestra Financial, Inc.  
• Kristine Bergin, Vice President – Investment Advisory Relationships, Raymond James Financial Services  
• Eric Chartan, Senior VP, Chief Legal Officer, First Command Financial Services, Inc.  
• Rebecca Cochran, Director, Information Security and Data Privacy, First Command Financial Services, Inc.  
• Jesse Dahl, Clearing Operations; Corp Actions, Div/Int, P&S, Operations Control, Cetera Investment Services  
• Ted Ferik, Head of Research, Brady Martz Wealth   
• Brad Greenbaum, Vice President, Altigro Pension Services  
• Cynthia Jeffries, CFE and CRCP, VP Compliance, Commonwealth Financial Network 
• Robert Morales, CFP, AIF, Managing Director, Head of Products & Solutions, Momentum Independent Network Inc.  
• Ken Nguyen, MBA, Director of Operations, The Strategic Financial Alliance, Inc.  
• Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group 
• Amy Rehn, Managing Director, Investment Advisory Platforms, Cetera Financial Group   
• James Robinson, RICP®, Wealth Management Advisor, Schulfer & Associates  
• Mark Schoenbeck, CFP, Executive Vice President – Advisor Engagement, Kestra Financial, Inc. 
• David Sparks, Senior Vice President & General Counsel, Raymond James Financial Services, Inc.  
• Matthew Watts, Senior Vice President – Supervision, Raymond James Financial Services, Inc.  
• Daniel Woodring, Executive Vice President – Chief Compliance Officer, PFS Investments, Inc.  

FSI President & CEO Dale Brown praised all nominees, saying:

“These honorees exemplify the spirit of constructive advocacy engagement that drives our work at FSI. Their tireless efforts have helped advance efforts to enhance protections for seniors and vulnerable adults, preserve advisors’ choice to operate as independent contractors and keep financial advice accessible for the millions of Americans they serve. We offer them our sincerest thanks and congratulations.”