Securities America’s 18th Annual Assistant University
More than 215 registered attendees will receive formal classroom instruction and hands-on training, participate in small group and panel discussions, network with other professionals from across the country and meet with Securities America staff for one-on-one consultations.
"Assistants have a challenging and critical role in successful financial advisory practices," said Kirk Hulett, Securities America's executive vice president of strategy and practice management. "They provide the initial contact with clients, answer their questions and respond to their requests - while maintaining precise records and monitoring complex compliance issues. We're proud to have been the first independent broker-dealer to develop a stand-alone conference for support staff. And we add new topics every year in response to industry changes and input from Securities America affiliated financial firms."
Three tracks - Emerging, Experienced and Technology - are designed to help office staff at all levels of experience and responsibility increase their knowledge in technology, compliance, marketing, operations, business management and practice management. Building high performance teams, going paperless and preventing audit deficiencies are just a few of the topics that will be addressed in more than 30 sessions. This year's technology track will include an introduction to Securities America's newest website for advisors, which will launch two weeks before the conference.
Doris McGee, office manager for Lehmann Financial in Champaign, Ill., described her experience at last year's Assistant University.
"It's been great to meet people I can reach out to across the country when I have a question about something in my area," she said. "I've met women that have been in the industry a year or less like I have and a woman that has attended for 17 years. The friendships I'll take away I'll have forever. I learned a great deal about compliance and some of the other topics that were a little intimidating. I had so many questions; all of them were answered. I have so many good ideas to take back."
Pre-conference sessions will present best practice solutions for using Managed Opportunities turnkey advisory program and Albridge Wealth Reporting. Securities America's Sales Assistant Advisory Board will also meet prior to the conference. The 10-member board provides feedback on Securities America's services and offers suggestions for possible improvements.
Back for a second year, the Principal Meeting will be held while Assistant University takes place. Acting principals, OSJs and production group leaders will network with peers from across the country and participate in sessions on supervisory topics and remaining compliant within the financial services industry.
About Securities America
Securities America is one of the nation's largest independent broker-dealers with more than 2,000 independent advisors and $55 billion in client assets.
# # #
Advisory services offered through Securities America Advisors, Inc., an SEC Registered Investment Advisory Firm. Securities offered through Securities America, Inc., member FINRA/SIPC.