I tainly - Raymond James Financial · 5 Welcome Letter 6 Highlights 8 General Information 10...

April 22-25 • Grapevine, Texas

N at i o N a l C o N f e r e N C e f o r P r o f e s s i o N a l D e v e l o P m e N t

table of CoNteNts

4 2013 Education & Marketing Partners

5 Welcome Letter

6 Highl ights

8 General Informat ion

10 Conference a t a Glance

12 Map – Gaylord Texan Resort

13 Map – Technology Center & Exhib i tors

14 Maps – Convent ion Center

16 Map – Resource Center & Exhib i tors

18 Monday Events & Sessions

28 Tuesday Events & Sessions

38 Wednesday Events & Sessions

48 Thursday Events & Sessions

54 Chairman’s Counci l

60 Top Advisors

70 Cont inuing Educat ion

It certainly does seem like the stars have aligned in the lone star state. With the great anticipation that greets us all and the enormous opportunities in store throughout, there’s never been a better time to start thinking big. here in texas they like to cut to the chase and go straight to the bottom line, so let’s have at it – When it comes to groWing your practice, there’s nothing greater

than this.

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We extend our special thanks and appreciation to these Education & Marketing

Premier Partners for making important program contributions to our conference:

AIG - SunAmerica Variable Annuities

American Century Investments®

Artisan Partners

Destra Capital Investments

Dreyfus

Fidelity Investments

First Eagle Funds

GavKal Capital, LLC

Henderson Global Investors

ING Investment Management

JANUS

Mirae Asset Global Investments

Nationwide Financial

Neuberger Berman

Principal Funds

RidgeWorth Investments

RiverFront Investment Group, LLC

RS Funds

T. Rowe Price

VIRTUS Investment Partners, Inc.

AllianceBernstein

American Funds

BlackRock

Calamos Investments

Columbia Management

Delaware Investments, A member of Macquarie Group

Deutsche Asset & Wealth Management

Eagle Asset Management

Eaton Vance

Equinox MutualHedge

Federated Investors

First Trust

Franklin Templeton

Goldman Sachs Asset Management

Hartford Funds

Invesco

Ivy Funds

J.P. Morgan Asset Management

Jackson National Life Distributors, LLC

John Hancock Funds

Legg Mason

Lincoln Financial Distributors

LORD ABBETT

MetLife

MFS Investment Management

Natixis Global Asset Management

New York Life - Mainstay Investments

Nuveen Investments

Ohio National Financial Services

OppenheimerFunds, Inc.

Pacific Life Insurance Co.

Pioneer Investments

Protective Life Insurance Company

Prudential Investments

Putnam Investments

Russell Investments

Thornburg Investment Management

Transamerica Annuities

Wells Fargo Advantage Funds

2013 EDUCATION & MARKETING PARTNERS

We would also like to thank our Education & Marketing Exhibiting Partners:

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Scott curtiS

Dear Fellow Associates,

Welcome to the 2013 National Conference for Professional Development. This year’s conference is located

in a state built on a rich history of individualism, innovation and tradition. Texas, once known primarily for

cattle trails and oil fields, is now also known for fostering advancements in technology and medicine. It’s a

place where old and new stand side by side and where independence and invention thrive. As an independent

practitioner, you understand how a combination of entrepreneurialism, work ethic and forward thinking has

contributed to your success.

This year’s theme, “Building on the Past, Planning for the Future,” takes inspiration from Raymond James’

recent 50th anniversary, recognizes our commitment to independence, integrity and fiscal conservatism,

and demands continuing our focus on placing clients’ interests first. Raymond James’ core components

of differentiation and distinction will remain in the years ahead.

With an eye toward the future, during the next four days we’ll share ideas and learn from each other, review

exciting, new technology applications, better understand the changing regulatory environment, and hear

insights regarding the global economy. Many top advisors will share their approaches, practices and their

challenges during sessions designed to help you become even better practitioners.

We’re very fortunate this year to hear from longtime Texas resident George W. Bush, the 43rd President of the

United States. The former U.S. President will share his experiences with other world leaders, provide unique

insights from his time in the Oval Office, and discuss the challenges and rewards of public leadership and

decision making. I also encourage you to hear Shawn Achor, author of the international bestseller “The

Happiness Advantage,” explain how training your brain to be positive will fuel greater success.

This year’s national conference promises to be a highly informative, engaging, educational and entertaining

event. I sincerely hope you share my enthusiasm for participating in and learning from the many opportunities

we’ll have together during the next few days.

Welcome to Dallas!

WELCOME

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4th ANNUAL RAYMOND JAMES ChARItY GOLF CLASSICSunday, April 21 | 8 a.m. & 1:30 p.m. with awards dinner at 6:30 p.m.Kick off the 2013 National conference for Professional Development with a day of golf! The 4th Annual Raymond James Charity Golf Classic

will take place on Sunday, April 21, at Cowboys Golf

Club. The 18-hole Cowboys course features 7,017

yards of golf and is the premier resort-style golf

course in Texas. Your involvement in this fun-filled

event will benefit the Scottish Rite Hospital for

Children in Dallas.

OPENING NIGht PARtY At PARADISE SPRINGSMonday, April 22 | 7 – 9 p.m.throw on your favorite cowboy attire and join us for an evening of entertainment, food and fun! Just steps away from the Gaylord Texan lies a paradise, Paradise Springs

that is! Monday night’s Opening Night Party will take place around a

6,000-square-foot lagoon featuring a 27-foot-tall winding water slide, two

horseshoe-shaped hot pools, and a serene 600-foot-long winding lazy river.

GEORGE W. BUSh, 43RD PRESIDENt OF thE UNItED StAtES AND FOUNDER OF thE GEORGE W. BUSh FOUNDAtIONTuesday, April 23 | 8:15 a.m.raymond James Financial Executive chairman tom James will interview President George W. Bush during this special one hour session.

President George W. Bush served in the Oval Office for eight of the most

consequential years in American history. Faced with challenges from a

terrorist attack to a global financial crisis, he made difficult decisions that

will shape the nation’s course and world affairs for decades to come. He’ll

share his insights on his eight years in the White House, his experiences

with other world leaders, the nature of public leadership and decision

making and a wide variety of domestic and international issues.Doors close at 8:15 a.M. You Must have Your naMe baDge to enter.

ShAWN AChOR, thE hAPPINESS ADVANtAGE: LINKING POSItIVE BRAINS tO PERFORMANCEThursday, April 25 | 2:40 p.m. Shawn Achor shares the recent scientific breakthroughs in the study of happiness and inspires audiences

to become lightning rods for change.Most companies and schools follow this

formula: If you work harder, you will be more successful, and then you will

be happy. This formula is scientifically backward. A decade of research

shows that training your brain to be positive at work first actually fuels

greater success second. In fact, 75% of our job success is predicted not by

intelligence, but by your optimism, social support network, and the ability to

manage energy and stress in a positive way. By researching top performers

at Harvard, the world’s largest banks, and Fortune 500 companies, Shawn

discovered patterns that create a happiness advantage for positive outliers –

the highest performers at the company. Based on his new book, “The Happi-

ness Advantage,” Shawn explains what positive psychology is, how much we

can change, and practical applications for reaping the Happiness Advantage

in the midst of change and challenge.

HIGHLIGHTS

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the NcPD Mobile App The power to create a customized schedule of sessions you want to attend, receive important up-to-the-minute conference updates, and map exactly where you need to go – right in the palm of your hand.

APP-SOLUTE INDEPENDENCE

to access the NcPD Mobile AppiPhone or iPad user – Visit Apple App Store and search NcPD 13.

Android user – Visit Google Play Store and search NcPD 13.

BlackBerry or other smartphone user – Point your browser to http://rjncpd.gatherdigital.com (note: omit www) and bookmark it.

Desktop and laptop computers – New this year, the conference app can be accessed from any web browser. Simply visit http://rjncpd.gatherdigital.com (note: omit www) and bookmark it.

For all usersYour login is the email address used to register, and the password is rj2013. There will also be app support in the Technology Center if you have questions or need assistance.

convenient features at your fingertipsKey information – Access speaker and session information.

customizable MySchedule – Browse and select the sessions you want to attend.

Site Map – Use handy drop pins to find and mark where you need to go.

Attendee Profile – Update your profile from your desktop.

Searchable & Sortable – Find just what you’re looking for quickly and easily.

Surveys – Rate sessions and speakers at the end of each session, not days later.

Notes – Take notes during the session on your iPad.

GALA EVENING FEAtURING PAt GREEN: A tEXAS SONGWRItERThursday, April 25 | 8:30 p.m.A Grammy-nominated hit maker, a texas inspiration and a mainstream country artist, Pat Green has rocked arena and stadium stages with the likes of Keith urban and Kenny chesney. With more than 15 chart-topping singles on Billboard’s Hot Country Songs

chart over his 15-year career, Pat Green’s performance is sure to be one

of our most memorable yet!

DOWNLOAD THE fREE NCPD MObILE APP NOW.

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Hotel InformationGaylord Texan Resort & Convention Center1501 Gaylord TrailGrapevine, Texas 76051 Phone: 817-778-2000

Resort FeeA daily resort fee of $15 is associated with the guest room rate, which Raymond James will incur for the nights charged to the conference. This fee covers wireless Internet access in your guest room and in public spaces throughout the hotel (excludes meeting and function space), in-room high-speed wired Internet access, fitness center, complimentary local and toll-free telephone calls (up to 20 minutes), discount on transportation services to Grapevine Mills Mall and Downtown Grapevine.

Business CenterFedEx Office is located outside of the Longhorn Exhibit Hall in the Convention Center.Phone: 817-778-1470Guest Fax Number: 817-722-2184Hours of Operations: Open daily 6 a.m. to 9 p.m.24-hour Internet access, self-service printing and copying

Fitness CenterLocated just off the Riverwalk Atrium, lower levelHours of operation: 5 a.m. to 9 p.m.No charge for hotel guests.

Dress GuidelinesThe dress code for all conference sessions and events (other than the Final Night Gala) will be business casual. Items not considered appropriate business casual attire: shorts (other than dress shorts), jeans, tennis shoes, T-shirts, etc.

For Monday’s welcome dinner at Paradise Springs, you are encouraged to dress in line with our country casual theme. Appropriate boots, cowboy hats and jeans. For Thursday’s Final Night Gala, dress is cocktail attire. Jackets are suggested for men.

Please Wear naMetags to all MeetIngs anD socIal FunctIons

Continuing Education (CE) CreditsMany sessions provide the firm element portion of the FINRA requirements for continuing education for all RJFS registered financial advisors. Applications also have been made for many sessions to the CFP® and CPE Boards for approval of CE credits required for those certifications, and many sessions have been approved for state insurance CE credits. Please refer to the Continuing Education section of this guide for specific information, as well as instructions for obtaining CE credits at the conference. Note: Please read this information carefully.

Session RecordingsA majority of the sessions will be recorded and made available free of charge soon after the conference via the conference app and the Practice Intelligence website.

Ribbon Recognition Chairman’s Council ......................................... Gold Ribbon

FID Director’s Council ...................................... Black Ribbon

Leaders Council .............................................. Green Ribbon

Executive Council ............................................ Red Ribbon

Rising Stars .................................................... Silver Ribbon

FSI Members .................................................. Magenta Ribbon

Badge Identification A colored stripe appears at the bottom of each attendee’s badge to

identify their affiliation and/or role.

independent contractors Division (icD) Financial Advisors & Branch Professionals .... Red

Financial institutions Division (FiD) Financial Advisors & Branch Professionals .... Black

Raymond James Home Office .......................... Blue Education & Marketing Partners ....................... Purple Technology Partners ........................................ Green Spouses/Guests .............................................. Pink

Pin RecognitionFSI PAC Members ........................................... Gold and Navy Lapel Pin Chairman’s Council Team Members .......................................... Yellow Oval Lapel Pin Director’s Council Team Members ........................................... Black Square Lapel Pin Leaders Council Team Members ........................................... Green Circular Lapel Pin

Education & Marketing Partners’ DrawingOn Thursday evening, seven names will be drawn for cash awards totaling $3,000. There will be four $250 winners, two more for $500 and one for $1,000! Those qualified and attending five partner sessions are eligible to win, while those attending seven partner sessions double their chances. See details included with your registration materials.

GENERAL INfORMATION

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Cellphone PolicyWe ask that all cellphones be turned off or set to “silent” in all sessions. If a conversation is necessary, please leave the session to conduct it where it will not disturb the presenter or other attendees.

Hospitality LoungesOn Tuesday, RJFS will host a hospitality lounge from 9:30 to 11 p.m. in The Yellow Rose Ballroom, featuring a live performance by Jonny Mogambo and special guest musicians.

On Thursday, RJFS will host the Piano Hospitality Lounge in The Yellow Rose Ballroom and the Dance Party at Texan Station from 10 p.m. to 12 a.m. following the gala dinner entertainment. Conference nametags will be required for admittance in the lounges.

Spouse/Guest Hospitality LoungeThe Spouse/Guest Hospitality Lounge is located behind Texan Station, above Riverwalk Cantina. It is open from 8 a.m. to 4 p.m. Monday through Wednesday and 8 a.m. to noon on Thursday. A host from ACCESS Destination Services® will be in the lounge to help spouses and guests arrange activities or register for the elective companion events if space is available. Coffee and pastries will be available Monday through Thursday mornings from 8 to 10 a.m. for adult guests of attendees only, please. All other conference attendees should attend the main breakfast buffet in Longhorn D - F. Conference nametags will be required for admittance to the lounge.

Conference Registration DeskThe conference registration area is located on the Texas Ballroom level in the Center Prefunction area. Conference nametags, information and agendas may be obtained here. A message board is also located beside the conference registration desk. Our Raymond James Financial Services staff will be happy to answer your conference questions and assist with any additional needs you may have.

Desk Hours: Sunday 10 a.m. to 6 p.m. Monday 7 a.m. to 6 p.m. Tuesday 7 a.m. to 5 p.m. Wednesday 7 a.m. to 4 p.m. Thursday 7 a.m. to 2 p.m.

Conference & CE Information DeskThe Conference & CE information desk is located at the Grapevine Registration desk located in front of Grapevine Ballroom 1. General conference information, specific information on CE credits/procedures, directions and updates will be available at this location. Our Raymond James Financial Services staff will be happy to answer your conference questions and assist with any additional needs you may have.

UPS Shipping ServicesUPS, the Raymond James approved shipping vendor, will be on-site Wednesday and Thursday from 8 a.m. until 5 p.m. They will be located in the Texas Ballroom Prefunction area, and will have the appropriate paperwork and instructions available to ship materials back to your office. You will also have the opportunity to sign up for a new shipping account.

Experience the sharing culture of this Raymond James event year-round at our proprietary website Practice Intelligence. Here you will find

practice diagnostic tools, a model to help you build success strategies and best-practice tools shared by our partner firms, your most

successful peers and other industry experts.

Practice Intelligence helps you keep your best ideas from this event out of the “Good Idea Graveyard” with tools like the ConferenceMax guide.

This set of best practices helps you have the best experience while on-site and makes it easier to map out a plan with your team to get things

done afterward. You can pick up the workbook portion of the guide here at the Registration Desk.

What’s the easiest way to get your hands on these tools? Simply send an email to [email protected] with “NCPD”

in the subject line. This will forward an email to you with links to these and other great resources. If you have a smartphone with a QR Code

reader, simply scan the square code and your phone will create the email for you!

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2013 CONfERENCE AT A GLANCE

Monday | april 22 tuesday | april 23

Main breakfast/ new advisor breakfast

conference Kickoff

general session | Scott Curtis

lunch / Optional Prayer Lunch

Inte

rnet

caf

é &

tech

nolo

gy c

ente

r ope

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opening night event | Paradise Springs

technology update

regional breakouts/ FID breakout

Prof

essi

onal

De

velo

pmen

tse

ssio

ns

tech

nolo

gyse

ssio

ns

bran

ch P

rofe

ssio

nal

sess

ions

hospitality lounge

general session | Chet Helck

lunch & resource center

resource center reception

general session Interview with President George W. Bush

by Tom James

regIstratIon DesK oPens at 7 a.M. DaIlY

7 a.m.

8 a.m.

9 a.m.

10 a.m.

11 a.m.

12 p.m.

1 p.m.

2 p.m.

3 p.m.

4 p.m.

5 p.m.

6 p.m.

7 p.m.

8 p.m.

9 p.m.

10 p.m.

11 p.m.

12 a.m.

top

advi

sor

sess

ions

tech

nolo

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bran

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sess

ions

Main breakfast/bP tech breakfast

compliance, supervision & variable annuity sessions

Inte

rnet

caf

é &

tech

nolo

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ente

r ope

n

top

advi

sor

sess

ions

tech

nolo

gyse

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bran

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rofe

ssio

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sess

ions

Prof

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onal

De

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tech

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sess

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GEnERAL SESSIonS

FID SESSIonS

PRoFESSIonAL DEvELoPMEnT SESSIonS

BRAnCH PRoFESSIonAL SESSIonS

TECHnoLoGy SESSIonS

ToP ADvISoR SESSIonS

EDUCATIon & MARKETInG PARTnER SESSIonS

CoMPLIAnCE & SUPERvISIon SESSIonS

BREAKoUT SESSIonS

technology sessions

bran

ch

Prof

essi

onal

se

ssio

n

compliance, supervision & variable

annuity sessions

Wednesday | april 24 thursday | april 25

Main breakfast & Partner exhibits/

compliance breakfasts

general session | Jeffrey Saut

lunch & resource center

Inte

rnet

caf

é &

tech

nolo

gy c

ente

r ope

n

educ

atio

n &

M

arke

ting

Part

ner

sess

ions

tech

nolo

gy

ses

sion

s

gala Dinner & live Performance by Pat green

Main breakfast

lunch

gala reception

general session Shawn Achor

education & MarketingPartner sessions

Inte

rnet

caf

é op

en

Piano lounge & Dance Party

regIstratIon DesK oPens at 7 a.M. DaIlY

7 a.m.

8 a.m.

9 a.m.

10 a.m.

11 a.m.

12 p.m.

1 p.m.

2 p.m.

3 p.m.

4 p.m.

5 p.m.

6 p.m.

7 p.m.

8 p.m.

9 p.m.

10 p.m.

11 p.m.

12 a.m.

education & Marketing

Partner sessions

compliance, supervision & variable annuity sessions

branch Professional

session

Prof

essi

onal

De

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tech

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exercise session

general session | Paul Reilly

town hall | Paul Reilly | Chet Helck | Scott Curtis

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MAPS

TEXAN STATION PATIO

JAVA COAST

SHUTTLE TO/FROM GLASS CACTUS

TO GLASS CACTUS

ZEPPOLE

RIVERWALK CANTINA

Branch Professional

Sessions

Spouse Lounge

Fitness Center/Jogging

Pool

Express Checkout

Concierge

Bell StandElevator

Escalator

Stairs

Restrooms

Information

Valet Parking

Conference Registration

Express Checkout

Taxi

Phones

Guest Laundry

Transportation

Cocoa Bean

BusMeeting Rooms

ATM

Cocktails/Bar

Dining

Registration

riverwalk

Lone Star

Hill country

convention center

GAYLORD TEXAN

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TECHNOLOGY CENTER

Market-Q/ Dow Jones

Morningstar

Marketedge

copytalk

S&P capital iQ

thomson reuters

Verizon Wireless

Service center

Money Movement

At&t

Advisor Websites & Social Media

compliance

technology Support

Desk

internet café

technologyconsulting/HP

Data Privacy & Security

Mobile iron

iPad

Practice Management

cost Basis Performance

client reporting

relationship Management

center

client center

crMBest

Practices

coffee Bar

investor Access

rJ Data Exchange

Portfolio Management center/ order Management

Goal Planning & Monitoring

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MAPS

Ballroom Level(Level 3)

Mezzanine Level(Level 2)

Exhibit Level(Level 1)

Parking Level(Lower Level 1)

Parking Garage

Longhorn Exhibit Halls

Ft.Worth

Dallas

San AntonioAustin

Convention Center

Lone Star Atrium

Mission Plaza

Gazebo

Fountain

12

34

43

21

76

55

67

12

33

21

65

44

56

A

A

B

C

D

E

F

C

BD

1

C

D

B

A

Stage

23

45

6

Sales & ConferenceManagement

Elevator

Escalator

Stairs

Restrooms

Information

Phones

ATM

Valet Parking


Express Checkout

Smoking Area

Bridge to Hotel

Bridge to Hotel

Texas Ballroom

Grapevine Ballroom1

23

45

6

Ballroom Level(Level 3)

Mezzanine Level(Level 2)

Exhibit Level(Level 1)

Parking Level(Lower Level 1)

Parking Garage

Longhorn Exhibit Halls

Ft.Worth

Dallas

San AntonioAustin

Convention Center

Lone Star Atrium

Mission Plaza

Gazebo

Fountain

12

34

43

21

76

55

67

12

33

21

65

44

56

A

A

B

C

D

E

F

C

BD

1

C

D

B

A

Stage

23

45

6

Sales & ConferenceManagement

Elevator

Escalator

Stairs

Restrooms

Information

Phones

ATM

Valet Parking


Express Checkout

Smoking Area

Bridge to Hotel

Bridge to Hotel

Texas Ballroom

Grapevine Ballroom1

23

45

6

Convention CenteR

15

resource center & Meals

uPS/Merchandise Sales

cE

General Sessions Breakout Sessionstech center & internet café

tech Sessions

registration

Ballroom Level (Level 3)

Exhibit Level (Level 1)

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RESOURCE CENTER

133 132 131

126 127 128

134

125

130

129

148 149 150 151 152 153 154 155 156 157 158 159 160

112 111 110 109 108 107 106 105 104 103 102 101 100

141

140

139

138

137

136

135

147

146

145

144

143

142

124

123

122

120

119

118

117

116

115

114

113

215 212

216 211

217 210

218 209

214 213

219 208

220 207

221 206

222 205

223 204

224 203

225 202

226 201

227 200

228

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Booth Number Education & Marketing Partners

146 AIG - SunAmerica Variable Annuities152 AllianceBernstein144 American Century Investments®

125 & 134 American Funds158 Artisan Partners128 BlackRock109 Calamos Investments105 Columbia Management157 Delaware Investments, A member of Macquarie Group147 Destra Captial Investments136 Deutsche Asset & Wealth Management102 Dreyfus138 Eagle Asset Management106 Eaton Vance117 Equinox MutualHedge154 Federated Investors159 Fidelity Investments101 First Eagle Funds118 First Trust129 Franklin Templeton160 GavKal Capital, LLC 108 Goldman Sachs Asset Management135 Hartford Funds148 Henderson Global Investors100 ING Investment Management132 Invesco133 Ivy Funds126 J.P. Morgan Asset Management139 Jackson National Life Distributors, LLC116 JANUS123 John Hancock Funds103 Legg Mason140 Lincoln Financial Distributors130 LORD ABBETT120 MetLife124 MFS Investment Management113 Mirae Asset Global Investments110 Nationwide Financial156 Natixis Global Asset Management115 Neuberger Berman122 New York Life-MainStay Investments137 Nuveen Investments141 Ohio National Financial Services131 OppenheimerFunds, Inc.143 Pacific Life Insurance Co.151 Pioneer Investments145 Principal Funds119 Protective Life Insurance Company153 Prudential Investments107 Putnam Investments

150 RidgeWorth Investments112 RiverFront Investment Group, LLC149 RS Funds127 Russell Investments111 T. Rowe Price155 Thornburg Investment Management142 Transamerica Annuities114 VIRTUS Investment Partners, Inc.104 Wells Fargo Advantage Funds

Booth Number Home office Departments

216 Alternative Investments Group225 Asset Management Services228 Cash Management, Capital Access & Cash Sweeps226 Closed-End & ETF Research202 Concentrated Equity & Options Strategies218 Equity Research217 Equity Syndicate223 Financial Institutions Division207 Fixed Income Services209 Investment Banking215 Mutual Fund Research & Marketing201 Office Services210 Operational Risk & Privacy206 Practice Intelligence205 Practice Planning and Acquisitions224 Private Client Group Services & Investment Central227 Raymond James Bank211 Raymond James Insurance Group203 Raymond James Marketing200 Raymond James Operations212 Raymond James Trust221 & 222 RJFS - ICD Regional Management204 RJFS Compliance208 Unit Investment Trusts220 & 219 Wealth, Retirement & Portfolio Solutions

Booth Number resource Partners

213 CFP® Board214 IMCA - Investment Management Consultants Association

resource center HoursTuesday: 12:30 to 1:50 p.m.

5:30 to 6:30 p.m., Resource Center ReceptionWednesday: 12:30 to 2:00 p.m.

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Events + Sessions

Cowboy wisdom:AlwAys drink upstreAm

from the herd.

Conference wisdom:proActive plAnning is

AlwAys better thAn just reActing to the mArkets.

19

7:00 – 9:00 opening night Event | Paradise Springs | See page 26 for details

12:30 – 1:30 Main Lunch | Longhorn D-F Prayer Lunch (optional) | Longhorn C

9:40 – 10:00 General Session | Technology Update | Vin Campagnoli | Texas Ballroom AB

9:10 – 9:40 General Session | Building on the Past, Planning for the Future. | Scott Curtis | Texas Ballroom AB

9:00 – 9:10 General Session | Conference Kickoff | David Sisemore | Texas Ballroom AB

8:00 – 9:00 Main Breakfast | Longhorn D-F | new Advisor Breakfast (Invitation Only) | San Antonio 1-3

10:00 – 5:00 Technology Center & Internet Café | Texas Ballroom CD

10:10 – 11:10Session details on pages 20-21

Integrate iPad into Your Practice Fort Worth 1-2

Fixed Income strategies today Fort Worth 5-7

results-oriented MarketingDallas 5-7

You can’t Win If You Don’t PlanAustin 1-3

the great rotation into equities Grapevine A/1-3

What Fas can learn from appleGrapevine D

Meditate Your Way to less stressGrapevine B/4-6

What’s neW in Wealth solutions?Grapevine C

Your unique Productivity styleYellow Rose Ballroom

goal Planning & MonitoringTexas Ballroom 6

Portfolio Management centerTexas Ballroom 5

client center – client reportingDallas 1-2

crM – getting startedDallas 3-4



etF roundtable Fort Worth 5-7

strategic acquisitionDallas 5-7

think like a bankerAustin 1-3

emotional communicationGrapevine A/1-3

compensation and Incentive PayGrapevine D

anti-aging for a More Durable YouGrapevine B/4-6

Wealth Management track Grapevine C


uIt order entryTexas Ballroom 5



social security Direct DepositsYellow Rose Ballroom



gerry KlingmanGrapevine C

iPad Deeper DiveFort Worth 1-2

van PearcyGrapevine A/1-3

Mark J. smithGrapevine D

randy carverGrapevine B/4-6

by Invitation only ProgramYellow Rose Ballroom

crM – notes & activitiesDallas 3-4

advanced bondDesk techniquesTexas Ballroom 5


4:00 – 5:00Session details on page 26

IcD northeast regional breakoutGrapevine D

IcD Mid-atlantic regional breakoutGrapevine C

IcD Midwest regional breakoutGrapevine A/1-3

IcD West regional breakoutDallas 5-7

FID breakoutAustin 1-3

IcD southeast regional breakoutFort Worth 5-7

IcD central regional breakoutGrapevine B/4-6

goal Planning & MonitoringFort Worth 1-2

scott brownGrapevine C

carl stuart Fort Worth 5-7

exponential growthAustin 1-3

louis ricciardiGrapevine A/1-3

tim WymanGrapevine D

carl MahlerGrapevine B/4-6




client center –advanced searchDallas 1-2

Quote system needs/Market QDallas 3-4

Your unique Productivity styleYellow Rose Ballroom

GEnERAL SESSIonS

FID SESSIonS



TECHnoLoGy SESSIonS




BREAKoUT SESSIonS

20

7 a.m. – 6 p.m.Conference Registration | Center Prefunction

8 – 9 a.m.Main Breakfast | Longhorn D-F

8 – 9 a.m.new Advisor Breakfast | San Antonio 1-3By Invitation Only. This breakfast session provides new advisors an overview of the conference and the opportunity to enjoy breakfast with other new advisors within their regions.

10:10 – 11:10 a.m. PRoFESSIonAL DEvELoPMEnT | PoRTFoLIo MAnAGEMEnT

Asset Management Services: The Great Rotation into EquitiesGeorge Raffa, CIMA®, SVP, National Sales Manager, Asset Management Services, Raymond James Financial, Inc. | Daniel Peris, Ph.D., CFA, VP, Portfolio Manager, Federated Investors | Steven M. Lipper, CFA, Investment Strategist, LORD ABBETTGrapevine A/1-3Over the past few years, Asset Management Services has featured market opportunities that have been realized. Come hear our take on Barron’s concept of the “great rotation into equities”– including how the fixed income bubble may be beneficial to your clients and how we can help you prepare for this opportunity. Understand how a solutions-based approach can work for clients of various risk tolerances; with additional insight from equity income and international managers. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

PRoFESSIonAL DEvELoPMEnT

What Financial Advisors Can Learn from Steve Jobs and AppleDavid Patchen, Regional Director, ICD Regional Management, Raymond James Financial Services, Inc.Grapevine DSteve Jobs built Apple into the world’s most valuable company. Along the way he helped transform seven industries and is considered one of America’s greatest inventors. Learn some of the leadership traits that made Jobs and Apple so successful, and see if some of them can apply to your business.

PRoFESSIonAL DEvELoPMEnT | RJIF

What’s nEW in Wealth Solutions? More Than you Might Think! Wealth Management TrackPatrick O’Connor, CFA, SVP, Wealth, Retirement and Portfolio Solutions, Raymond James Financial, Inc. | Pat Daxon, CFP®, CFA, VP, Wealth, Retirement and Portfolio Solutions, Raymond James Financial, Inc. | Kristie Kindstrom, VP, Wealth, Retirement and Portfolio Solutions, Raymond James Financial, Inc.Grapevine CRaymond James is making a significant investment in new people, a new regionalized service model, new deliverables, and new technology tools with a focus on supporting your capabilities to attract and service high-net-worth clients and prospects. Join us for guidance on how to put these resources to work in your independent practice. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE

PRoFESSIonAL DEvELoPMEnT | InDIvIDUAL InvESTMEnTS

Fixed Income Strategies in Today’s WorldNick Goetze, Managing Director, Fixed Income Capital Markets, Raymond James Financial, Inc. | Ted Ruddock, SVP, Fixed Income Capital Markets, Raymond James Financial, Inc. | Sarah Tucker, SVP, Fixed Income Capital Markets, Raymond James Financial, Inc.Fort Worth 5-7What to Buy, What to Sell, What to Hold – insight from Fixed Income Capital Markets. Custom bond portfolios designed to meet client goals regardless of whether rates rise or fall. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

9:00 – 9:10 a.m. Conference Kickoff David Sisemore, Regional Director, ICD Regional Management, Raymond James Financial Services, Inc. Texas Ballroom AB Join David Sisemore for an overview of our week.

9:10 – 9:40 a.m. Building on the Past, Planning for the Future.Scott Curtis, President, Raymond James Financial Services, Inc. Texas Ballroom AB

9:40 – 10:00 a.m. Technology Update Vin Campagnoli, Chief Information Officer, Raymond James Financial, Inc.Texas Ballroom ABJoin Vin Campagnoli to hear what’s happening on the technology front at Raymond James.

10 a.m. – 5 p.m.Technology Center & Internet Café | Texas Ballroom CD

10:10 – 11:10 a.m. PRoFESSIonAL DEvELoPMEnT | HEALTH & WELLnESS

Meditate your Way to Less Stress and More SuccessMax Bolka, Business & Financial Advisor and Practice Management Mentor, Comprehensive Business ConsultingGrapevine B/4-6Few advisors are immune from the damaging effects of increasing stress. For over 30 years, Max has studied, practiced and taught meditation to many advisors. Learn how to use these techniques to release stress from your mind and body in just minutes, becoming more dynamic, focused and productive.

Monday, aPRIL 22

21

10:10 – 11:10 a.m. PRoFESSIonAL DEvELoPMEnT | MARKETInG

Achieving your Growth objectives through Results-oriented MarketingLisa Turley, Director, Advisor Services, Raymond James Financial, Inc. | Jodie Orozco, Marketing Manager, Raymond James Financial, Inc.Dallas 5-7Successful financial advisors realize the value of matching their growth objectives to specific marketing activities. Learn how to take advantage of the abundant marketing resources at your disposal to support your business development goals while engaging clients and building your referral pipeline.

PRoFESSIonAL DEvELoPMEnT | FID

you Can’t Win If you Don’t PlanCarlie L. Dugan, Branch Manager, Cornerstone Financial Partners, FID, Raymond James Financial Services, Inc. | Mark Buss, Financial Advisor, Bremer Bank, FID, Raymond James Financial Services, Inc.Austin 1-3Calling all FID advisors: Are you ready to grow your practice at top speed? This session is a must for those who are seeking new ideas to attract clients, obtain more referrals, and put a plan in place for a prosperous future in this challenging and competitive industry.

TECHnoLoGy SESSIonS iPad Intro: Integrating the iPad into your PracticeFort Worth 1-2If you are considering purchasing an iPad or have recently added one to your practice, this session will ensure you are well prepared to make the best buying decision and are ready to take full advantage of all the iPad has to offer. We will cover the current and forecasted iPad lineup, basic device configuration and interaction, access to Raymond James systems and resources, tips and tricks as well as some key apps and iPad accessories.Session Repeated: Monday 11:20 a.m. | Tuesday 10:10 a.m. | Wednesday 10:20 a.m. | Thursday 10:10 a.m.

Goal Planning & Monitoring: Getting Started with a Test DriveTexas Ballroom 6The key to success with Goal Planning & Monitoring is just getting started. Attend this hands-on session to test drive the tool and learn valuable tips for how it can help accelerate the growth of your practice. You’ll be amazed at how quickly you can start using it with clients. CE: 1 CPA/CPESession Repeated: Monday 1:40 p.m. | Tuesday 10:10 a.m. | Tuesday 2:00 p.m. | Wednesday 10:20 a.m.

10:10 – 11:10 a.m. TECHnoLoGy SESSIonS Portfolio Management Center – nEW Custom Proposals and Product Research FeaturesTexas Ballroom 5New features in Portfolio Management Center are now available for advisors to create customized proposals using their own asset allocation models and an extensive database of over 27,000 products including mutual funds, individual stocks, closed end funds, ETFs, SMAs, Freedom portfolios, and UMAs. In this session you will create a proposal with a custom allocation and learn shortcuts to create a scalable portfolio management process that complements your planning process in GPM. Session Repeated: Monday 1:40 p.m. | Tuesday 10:10 a.m. | Tuesday 11:20 a.m. | Wednesday 2:10 p.m.

Client Center – Client ReportingDallas 1-2Get an in-depth, hands-on review of Client Center and Client Reporting. Learn some of the tips and tricks for navigating Client Center and gain insight into future enhancements.Session Repeated: Monday 11:20 a.m. | Monday 2:50 p.m. | Tuesday 11:20 a.m. | Wednesday 10:20 a.m. | Wednesday 2:10 p.m.

CRM – Getting StartedDallas 3-4This course will provide you with the foundational knowledge needed to begin using CRM. You will discover the benefits of the integration between CRM and the back office, as well as Client Center. During this session you will also learn how to create and manage contact and household records; including basic navigation and best practices for entering data. CE: 1 CPA/CPESession Repeated: Monday 11:20 a.m. | Tuesday 11:20 a.m. | Wednesday 11:30 a.m.

BRAnCH PRoFESSIonAL SESSIon one Size Does not Fit All: What is your Unique Productivity Style?Carson Tate, MS O.D., Founder and Principle, Working SimplyYellow Rose BallroomOne size does not fit all when it comes to productivity. As neuroscience continues to study the diversity in our cognitive thinking preferences, experts agree that productivity increases as individuals adopt strategies that support their natural left-brain or right-brain tendencies. So, what is your unique productivity style? Take our Productivity Style assessment, identify your unique productivity style and learn strategies that are tailored to support the ways in which you naturally engage in your everyday workflow. Stop adopting everyone else’s productivity best practices and start implementing strategies customized for you!Session Repeated: Monday 1:40 p.m.

GEnERAL SESSIonS

FID SESSIonS



TECHnoLoGy SESSIonS

22

11:20 a.m. – 12:20 p.m. PRoFESSIonAL DEvELoPMEnT | InDIvIDUAL InvESTMEnTS

ETF Roundtable: A Two-Tiered Discussion of Passive vs. Active ETFs as well as Inflation Protection Using Real Asset FundsAmy Charles, SVP, Director, Closed-End Fund Research, Raymond James Financial, Inc. | Kevin W. Quigg, CIMA, Global Head, ETF Sales Strategy Group, State Street Global Advisors | Dan Waldron, SVP, ETF Strategist, First Trust | Kenny Feng, CFA, President & CEO, ALERIANFort Worth 5-7As the ETF industry continues to grow and evolve, many in the investing community expect actively managed exchange-traded funds to become more prevalent across the industry. Join us as our distinguished panel of ETF experts discusses the merits of active versus passive ETFs, along with a look at strategies for using real asset funds as an inflation hedge. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

PRoFESSIonAL DEvELoPMEnT | MISCELLAnEoUS

Strategic Acquisition: Supercharging your PracticePatrick L. Jinks, CPA, Director, Practice Planning & Acquisitions, Raymond James Financial Services, Inc.Dallas 5-7Are you looking for an alternative method to procuring new client relationships; something other than the standard referral or as a result of a traditional marketing campaign? Are you up for a challenge? If so, we invite you to attend this session where we will focus on the nuances of undertaking a strategic practice acquisition; when properly executed, this strategy has proved to dramatically impact the overall bottom line of the acquirer’s practice.


Think Like a BankerPhilip Krupps, Branch Manager, Brown County State Bank, FID, Raymond James Financial Services, Inc. | Paul Stetter, Financial Advisor, Fulton Financial Advisors, FID, Raymond James Financial Services, Inc. | Dee Jernigan, Jr., Branch Manager, MidSouth Bank, FID, Raymond James Financial Services, Inc.Austin 1-3In the unique environment of a bank investment program, collaborating with key banking relationships is a critical component to growth. Come hear how three accomplished FID panelists have successfully leveraged relationships between the two dynamics. Each financial advisor will share their firsthand experiences for success so that you, too, can “think like a banker” and maximize your potential. CE: 1 CIMA®/CIMC®/CPWA®

11:20 a.m. – 12:20 p.m. PRoFESSIonAL DEvELoPMEnT | HEALTH & WELLnESS

Anti-aging for a More Durable youPamela Smith, MD, Director, Natixis Global Asset ManagementGrapevine B/4-6During times of heightened stress, it’s especially important to take care of yourself. Healthy diet alone may not be enough to prevent disease. Join anti-aging expert Dr. Pamela Smith, to learn the latest research on maintaining mind and body health for a more durable you.

PRoFESSIonAL DEvELoPMEnT | PoRTFoLIo MAnAGEMEnT

Strategic Emotional Communication: Address Clients’ Underlying Anxieties and Frustrations and Build Stronger RelationshipsRichard Peterson, MD, Trainer, MarketPsych LLCGrapevine A/1-3Learn how to create a Financial Stress Management Plan with clients to reduce anxiety. This session includes a case study of a client nervous about missing out on the current rally that demonstrates how emotion-based communication strategies increase both client trust and referral streams. CE: 1 CIMA®/CIMC®/CPWA®


I’m an Advisor, not a Supervisor! Unwrapping the Riddle to Compensation and Incentive PayAndrea Schlapia, CEO, IronstoneGrapevine DCreating an up-to-date pay for performance compensation structure that supports your business objectives requires planning, monitoring and re-evaluation over time. This session highlights vital strategies to develop and implement a custom plan for sustained peak performance within your practice.


Meeting Client Wealth Management needs with Lending Solutions: Wealth Management TrackBill Geis, Executive VP, Raymond James Bank | Joe Wessel, SVP, Raymond James BankGrapevine CExplore the lending solutions available to you and your clients and learn how to utilize them to help your clients achieve their overall wealth management needs while strengthening your position as the clients primary advisor. CE: 1 Firm, 1 CFP®/PACE

FID SESSIonS



TECHnoLoGy SESSIonSToP ADvISoR SESSIonS

Monday, aPRIL 22

23

11:20 a.m. – 12:20 p.m. TECHnoLoGy SESSIonS iPad Intro: Integrating the iPad Into your PracticeFort Worth 1-2If you are considering purchasing an iPad or have recently added one to your practice, this session will ensure you are well prepared to make the best buying decision and are ready to take full advantage of all the iPad has to offer. We will cover the current and forecasted iPad lineup, basic device configuration and interaction, access to Raymond James systems and resources, tips and tricks as well as some key apps and iPad accessories.Session Repeated: Monday 10:10 a.m. | Tuesday 10:10 a.m. | Wednesday 10:20 a.m. | Thursday 10:10 a.m.

Goal Planning & Monitoring: Using Advanced TechniquesTexas Ballroom 6Once you master the basics, the next step is to make Goal Planning & Monitoring perform the sophisticated scenarios and illustrate more advanced planning techniques, such as the What If Worksheet, Estate Planning modules and Social Security Maximizer. This session will help you take advantage of the tool’s power to grow your business. CE: 1 CPA/CPESession Repeated: Monday 2:50 p.m. | Tuesday 11:20 a.m. | Tuesday 3:10 p.m. | Wednesday 11:30 a.m. | Wednesday 2:10 p.m.

UIT order EntryTexas Ballroom 5How to use the UIT order entry system and available resources to optimize your experience with UITs. Topics include how to enter roll instructions, swap tickets, and manage client positions over the system. Also, learn about some of the additional resources and reports available to enhance and grow your UIT business. CE: 1 CPA/CPESession Repeated: Tuesday 3:10 p.m.

Client Center – Client ReportingDallas 1-2Get an in-depth, hands-on review of Client Center and Client Reporting. Learn some of the tips and tricks for navigating Client Center and gain insight into future enhancements.Session Repeated: Monday 10:10 a.m. | Monday 2:50 p.m. | Tuesday 11:20 a.m. | Wednesday 10:20 a.m. | Wednesday 2:10 p.m.

CRM – Getting StartedDallas 3-4This course will provide you with the foundational knowledge needed to begin using CRM. You will discover the benefits of the integration between CRM and the back office, as well as Client Center. During this session you will also learn how to create and manage contact and household records; including basic navigation and best practices for entering data. CE: 1 CPA/CPESession Repeated: Monday 10:10 a.m. | Tuesday 11:20 a.m. | Wednesday 11:30 a.m.

11:20 a.m. – 12:20 p.m. BRAnCH PRoFESSIonAL SESSIon

Social Security Direct Deposits - Where Do I Start?Jared O’Neal, CFP®, Manager, Cash Management Solutions, Raymond James Financial, Inc.Yellow Rose BallroomSocial Security is the primary income source for your retired clients. Learn how you can solidify your relationship with your clients by establishing direct deposits of their social security benefits. Additionally, Jared will provide an update on industry trends in regards to client bill pay and mobile transactions. Jared will also provide an update as to upcoming enhancements to our Raymond James cash management enhancements. CE: 1 CFP®/PACE, 1 CPA/CPE

12:30 – 1:30 p.m. Lunch | Longhorn D-F

12:30 – 1:30 p.m. Prayer Lunch (optional) | Longhorn C

1:40 – 2:40 p.m. ToP ADvISoR SESSIonS

Evolve or Become ExtinctCarl Mahler, CFP®, Branch Manager, Midlothian, VA, Raymond James Financial Services, Inc.Grapevine B/4-6Carl will share the history, progress and future of his practice including the development of his business succession plan. He will also discuss establishing a multigenerational client pipeline through nurturing relationships with existing clients’ family members.

Get Engaged! your Community needs you More Than EverLouis Ricciardi, Branch Manager, Taunton, MA, Raymond James Financial Services, Inc.Grapevine A/1-3Are you truly engaged with the communities in which you live and work? How does anyone know about your expertise today? When they do know your expertise, why would they want to do business with you? Can you answer those questions? Consider active, engaged community service as an integral part of your practice growth strategy.

Investing In your Staff to Take your Practice to the next Level. Build A Great Business Through your PeopleTim Wyman, CFP®, JD, Branch Manager, Southfield, MI, Raymond James Financial Services, Inc.Grapevine DWhether you are a two-person team or an organization with 20 people; good staff is a requirement to get to the next level. Learn how treating team members like your best clients is the key to long term success. Tim will share the processes used in the Center for Financial Planning for professional development plans, benefit packages, employee reviews, incentive compensation, and building firm culture.

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1:40 – 2:40 p.m. TECHnoLoGy SESSIonS Goal Planning & Monitoring: Getting Started with a Test DriveTexas Ballroom 6The key to success with Goal Planning & Monitoring is just getting started. Attend this hands-on session to test drive the tool and learn valuable tips for how it can help accelerate the growth of your practice. You’ll be amazed at how quickly you can start using it with clients. CE: 1 CPA/CPESession Repeated: Monday 10:10 a.m. | Tuesday 10:10 a.m. | Tuesday 2:00 p.m. | Wednesday 10:20 a.m.

Portfolio Management Center – nEW Custom Proposals and Product Research FeaturesTexas Ballroom 5New features in Portfolio Management Center are now available for advisors to create customized proposals using their own asset allocation models and an extensive database of over 27,000 products including mutual funds, individual stocks, closed end funds, ETFs, SMAs, Freedom portfolios, and UMAs. In this session you will create a proposal with a custom allocation and learn shortcuts to create a scalable portfolio management process that complements your planning process in GPM.Session Repeated: Monday 10:10 a.m. | Tuesday 10:10 a.m. | Tuesday 11:20 a.m. | Wednesday 2:10 p.m.

Client Center – Advanced SearchDallas 1-2In this interactive session, we’ll provide hands-on training on creating and saving searches, then open the floor for discussion on additional search features and attributes you’d like to see added.Session Repeated: Tuesday 2:00 p.m. | Wednesday 11:30 a.m.

Maximize your Quote System needs with Market QDallas 3-4Focus on the more advanced features of Market Q to get the most out of your quote system.


Mutual Conducive: Keys to Buying or Selling a Financial PracticeScott Brown, WMS, AIF, Branch Manager, Orlando, FL, Raymond James Financial Services, Inc.Grapevine CIn this session, Scott will share the lessons he has learned while purchasing several financial practices and successfully transitioning clients into his practice. Learn how to determine a good fit, a reasonable value, and where there will or won’t be synergies.

Back to the FutureCarl Stuart, CFP®, Branch Manager, Austin, TX, Raymond James Financial Services, Inc.Fort Worth 5-7Carl will go back in time to describe how he has built a high margin, low touch practice through client relationship and investment management processes.

ToP ADvISoR SESSIon | FID

Exponential Growth: Break Through your Production CeilingTodd Dathe, Branch Manager, VP, First Bank and Trust, FID, Raymond James Financial Services, Inc. | Michael Lipkins, Financial Advisor, Addison Avenue Investment Services, FID, Raymond James Financial Services, Inc. | James Hare, Financial Advisor, SVP, Pinnacle Asset Management, FID, Raymond James Financial Services, Inc.Austin 1-3Hear from a panel of top advisors who share a common thread: exponential growth. Join them as they share their three unique stories on how they doubled revenue and/or assets over the last few years by working with their internal bank partners and capitalizing on their community relationships.

TECHnoLoGy SESSIonS Goal Planning & Monitoring: Presenting Results InteractivelyFort Worth 1-2Creating an interactive and engaging experience is the best way to get your clients to take action, and Goal Planning & Monitoring empowers you to do just that. Hear best practices from your peers and Raymond James experts on how best to use the tool and interactive resources to present results in front of clients. CE: 1 CPA/CPESession Repeated: Tuesday 2:00 p.m. | Wednesday 11:30 a.m.

FID SESSIonS BRAnCH PRoFESSIonAL SESSIonS


Monday, aPRIL 22

25

1:40 – 2:40 p.m. BRAnCH PRoFESSIonAL SESSIon

one Size Does not Fit All: What is your Unique Productivity Style?Carson Tate, MS O.D., Founder and Principle, Working SimplyYellow Rose BallroomOne size does not fit all when it comes to productivity. As neuroscience continues to study the diversity in our cognitive thinking preferences, experts agree that productivity increases as individuals adopt strategies that support their natural left-brain or right-brain tendencies. So, what is your unique productivity style? Take our Productivity Style assessment, identify your unique productivity style and learn strategies that are tailored to support the ways in which you naturally engage in your everyday workflow. Stop adopting everyone else’s productivity best practices and start implementing strategies customized for you!Session Repeated: Monday 10:10 a.m.


How to Build, Maintain & Expand a Multimillion Dollar PracticeRandy Carver, CRPC®, Branch Manager, Mentor, OH, Raymond James Financial Services, Inc.Grapevine B/4-6This session will present exactly what the Carver Team has done to build a $5.5 million practice and why clients choose to work with them. Randy will discuss mistakes to avoid, current policies and procedures and what their plans are for the future.

If I Had It To Do over Again – our Best Ideas of Building a Business from $500k to $2mm or MoreVan Pearcy, MBA, RFC, Branch Manager, Midland, TX, Raymond James Financial Services, Inc.Grapevine A/1-3Van will describe three areas of focus that supported his business’s growth from $500k to present levels of revenue and how you can use this information to your benefit today.

Four Initiatives to Maintain and Grow your Practice Mark J. Smith, CFP®, CPA/PFS, CIMA®, Branch Manager, Greenwood Village, CO, Raymond James Financial Services, Inc.Grapevine DMark will discuss how you and your team can be more productive with his client segmentation plan and implementing a model portfolio strategy. He will also describe how to better serve your clients using enhanced communication strategies, prospect for new Centers of Influence by taking your client relationships to a new level and meet new prospects with a yearlong outreach campaign in your community.


What Does your Client (or Potential Client) Really Want From Their AdvisorGerry Klingman, CFP®, CLU®, ChFC®, CFS®, Branch Manager, New York, NY, Raymond James Financial Services, Inc.Grapevine CAre you providing the “client experience” that high-net-worth clients and prospects are looking for from their financial advisor? Gerry and his team advise on over $1.2 billion for 275 families. In this presentation Gerry discusses the services and approach that his team provides to their high-net-worth client base.

TECHnoLoGy SESSIonS iPad Deeper Dive: The Indispensable iPadFort Worth 1-2If the iPad isn’t an integral tool in your practice, it soon will be. In this session we will cover some essential apps that will improve your productivity, keep you informed and allow you to do more when you are away from your desk. We will focus on using the iPad for prospecting, client engagement, client communications and in client reviews.Session Repeated: Tuesday 3:10 p.m. | Wednesday 2:10 p.m. | Thursday 11:20 a.m.

Goal Planning & Monitoring: Using Advanced TechniquesTexas Ballroom 6Once you master the basics, the next step is to make Goal Planning & Monitoring perform the sophisticated scenarios and illustrate more advanced planning techniques, such as the What If Worksheet, Estate Planning modules and Social Security Maximizer. This session will help you take advantage of the tool’s power to grow your business. CE: 1 CPA/CPESession Repeated: Monday 11:20 a.m. | Tuesday 11:20 a.m. | Tuesday 3:10 p.m. | Wednesday 11:30 a.m. | Wednesday 2:10 p.m.

Advanced BondDesk TechniquesTexas Ballroom 5Beyond Bond Basics, Advanced BondDesk Techniques will show you how to capture income for clients, identify outliers, create what if scenarios to address interest rate changes, evaluate swap opportunities and more. Learn how to use the latest BondDesk enhancements to streamline and grow the fixed income component of your practice.CE: 1 CPA/CPESession Repeated: Tuesday 2:00 p.m. | Wednesday 11:30 a.m.

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4:00 – 5:00 p.m. REGIonAL BREAKoUTS ICD Midwest Regional BreakoutGrapevine A/1-3ICD attendees from IA, IL, IN, MI, MN, MO & WI will meet with Regional Director David Sisemore and his team.

ICD northeast Regional BreakoutGrapevine DICD attendees from CT, DE, MA, MD, ME, NH, NJ, NY, PA, RI & VT will meet with Regional Director Tom Harrington and his team.

ICD Mid-Atlantic Regional BreakoutGrapevine CICD attendees from KY, NC, OH, SC, TN, VA & WV will meet with Regional Director Scott Whitley and his team.

ICD Southeast Regional BreakoutFort Worth 5-7ICD attendees from AL, FL, GA & MS will meet with Regional Director Jodi Perry and her team.

ICD Central Regional BreakoutGrapevine B/4-6ICD attendees from AR, CO, LA, MT, ND, NE, NM, SD, TX & WY will meet with David Patchen and his team.

REGIonAL BREAKoUTS | FID

FID BreakoutAustin 1-3Attendees from the Financial Institutions Division will meet with Managing Director John Houston and the regional teams.

7 – 9 p.m.opening night Event | Paradise SpringsThrow on your favorite cowboy attire and join us for an evening of entertainment, food and fun!

Shuttles will begin at 6:45 from the tour lobby, located to the right of the main entrance at the front of the hotel.

2:50 – 3:50 p.m. TECHnoLoGy SESSIonS Client Center – Client ReportingDallas 1-2Get an in-depth, hands-on review of Client Center and Client Reporting. Learn some of the tips and tricks for navigating Client Center and gain insight into future enhancements.Session Repeated: Monday 10:10 a.m. | Monday 11:20 a.m. | Tuesday 11:20 a.m. | Wednesday 10:20 a.m. | Wednesday 2:10 p.m.

CRM – notes & ActivitiesDallas 3-4This session will describe in detail how you can use CRM to document client interactions and organize your day. Learn about the new Team Ownership and how you can utilize it to effectively create and manage activities within CRM. CE: 1 CPA/CPESession Repeated: Tuesday 2:00 p.m. | Tuesday 3:10 p.m. | Wednesday 2:10 p.m.

BRAnCH PRoFESSIonAL SESSIon

By Invitation only (BIo) Program: The Best Kept Secret you need To Know About and Share with your TeamPat Daxon, CFP®, CFA, VP, Wealth, Retirement and Portfolio Solutions, Raymond James Financial, Inc. | Kristie Kindstrom, VP, Wealth, Retirement and Portfolio Solutions, Raymond James Financial, Inc.Yellow Rose BallroomLearn how the By Invitation Only (BIO) program can be leveraged to support the wealth management needs of your most valuable clients by providing a one-of-a-kind experience.

4:00 – 5:00 p.m. REGIonAL BREAKoUTS Join your ICD regional management team and fellow advisors for a region-specific meet and greet. During this time, your regional team will introduce you to associates and resources available to help support your practice and provide you with an update on educational opportunities. Don’t miss this opportunity to mingle with your fellow advisors and get the latest news from within your region.

ICD West Regional BreakoutDallas 5-7ICD attendees from AK, AZ, CA, HI, ID, NV, OR, UT & WA will meet with Regional Director Bill Counsman and his team.


TECHnoLoGy SESSIonSBREAKoUT SESSIonS

Monday, aPRIL 22

27

NOTES

28

Events + Sessions

Cowboy wisdom:Timing has a loT To do wiTh

The ouTcome of a rain dance.

Conference wisdom:a soundly crafTed succession plan can help you plan your

successful exiT well in advance.

29

12:30 – 1:50 Lunch & Resource Center | Longhorn D-F

9:30–10:00 General Session | Chet Helck Remarks | Texas Ballroom AB

8:15 – 9:30 General Session | Interview with President George W. Bush by Tom James | Texas Ballroom AB

7:15 – 8:00 Main Breakfast | Longhorn D-F | Branch Professional Technology Showcase Breakfast | Texas Ballroom CD


onboarding new clientsDallas 3-4

effective branch examinationsYellow Rose Ballroom

todd sanford/brent KerstetterGrapevine C

Making It to $1 Million Austin 1-3


rex WhitesideGrapevine A/1-3

Mitch KauffmanGrapevine D

Jack KennedyGrapevine B/4-6



client center –client DetailsDallas 1-2


steven ZangmeisterGrapevine C

building Your brandAustin 1-3

Who is stealing your Identity?Fort Worth 1-2

Peter roth/Kevin rothGrapevine A/1-3

charlene carter/Jenny hectorGrapevine D

robert Kreitler/charlie KreitlerGrapevine B/4-6




best Practices PanelYellow Rose Ballroom





Wealth Management trackFort Worth 5-7

smart Investments that Pay offDallas 5-7

global InvestingGrapevine D

unique abilityGrapevine C

Planning strategies/unwed couplesGrapevine B/4-6

uIt order entryDallas 1-2


Portfolio Management center Texas Ballroom 5

Identify. react. resolve.Yellow Rose Ballroom



saddle up for supervision San Antonio 1-3

supervisory WorkstationDallas 5-7

anatomy of a breachAustin 4-6

Power of successful advertisingGrapevine C

branch Manager/risk ManagementFort Worth 5-7

retirement Plan trendsGrapevine B/4-6

required variable annuity trainingGrapevine A/1-3

a compliant Investment ProgramGrapevine D

FID supervision all starsAustin 1-3

5:30 – 6:30 Resource Center Reception | Longhorn D - F

9:30 – 11:00 Hospitality Lounge | Yellow Rose Ballroom | See page 36 for details


Wealth Management track Fort Worth 5-7

5 essential strategiesDallas 5-7


today’s Fixed Income MarketsGrapevine D

hidden in Plain sight Grapevine C

Know Your numbers/strategiesGrapevine B/4-6



client center –advanced searchDallas 1-2


Deliberate creativityYellow Rose Ballroom

equity research Panel Grapevine A/1-3

2-hoursessIon

GEnERAL SESSIonS

FID SESSIonS



TECHnoLoGy SESSIonS




BREAKoUT SESSIonS

30

10:10 – 11:10 a.m. ToP ADvISoR SESSIonS

you Know What To Do, But Are you Getting Things Done And Getting Results?Rex Whiteside, Branch Manager, Houston, TX, Raymond James Financial Services, Inc.Grapevine A/1-3Each year we hear a lot of great ideas but on balance have difficulty executing. Rex will show you how he has overcome this, explain his process step by step and share with you resources he has developed that you can put to use NOW.

Twice the Assets, Twice the Revenue – All in Five years and From Internal Growth!Mitch Kauffman, Branch Manager, Pasadena, CA, Raymond James Financial Services, Inc.Grapevine DIn 2008, Mitch committed to take his business to the next level. Since then he has grown to $155 million in assets under management and $1.45 million in revenue. Come hear his top five techniques for enhancing client engagement and building an automated referral machine. Learn how he became process-driven which, combined with innovative branding efforts, effectively differentiated their practice from the competition. Discussion will include their client segmentation program, staff team building and deliverables which continue to “wow” clients so they refer friends and family alike.

A Different Approach to Client Segmentation; What We Learned and How it Changed our BusinessTodd Sanford, CFP®, Branch Manager, Portage, MI, Raymond James Financial Services, Inc. | Brent Kerstetter, Financial Advisor, Portage, MI, Raymond James Financial Services, Inc.Grapevine CLearn how Todd and Brent leveraged the tools on your desktop and the profitability spreadsheet from the Practice Intelligence Workshop (PIW) to identify client demo-graphics, create systems to enhance the client experience and increase capacity.

ToP ADvISoR SESSIon | FID

Making It to $1 MillionSteven F. Kennedy, Financial Advisor, VP Towne Investment Group, FID, Raymond James Financial Services, Inc. | Greg Malin, Financial Advisor, VP, Fulton Financial Advisors, FID, Raymond James Financial Services, Inc. | Patrick Varney, Financial Advisor, Bank of Colorado, FID, Raymond James Financial Services, Inc.Austin 1-3It has often been said that success in the investment business is a marathon, not a sprint. With combined business experience of over 55 years, hear from a panel of highly successful FID advisors who prepared for the long haul and knew what it would take to get there. They will share their best practices, hurdles they’ve overcome and, more importantly, what they have done to stay on top in their profession.

8:15 – 9:30 a.m. Interview with President George W. Bush by Tom JamesPresident George W. Bush, Former President & Humanitarian | Tom James, Executive Chairman, Raymond James Financial, Inc.Texas Ballroom ABPresident George W. Bush will answer candid and thoughtful questions asked by Raymond James Financial Executive Chairman Tom James. Doors close at 8:15 a.M. You Must have Your naMe baDge to enter.

9:30 – 10:00 a.m. Chet Helck RemarksChet Helck, CEO, Global Private Client Group, Raymond James Financial, Inc.Texas Ballroom ABJoin Chet Helck for his perspective on the Private Client Group.

10:10 – 11:10 a.m. ToP ADvISoR SESSIonS

Acceleration through SegmentationJack Kennedy, CFP®, Branch Manager, West Deptford, NJ, Raymond James Financial Services, Inc.Grapevine B/4-6How do you increase production 28% in less than two quarters? Segmentation injected immediate adrenaline into Jack’s team while enhancing client relations and outcomes. Jack will describe the systems and processes used to renovate his brand and revitalize his practice.


7:15 – 8 a.m.Main Breakfast | Longhorn D-F

7:15 – 8 a.m. Branch Professional Technology Showcase Breakfast | Texas Ballroom CDThis breakfast provides branch professionals attending the conference exclusive access to the technology center to learn about and explore the highlighted systems and tools.

8 a.m. – 5 p.m. Internet Café & Technology Center | Texas Ballroom CD


TECHnoLoGy SESSIonSToP ADvISoR SESSIonSGEnERAL SESSIonS

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10:10 – 11:10 a.m. TECHnoLoGy SESSIonS iPad Intro: Integrating the iPad into your PracticeFort Worth 1-2If you are considering purchasing an iPad or have recently added one to your practice, this session will ensure you are well prepared to make the best buying decision and are ready to take full advantage of all the iPad has to offer. We will cover the current and forecasted iPad lineup, basic device configuration and interaction, access to Raymond James systems and resources, tips and tricks as well as some key apps and iPad accessories.Session Repeated: Monday 10:10 a.m. | Wednesday 10:20 a.m. | Thursday 10:10 a.m.

Goal Planning & Monitoring: Getting Started with a Test DriveTexas Ballroom 6The key to success with Goal Planning & Monitoring is just getting started. Attend this hands-on session to test drive the tool and learn valuable tips for how it can help accelerate the growth of your practice. You’ll be amazed at how quickly you can start using it with clients. CE: 1 CPA/CPESession Repeated: Monday 10:10 a.m. | Monday 1:40 p.m. | Tuesday 2:00 p.m. | Wednesday 10:20 a.m.

Portfolio Management Center – nEW Custom Proposals and Product Research FeaturesTexas Ballroom 5New features in Portfolio Management Center are now available for advisors to create customized proposals using their own asset allocation models and an extensive database of over 27,000 products including mutual funds, individual stocks, closed end funds, ETFs, SMAs, Freedom portfolios, and UMAs. In this session you will create a proposal with a custom allocation and learn shortcuts to create a scalable portfolio management process that complements your planning process in GPM.Session Repeated: Monday 10:10 a.m. | Monday 1:40 p.m. | Tuesday 11:20 a.m. | Wednesday 2:10 p.m.

Client Center – Client DetailsDallas 1-2Learn how Client Editor, CRM and Relationship Management Center all work together to display client information in Client Center.

onboarding new ClientsDallas 3-4You never get a second chance to make a first impression, especially with new clients. Come learn practical tips to streamline the client onboarding processes in your practice.Session Repeated: Wednesday 10:20 a.m.

10:10 – 11:10 a.m. BRAnCH PRoFESSIonAL SESSIon

Partnering for Success – Effective Branch ExaminationsAutumn Bonsall, Regional Compliance Officer, Raymond James Financial Services, Inc. | Gerri Kavouklis Price, Regional Compliance Supervisor, Raymond James Financial Services, Inc.Yellow Rose BallroomJoin your Compliance team as they discuss the most common deficiencies noted during your annual branch examination. Learn best practices to avoid these deficiencies and learn effective ways to mitigate risk and enhance branch procedures. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPESession Repeated: Wednesday 8:00 a.m.

11:20 a.m. – 12:20 p.m. ToP ADvISoR SESSIonS

Growing Up Without Growing Big: How one Firm Stayed Small While Tripling Revenue and Quadrupling owner Payout over the last 10 yearsRobert Kreitler, CFP®, Branch Manager, New Haven, CT, Raymond James Financial Services, Inc. | Charlie Kreitler, CFP®, Financial Advisor, New Haven, CT, Raymond James Financial Services, Inc.Grapevine B/4-6Long-time chairman’s council member Bob and son Charlie will discuss what changes they made to position Kreitler Financial for future growth while retaining its boutique nature. This session will show their emphasis of having a focus on their “ideal” clients and how they use tools that enable them to manage most client investments, including company retirement plans held outside of Raymond James. Their highly personalized strategic plan with clients enables them to capture nearly 100% of client “wallet share.” Kreitler Financial works with 100 clients and manages $240 million in client assets.

Systematizing the Delivery of Wealth ManagementPeter Roth, CFP®, CIMA®, Branch Manager, Kingwood, TX, Raymond James Financial Services, Inc. | Kevin Roth, Business Development Manager, Kingwood, TX, Raymond James Financial Services, Inc.Grapevine A/1-3Learn how this dynamic team added $69 million in fee based AUM in 24 months by working ON the business: developing succession for the business and clients, systemizing investment management, and building a scalable wealth management process.

Legacy Business: After 33 years with Raymond James How We are Getting Smaller and More ProfitableCharlene Carter, CFP®, Branch Manager, Eugene, OR, Raymond James Financial Services, Inc. | Jenny Hector, CFP®, Financial Advisor, Eugene, OR, Raymond James Financial Services, Inc.Grapevine DJoin Charlene and Jenny to discuss business changes over the years and how they have come to our new formula. Over the last two years they have increased profit by 25% and reduced the number of relationships by 30%. They will discuss the tools they are using to include client screening process, CEG, Strategic Coach and their marketing efforts.

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11:20 a.m. – 12:20 p.m. TECHnoLoGy SESSIonS Portfolio Management Center – nEW Custom Proposals and Product Research Features Texas Ballroom 5New features in Portfolio Management Center allow you to create customized proposals using your own asset allocation models and an extensive database of over 27,000 products including mutual funds, individual stocks, closed end funds, ETFs, SMAs, Freedom portfolios, and UMAs. In this session you will create a proposal with a custom allocation and learn shortcuts to create a scalable portfolio management process that complements your planning process in GPM. Session Repeated: Monday 10:10 a.m. | Monday 1:40 p.m. | Tuesday 10:10 a.m. | Wednesday 2:10 p.m.

Client Center – Client ReportingDallas 1-2Get an in-depth, hands-on review of Client Center and Client Reporting. Learn some of the tips and tricks for navigating Client Center and gain insight into future enhancements.Session Repeated: Monday 10:10 a.m. | Monday 11:20 a.m. | Monday 2:50 p.m. | Wednesday 10:20 a.m. | Wednesday 2:10 p.m.

CRM – Getting StartedDallas 3-4This course will provide you with the foundational knowledge needed to begin using CRM. You will discover the benefits of the integration between CRM and the back office, as well as Client Center. During this session you will also learn how to create and manage contact and household records; including basic navigation and best practices for entering data. CE: 1 CPA/CPESession Repeated: Monday 10:10 a.m. | Monday 11:20 a.m. | Wednesday 11:30 a.m.


Branch Professional Best Practices PanelHeather Wolfe, Program Manager, Raymond James Financial Services, Inc.Yellow Rose BallroomHave you ever wondered if you are working as efficiently as possible? Join moderator Heather Wolfe to interact with a select group of branch professionals about how they successfully execute day-to-day tasks and build client relationships.

12:30 – 1:50 p.m.Lunch & Resource Center | Longhorn D-FEnjoy a buffet lunch and full Resource Center featuring our Education & Marketing Partners, Educational Exhibitors and home office departments as your schedule permits.

11:20 a.m. – 12:20 p.m. ToP ADvISoR SESSIonS

Running a High-Margin, Mid-Market, Plain-vanilla Planning PracticeSteven Zangmeister, ChFC®, CLU®, Financial Advisor, Medina, OH, Raymond James Financial Services, Inc.Grapevine CSteve will discuss how he built and runs a mid-market ($250-$500k) practice, including: his office setup, simplistic fact finding and planning process, marketing and referral process, fee schedule, and future plans (all with 12 weeks of vacation per year!).


Building your Brand – Best Practices In Any Market Janet Krug, Investment Manager, VP, Tri Counties Bank, FID, Raymond James Financial Services, Inc. | Daniel Anderson, Branch Manager, SVP, Director of Wealth Management Mainsource Bank, FID, Raymond James Financial Services, Inc. | Kenneth W. Wren, Jr., Branch Manager, President, Towne Investment Group, FID, Raymond James Financial Services, Inc.Austin 1-3Managers overseeing investment programs wear many hats that stretch them beyond their core objective: growth. Three FID program managers will share their top secrets on how they are achieving their ultimate goal of promoting growth among their financial advisors through coaching, best practices recruiting and building relationships throughout their institution.

TECHnoLoGy SESSIonS Who is Stealing your Identity and How? An FBI PresentationFort Worth 1-2Presented by a special agent from the FBI, this session covers the methods used by identity thieves and ways you and your clients can protect yourselves. CE: 1 Firm, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Goal Planning & Monitoring: Using Advanced TechniquesTexas Ballroom 6Once you master the basics, the next step is to make Goal Planning & Monitoring perform the sophisticated scenarios and illustrate more advanced planning techniques, such as the What If Worksheet, Estate Planning modules and Social Security Maximizer. This session will help you take advantage of the tool’s power to grow your business. CE: 1 CPA/CPESession Repeated: Monday 11:20 a.m. | Monday 2:50 p.m. | Tuesday 3:10 p.m. | Wednesday 11:30 a.m. | Wednesday 2:10 p.m

FID SESSIonS




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2:00 – 3:00 p.m. PRoFESSIonAL DEvELoPMEnT | HEALTH & WELLnESS

Know your numbers and Strategies to Improve ThemChris Johnson, Author, Keynote Speaker, Peak Performance Coach, Founder of On Target LivingGrapevine B/4-6Would you like to have greater energy? Better health? Become medication free? Join America’s Peak Performance Coach Chris Johnson, as he outlines specific strategies to help you not only understand your health numbers, but more importantly improve your numbers! This presentation can be life-changing!

PRoFESSIonAL DEvELoPMEnT | PoRTFoLIo MAnAGEMEnT

Address the Complexities of Today’s Fixed Income MarketsGeorge Raffa, CIMA®, SVP, National Sales Manager, Asset Management Services, Raymond James Financial, Inc. | Nicholas Lacy, CFA, VP, Consulting Services, Asset Management Services, Raymond James Financial, Inc.Grapevine DClients need to address risk, keep up with inflation, and create an income stream in a low-yield environment as a result of the complex fixed income marketplace. Address these challenges through professionally managed portfolio solutions positioned to help you provide fixed income diversification to your clients by utilizing asset classes including emerging market debt, international debt, high yield and more. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE


Hidden in Plain Sight: The often Missed Growth opportunityLinda Eaton, SVP, Performance Improvement Specialist, Cannon Financial Institute, Inc.Grapevine CYour book of business contains clients who could potentially inherit money twice in their lifetime and influence 80% of financial decisions. They are the women in your business! Learn to identify the neurological differences between men and women investors to uncover this incredible opportunity. CE: 1 Firm, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®


Is 2013 Really the year for Insurance Planning? Wealth Management TrackJim Swink, ChFC®, CLU®, VP, RJ Insurance Group, Raymond James Financial, Inc. |Renee Larson, Manager, RJ Insurance Group, Raymond James Financial, Inc.Fort Worth 5-7Does life insurance really have an advantage in the current higher income tax, lower interest rate environment? The numbers are compelling. Join the Insurance Group as they share ideas and strategies designed for specific client goals and objectives. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®, Yes Insurance

2:00 – 3:00 p.m. PRoFESSIonAL DEvELoPMEnT

5 Essential Strategies for Acquisition of Affluent Clients and AssetsDavid Mullen, Founding Partner, Altius LearningDallas 5-7Finding new affluent clients and assets is more important than ever, yet many advisors don’t have effective processes for this. Join author and 30-year industry veteran Dave Mullen as he shares proven and easy strategies to get at least one new affluent client and a million dollars in assets a month.

TECHnoLoGy SESSIonS Goal Planning & Monitoring: Presenting Results InteractivelyFort Worth 1-2Creating an interactive and engaging experience is the best way to get your clients to take action, and Goal Planning & Monitoring empowers you to do just that. Hear best practices from your peers and Raymond James experts on how best to use the tool and interactive resources to present results in front of clients. CE: 1 CPA/CPESession Repeated: Monday 1:40 p.m. | Wednesday 11:30 a.m.

Goal Planning & Monitoring: Getting Started with a Test DriveTexas Ballroom 6The key to success with Goal Planning & Monitoring is just getting started. Attend this hands-on session to test drive the tool and learn valuable tips for how it can help accelerate the growth of your practice. You’ll be amazed at how quickly you can start using it with clients. CE: 1 CPA/CPESession Repeated: Monday 10:10 a.m. | Monday 1:40 p.m. | Tuesday 10:10 a.m. | Wednesday 10:20 a.m.

Advanced BondDesk TechniquesTexas Ballroom 5Beyond Bond Basics, Advanced BondDesk Techniques will show you how to capture income for clients, identify outliers, Create What If scenarios to address interest rate changes, evaluate swap opportunities and more. Learn how to use the latest BondDesk enhancements to streamline and grow the fixed income component of your practice. CE: 1 CPA/CPESession Repeated: Monday 2:50 p.m. | Wednesday 11:30 a.m.

Client Center – Advanced SearchDallas 1-2In this interactive session, we’ll provide hands-on training on creating and saving searches, then open the floor for discussion on additional search features and attributes you’d like to see added.Session Repeated: Monday 1:40 p.m. | Wednesday 11:30 a.m.

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3:10 – 4:10 p.m. PRoFESSIonAL DEvELoPMEnT | PoRTFoLIo MAnAGEMEnT

Global Investing: opportunities in Today’s EnvironmentPeter Greenberger, CFP®, CFA, Manager, MF Research, Raymond James Financial, Inc. | Brian R. Hess, Associate Portfolio Manager, Global Fixed Income, Legg Mason/Brandywine Global | Scott Hixon, CFA, Portfolio Manager, Balanced Risk Allocation Fund, Invesco Grapevine DWith record low interest rates in developed countries and a growing middle class in emerging markets there are opportunities to invest around the globe. PMs from Invesco and Legg Mason will discuss how they identify these opportunities in equity, fixed income and commodity asset classes. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®


Unique Ability: your Unfair AdvantageShannon Waller, Director, Strategic Coach®

Grapevine CYour quickest route to success isn’t more industry knowledge or skill but being more of who you are. Entrepreneurial coach Shannon Waller shows you how to identify your Unique Ability® – a mix of talent and passion that gets your best results – and use it to create more simplicity, success and value.


Estate and Charitable Planning Beyond the Cliff: Wealth Management TrackJoe Weaver, President, RJ Trust Company, RJF | Gentry Byrnes, Chief Fiduciary Officer, RJ Trust, Raymond James Financial, Inc.Fort Worth 5-7Come learn more on how to advise clients with taxable and non-taxable estates given the new estate and gift tax law changes within the American Taxpayer Relief Act of 2013. This session is designed to provide you a brief overview of the new estate planning landscape and some actionable ideas and strategies to discuss with your clients. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE


RoI: The Smart Investments That Really Pay offAngie Herbers, Founder/Senior Consultant, Angie Herbers Inc.Dallas 5-7There are only six major investments an advisor can make in their companies that pay off. Through an extensive five-year research study of advisory firms, Angie Herbers has uncovered how to maximize your ROI in your business. Learn how to change your business mindset and implement these six strategies.

2:00 – 3:00 p.m. TECHnoLoGy SESSIonS CRM – notes & ActivitiesDallas 3-4This session will describe in detail how you can use CRM to document client interactions and organize your day. Learn about the new Team Ownership and how you can utilize it to effectively create and manage activities within CRM. CE: 1 CPA/CPESession Repeated: Monday 2:50 p.m. | Tuesday 3:10 p.m. | Wednesday 2:10 p.m.


Deliberate CreativityHeather Wolfe, Program Manager, Raymond James Financial Services, Inc.Yellow Rose BallroomCompetition in the financial services field can be fierce, and standing out in the crowd is a challenge. This session will reveal the barriers that inhibit your creativity and teach you techniques to unleash your ingenuity to solve.

2:00 – 4:10 p.m. PRoFESSIonAL DEvELoPMEnT | InDIvIDUAL InvESTMEnTS

2-HoUR SESSIon: Equity Research Panel With Jeffrey Saut and TeamJeffrey Saut, Chief Investment Strategist, Raymond James Financial, Inc. | Elkan Scheidt, Managing Director, Equity Research, Raymond James Financial, Inc. | Michael Gibbs, Co-Director, Equity Advisory Group, Raymond James Financial, Inc.Grapevine A/1-3Please get ready for a free wheeling tour of the world economies and stock markets. Jeffrey and the panel will provide a timely outlook and field questions from the audience. Elkan Scheidt and Michael Gibbs will join Jeffrey and offer their own perspective on timely investment ideas. CE: 2 Firm, 2 CFP®/PACE, 2 CPA/CPE, 2 CIMA®/CIMC®/CPWA®

3:10 – 4:10 p.m. PRoFESSIonAL DEvELoPMEnT

Planning Strategies for Unwed CouplesJoshua T. Hatfield Charles, CFP®, ChFC®, CLU®, ADPASM, CEP®, CLTC, VP, SPC Financial Grapevine B/4-6There are many challenges and complications with financial planning for the unmarried market segment. Two of the larger demographics include the LGBT community and baby boomers (e.g., those who have lost a spouse but are now interested in cohabitation for companionship without the complexities of marriage). With comprehensive planning, proper coordination and appropriate asset titling, clients can more adequately protect their “families” and work toward better tax efficiency. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®


TECHnoLoGy SESSIonSPRoFESSIonAL DEvELoPMEnT SESSIonS


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3:10 – 4:10 p.m. TECHnoLoGy SESSIonS iPad Deeper Dive: The Indispensable iPadFort Worth 1-2If the iPad isn’t an integral tool in your practice, it soon will be. In this session we will cover some essential apps that will improve your productivity, keep you informed and allow you to do more when you are away from your desk. We will focus on using the iPad for prospecting, client engagement, client communications and in client reviews.Session Repeated: Monday 2:50 p.m. | Wednesday 2:10 p.m. | Thursday 11:20 a.m.

Goal Planning & Monitoring: Using Advanced TechniquesTexas Ballroom 6Once you master the basics, the next step is to make Goal Planning & Monitoring perform the sophisticated scenarios and illustrate more advanced planning techniques, such as the What If Worksheet, Estate Planning modules and Social Security Maximizer. This session will help you take advantage of the tool’s power to grow your business. CE: 1 CPA/CPESession Repeated: Monday 11:20 a.m. | Monday 2:50 p.m. | Tuesday 11:20 a.m. | Wednesday 11:30 a.m. | Wednesday 2:10 p.m.

Discretionary Trading through Portfolio Management CenterTexas Ballroom 5Learn how Portfolio Management Center model creation and trading functionality can make your discretionary practice more efficient. CE: 1 CPA/CPESession Repeated: Wednesday 10:20 a.m.

UIT order EntryDallas 1-2How to use the UIT order entry system and available resources to optimize your experience with UITs. Topics include how to enter roll instructions, swap tickets, and manage client positions over the system. Also, learn about some of the additional resources and reports available to enhance and grow your UIT business. CE: 1 CPA/CPESession Repeated: Monday 11:20 a.m.

CRM - notes & ActivitiesDallas 3-4This session will describe in detail how you can use CRM to document client interactions and organize your day. Learn about the new Team Ownership and how you can utilize it to effectively create and manage activities within CRM. CE: 1 CPA/CPESession Repeated: Monday 2:50 p.m. | Tuesday 2:00 p.m. | Wednesday 2:10 p.m.


Identify. React. Resolve.Nathan Ellerbee, Manager, Branch & Concierge Services, Raymond James Financial Services, Inc. | Molly Miller, Service Advisor, Branch Services, Raymond James Financial Services, Inc.Yellow Rose BallroomJoin Nathan and Molly to discuss best practices and proper preventative measures to avoid fraudulent and monetary errors commonly seen in the financial industry. By working together we can help set your practice and Raymond James apart from the rest! CE: 1 Firm

4:20 – 5:20 p.m. CoMPLIAnCE SESSIonS

Retirement Plan Marketplace TrendsScott Waterbury, RIA Compliance Officer, RJFSA | Bo Bohanan, Director, Retirement Plan Consulting, Raymond James Financial, Inc.Grapevine B/4-6This presentation will seek to assist you in understanding how changing trends in the 401(k) marketplace may affect your practice and how developing an understanding of current issues will better position your practice to address plan sponsor and participant needs. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Embracing the Power of Successful AdvertisingPatrick Cuillo, Compliance Officer, Raymond James Financial Services, Inc. | William Brill, Compliance Supervisor, Raymond James Financial Services, Inc. Grapevine CTweet! Poke! #Hashtag! and Like Us! as we discuss the latest regulatory developments in advertising, including social media, seminars and more! We will share successful branch advertising strategies for you to consider as you market to your existing and future clients. CE: 1 Firm, 1 CPA/CPESession Repeated: Wednesday 8:00 a.m.

new Branch Manager’s Guide to Effective Risk ManagementKatharine Michaels, Regional Compliance Officer, Raymond James Financial Services, Inc. | Saad Rahmouni, Regional Compliance Supervisor, Raymond James Financial Services, Inc. Fort Worth 5-7This session will outline procedures that new branch managers and operations managers can employ to assist them with managing risk in an effective and efficient manner. Throughout the session, we will highlight lessons learned from recent case studies and examination findings. This session is most appropriate for those branch managers and operations managers who have been in a supervisory role for three years or less. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE

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4:20 – 5:20 p.m. CoMPLIAnCE & SUPERvISIon SESSIonS | FID

Blueprints for a Compliant Investment ProgramRob Blenis, Regional Compliance Officer, Raymond James Financial Services, Inc. |Sherry Cochran, Regional Compliance Supervisor, Raymond James Financial Services, Inc.Grapevine DPlease join your Compliance FID team as they discuss regulatory and risk management issues affecting your bank or credit union investment program. We will discuss topics affecting programs today including custody of funds, suitability, documentation, and internal and regulatory examinations and provide best practices in these areas and more. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPESession Repeated: Wednesday 3:20 p.m.

FID Supervision All StarsSarah Parker, Registered Principal & Compliance Manager, Towne Investment Group, TowneBank, FID, Raymond James Financial Services, Inc. | Melissa Moser, Branch Manager, Bremer Bank, FID, Raymond James Financial Services, Inc.Austin 1-3As branch managers and appointed principals, changes in regulation or policy can sometimes throw a major curve ball into your day-to-day supervisory routine. Informing others in the investment program and instituting those changes presents an additional set of challenges. Learn how two of FID’s top “All Star” compliance managers score a supervision home run overseeing their investment programs while keeping up with the daily demands of branch management, regulatory compliance and audits. CE: 1 FirmSession Repeated: Wednesday 8:00 a.m.

4:20 – 5:20 p.m. vARIABLE AnnUITy SESSIon

Required variable Annuity TrainingScott Stolz, CFP®, SVP, PCG Investment Products, Raymond James Financial, Inc. | Vanessa Marcos, VP, Variable Annuities, Raymond James Financial, Inc.Grapevine A/1-3“Why don’t the Variable Annuity companies seem to want my client’s money?” Get your required annual VA training and get updated on the latest product and company trends in this ever-changing product area. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, Yes InsuranceSession Repeated: Wednesday 8:00 a.m. | Wednesday 3:20 p.m.

5:30 – 6:30 p.m.Resource Center Reception | Longhorn D - F

9:30 – 11 p.m.Hospitality Lounge | Yellow Rose BallroomJoin us for live music featuring The Jonny Mogambo Band, dancing and cocktails.


Supervisory Workstation: Building on the Past to Protect your FutureMiriam Weber, Compliance Surveillance Officer, Raymond James Financial Services, Inc. | Jesse Burchill, Compliance Supervisor, Raymond James Financial Services, Inc.Dallas 5-7Supervisory Workstation has historically been the firm’s trade approval system. We have expanded the functionality to provide account-based alerts to streamline compliance functions. Learn about the recent upgrade and the transition of account-based reviews onto Supervisory Workstation. Several system enhancements provide added features that can aid you in more efficiently managing the risks inherent in your practice. CE: 1 Firm, 1 CPA/CPE

Anatomy of a Breach: What you and your Clients May ExpectHeather Knable, VP, Operational Risk & Privacy and CPO, Raymond James Financial, Inc. | Denise Watson, Manager, Privacy, Raymond James Financial, Inc. | John Bowman, Dispute Resolution & Regulatory Affairs Officer, Raymond James Financial Services, Inc.Austin 4-6The unthinkable has happened and your clients’ sensitive information has been breached. What can you and your clients expect from the home office? Who will help you understand the ramifications, including any legal requirements? Learn how Raymond James will assist you and your clients in protecting their information. CE: 1 Firm, 1 CPA/CPE

SUPERvISIon SESSIon

Saddle Up for SupervisionCourtney Haddad, VP, Director of Branch Supervision, Raymond James Financial Services, Inc. | Terrance Bostic, Esq., VP, Associate Corporate Counsel, Raymond James Financial, Inc. | Melissa Kelly, Regional Supervision Officer, Raymond James Financial Services, Inc. | Melinda Isman, Regional Supervision Officer, Raymond James Financial Services, Inc.San Antonio 1-3In an ever-changing and increasingly complex and regulated environment, analyzing and managing risk is essential. Please join us for an interactive session focused on providing you useful tips when hiring advisors and staff, contemplating outside business activities, identifying private securities transactions, and several strategies to help prevent disputes that might lead to arbitration. CE: 1 Firm, 1 CPA/CPESession Repeated: Wednesday 8:00 a.m. | Wednesday 3:20 p.m


FID SESSIonS

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NOTES

38

Events + Sessions

Cowboy wisdom:Just because you are traveling

a well-marked trail doesn’t mean whoever made it knew

where they were going.

Conference wisdom:Past Performance is not

indicative of future results.

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12:30 – 2:00 Lunch & Resource Center | Longhorn D-F


onboarding new clientsDallas 3-4

communicate Yellow Rose Ballroom


Ivy FundsAustin 4-6

InvescoFort Worth 5-7

russell InvestmentsDallas 5-7

J.P. Morgan asset ManagementAustin 1-3

lorD abbettGrapevine A/1-3

Pacific life Insurance co.Grapevine D

Franklin templetonGrapevine B/4-6

oppenheimerFunds, Inc.Grapevine C

Jackson national life Distributors, llcSan Antonio 1-3

Prudential Investments San Antonio 4-6




2-hoursessIon

9:10 – 10:10 General Session | Market outlook | Jeffrey Saut | Texas Ballroom AB

Financially advising couplesYellow Rose Ballroom




alliancebernstein Austin 4-6

Wells Fargo advantage Funds Fort Worth 5-7

Delaware InvestmentsDallas 5-7

legg MasonAustin 1-3

nuveen InvestmentsGrapevine A/1-3

John hancock FundsGrapevine D

Putnam InvestmentsGrapevine B/4-6

natixis global asset Management Grapevine C

goldman sachs asset ManagementSan Antonio 1-3

ohio national Financial services San Antonio 4-6





everyday suitabilitySan Antonio 4-6

Issues affecting senior clients Fort Worth 5-7

recent regulatory case studies Dallas 5-7

effective branch examinations Grapevine D

rJFs compliance town hallGrapevine C

Power of successful advertisingGrapevine B/4-6


saddle up for supervision San Antonio 1-3

FID supervision all starsAustin 1-3

arbitration tales: real storiesGrapevine C

everyday suitabilitySan Antonio 4-6

advisory consulting services Grapevine D

regulatory roundup Grapevine B/4-6


saddle up for supervision Dallas 5-7

a compliant Investment ProgramFort Worth 5-7

3:20 – 4:20Session details on page 47

GEnERAL SESSIonS

FID SESSIonS



TECHnoLoGy SESSIonS




BREAKoUT SESSIonS

8:00 – 9:00 Main Breakfast & Partner Exhibits | Longhorn D-F | Compliance Breakfasts | Meeting Room Foyers


7:00 – 8:00 Exercise Session | Chris Johnson | Texas Ballroom Prefunction

client center – advanced search Dallas 1-211:30 – 12:30

Session details on pages 43-45

lincoln Financial DistributorsAustin 4-6

Federated InvestorsFort Worth 5-7

Deutsche asset & Wealth ManagementDallas 5-7

aIg-sunamerica variable annuitiesAustin 1-3

thornburg Investment ManagementGrapevine A/1-3

columbia ManagementGrapevine D

hartford FundsGrapevine B/4-6

eaton vance Grapevine C

calamos InvestmentsSan Antonio 1-3

new York life-Mainstay Investments San Antonio 4-6




crM - getting startedDallas 3-4

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8:00 – 9:00 a.m. CoMPLIAnCE SESSIonS

3rd Annual RJFS Compliance Town Hall MeetingJason Thackeray, Chief Compliance Officer, RJFSA, Raymond James Financial Services, Inc.Grapevine CPlease join us once again for this open forum discussion on all things compliance. Senior members of the RJFS Compliance staff will be on hand to field questions on policies, procedures, exam priorities, regulatory and legislative issues, and anything else you’d like to discuss. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE

Wrangling with Issues Affecting Senior Clients – A Compliance and Legal PerspectiveJohn Bowman, Dispute Resolution & Regulatory Affairs Officer, Raymond James Financial Services, Inc.Fort Worth 5-7Over the next 20 years experts estimate that nearly 10,000 people per day in the United States will be reaching retirement age. A panel of Compliance, Legal and financial advisors will discuss the basic legal documents every client should have, how to deal with clients with mental or physical impairments, and the steps you can take if you suspect your client is a victim of elder abuse. You will also hear recent case studies involving senior clients and receive practical advice you can use to help protect you and your senior clients. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

The Good, The Bad and The Ugly – Recent Regulatory Case StudiesNicole Caringal, Regional Compliance Officer, Raymond James Financial Services, Inc. | Saad Rahmouni, Regional Compliance Supervisor, Raymond James Financial Services, Inc.Dallas 5-7This session will highlight the importance of adhering to firm and regulatory policies and procedures. Through the use of various case studies we will demonstrate to you the impact sound adherence to policies and procedures, or lack thereof, could have on one’s practice. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE

Everyday SuitabilityAlyssa Meyer, VP, Associate Compliance Director, Raymond James Financial Services, Inc. | Erin Eckhouse, Education Manager, Raymond James Financial Services, Inc.San Antonio 4 - 6What habits can you adopt today to protect your practice tomorrow? Explore how to identify and practically respond to everyday situations that may be subject to FINRA’s new Know Your Client/Suitability Rules. Learn to improve the quality of your notes and how the adoption of such practices can better assist you in demonstrating how you meet the Fiduciary Standard. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Session Repeated: Wednesday 3:20 p.m.

7:00 – 8:00 a.m. ExERCISE SESSIon Chris Johnson, CEO, Founder, On Target LivingTexas Ballroom PrefunctionJoin Chris Johnson of On Target Living for a hands-on presentation where you will learn exercises to improve balance, mobility, flexibility, strength and your overall fitness level. Begin making small changes to your overall health by joining Chris in this morning session. (Workout clothes and tennis shoes recommended, but not required.)

8:00 – 9:00 a.m. CoMPLIAnCE SESSIonS

Embracing the Power of Successful AdvertisingPatrick Cuillo, Compliance Officer, Raymond James Financial Services, Inc. |William Brill, Compliance Supervisor, Raymond James Financial Services, Inc. Grapevine B/4-6Tweet! Poke! #Hashtag! and Like Us! as we discuss the latest regulatory developments in advertising, including social media, seminars and more! We will share successful branch advertising strategies for you to consider as you market to your existing and future clients. CE: 1 Firm, 1 CPA/CPESession Repeated: Tuesday 4:20 p.m.

Partnering for Success – Effective Branch ExaminationsThomas Ackermann, Regional Compliance Officer, Raymond James Financial Services, Inc. | Gerri Kavouklis Price, Regional Compliance Supervisor, Raymond James Financial Services, Inc.Grapevine DJoin your Compliance team as they discuss the most common deficiencies noted during your annual branch examination. Learn best practices to avoid these deficiencies and learn effective ways to mitigate risk and enhance branch procedures. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPESession Repeated: Tuesday 10:10 a.m.


8 a.m. – 4 p.m. Internet Café & Technology Center | Texas Ballroom CD

8 – 9 a.m. Compliance Breakfasts | Meeting Room FoyersBreakfast buffets will be available outside of meeting rooms for those attending compliance, supervision or variable annuity sessions.

8 – 9 a.m. Main Breakfast & Partner Exhibits | Longhorn D – F


GEnERAL SESSIonS EDUCATIon & MARKETInG PARTnER SESSIonS

FID SESSIonS

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8:00 – 9:00 a.m. SUPERvISIon SESSIon

Saddle Up for SupervisionCourtney Haddad, VP, Director of Branch Supervision, Raymond James Financial Services, Inc. | Terrance Bostic, Esq., VP, Associate Corporate Counsel, Raymond James Financial, Inc. | Melissa Kelly, Regional Supervision Officer, Raymond James Financial Services, Inc. | Melinda Isman, Regional Supervision Officer, Raymond James Financial Services, Inc.San Antonio 1-3In an ever-changing and increasingly more complex and highly regulated environment, analyzing and managing risk is essential. Please join us for an interactive session focused on providing you useful tips when hiring advisors and staff, contemplating outside business activities, identifying private securities transactions, and several strategies to help prevent disputes that might lead to arbitration. CE: 1 Firm, 1 CPA/CPESession Repeated: Tuesday 4:20 p.m. | Wednesday 3:20 p.m.

SUPERvISIon SESSIon | FID

FID Supervision All StarsSarah Parker, Registered Principal & Compliance Manager, Towne Investment Group, TowneBank, FID, Raymond James Financial Services, Inc. | Melissa Moser, Branch Manager, Bremer Bank, FID, Raymond James Financial Services, Inc.Austin 1-3As branch managers and appointed principals, changes in regulation or policy can sometimes throw a major curve ball into your day-to-day supervisory routine. Informing others in the investment program and instituting those changes presents an additional set of challenges. Learn how two of FID’s top “All Star” compliance managers score a supervision home run overseeing their investment programs while keeping up with the daily demands of branch management, regulatory compliance and audits. CE: 1 FirmSession Repeated: Tuesday 4:20 p.m.

vARIABLE AnnUITy SESSIon

Required variable Annuity TrainingScott Stolz, CFP®, SVP, PCG Investment Products, Raymond James Financial, Inc. | Vanessa Marcos, VP, Variable Annuities, Raymond James Financial, Inc.Grapevine A/1-3“Why don’t the Variable Annuity companies seem to want my client’s money?” Get your required annual VA training and get updated on the latest product and company trends in this ever-changing product area. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, Yes InsuranceSession Repeated: Tuesday 4:20 p.m. | Wednesday 3:20 p.m.

9:10 – 10:10 a.m. Market outlook: you Can observe a Lot Just by WatchingJeffrey Saut, Chief Investment Strategist, Raymond James Financial, Inc.Texas Ballroom ABJoin Raymond James’ chief investment strategist for his always entertaining and enlightening outlook on the markets.CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

10:20 – 11:20 a.m. EDUCATIon & MARKETInG PARTnER SESSIonS

Templeton Global Equities – A Long-Term value Perspective: Franklin TempletonNeil Devlin, CFA, EVP, PM, Research Analyst Templeton Global Equity Group, Franklin TempletonGrapevine B/4-6Where is Templeton finding value in today’s market? Come hear Neil Devlin, a Sir John protégée, discuss the reasons for buying Europe’s pessimism in a once-in-a generation buying opportunity. Selling optimism and buying pessimism puts value and Templeton contrary to the herd. CE: 1 Firm, 1 CFP®/PACE, 1 CIMA®/CIMC®/CPWA®

Ideas for IRAs – Become an IRA Expert in Five Easy Steps: LoRD ABBETTBrian Dobbis, QPFC, QPA, QKA, Retirement Analyst, Private Wealth Group, LORD ABBETTGrapevine A/1-3IRAs currently represent approximately $5.2 trillion in assets.* IRA rollovers and generational transfers of wealth represents tremendous opportunities for financial advisors who are able to navigate through the complex web of the rules governing IRAs and other qualified plans. Please join Lord Abbett Retirement Analyst Brian Dobbis, as he goes through an “end-to-end” program that will help you find IRA prospects and provides you the tools to educate prospects and convert them into clients. Topics include: • Tips for identifying new opportunities • Roth conversion strategies • New investment surxtax • Common beneficiary errors • Legacy planning (“Stretch” IRA) opportunity • Using this knowledge to uncover additional assets *Source: Investment Company Institute, June 2012. CE: 1 Firm, 1 CFP®/PACE, 1 CIMA®/CIMC®/CPWA®

72(u) and you: Pacific Life Insurance Co.Michelle O’Haren, JD, LLM, CFP®, ChFC®, CPA, Senior Retirement Resource Consultant, Pacific Life Insurance Co.Grapevine DThe goal of this one-hour presentation is to discuss whether and, if so, when it may make sense to use an annuity as a trust investment. The decision is complicated, as it involves legal (trust law and the trust document), tax [Internal Revenue Code (IRC) § 72(u)], as well as investment and suitability concerns. This presentation will provide a brief overview of trust basics and annuity basics as well as optional guarantee features of the variable annuity in this context, including death benefit and living benefit guarantees. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®, Yes Insurance

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The Business of Being the Best, Unlocking the Secrets of the Go-Getters and Game Changers: Ivy FundsMolly Fletcher, Sports Agent and AuthorAustin 4-6Known as the “female Jerry Maguire,” learn how an accomplished sports agent has increased her client base to hundreds of household-name professional athletes and coaches by understanding the common threads that exist in top performers. Learn the steps of being the best: The quest for the best, negotiate everything, communicate your way to success, your likeability IQ, the best give to the rest, the leaderboard, barcode with the best and the fear of being ordinary.

Alternatives in Insurance Investing: Jackson national Life Distributors, LLC Steve Woolf, Director, Retirement and Wealth Strategies, Jackson National Life Distributors, LLCSan Antonio 1-3Given recent volatility and increasing correlation among traditional asset classes, advisors and clients are seeking new sources of returns not related to traditional 60/40 portfolios. This one-hour course will explore the most common types of alternative assets, alternative strategies and alternative structures. Alternatives are becoming popular investment choices within insurance products, and this course will serve as an introduction to several of the more common options found in the alternatives space. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®, Yes Insurance

How to Help Protect and Allocate Fixed Income Assets in Today’s Market Environment: Prudential InvestmentsBrian LoDestro, CFA, VP and Portfolio Advisor, Retail Product Management, Prudential Fixed IncomeSan Antonio 4-6With interest rates near all-time lows, finding returns in today’s fixed income market is a growing challenge. In this presentation, you’ll gain a perspective on the fixed income market with Prudential Fixed Income’s market outlook. You’ll also learn how our approach to global, sector, currency and duration strategies can help exploit promising opportunities while protecting fixed income portfolios from rising rates and credit risk. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®


Compelling Conversations: oppenheimerFunds, Inc.Paul Blease, Director, CEO Advisor Institute, OppenheimerFunds, Inc.Grapevine CYou may have built your community’s most sophisticated practice, but if your communications and conversations sound like the competition, you may never get the opportunity to demonstrate your unique capabilities. This presentation is designed to help you engage your clients’ and prospects’ hearts – as well as their minds – by helping them better understand your insights and recommendations, then actually act on them.

Rethinking Risk: volatility – Past, Present and Future: InvescoTracy Fielder, Product Management Director, InvescoFort Worth 5-7In this CE-approved presentation we study the historical volatility of stocks, bonds and commodities. We then examine the implications of today’s volatility on three categories of investors: accumulators, pre-retirees and retirees. Finally, we discuss volatility and future portfolio construction. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Economic and Market outlooks: Russell InvestmentsPhil Rogerson, Managing Director, Consulting and Product Development, Russell InvestmentsDallas 5-7Making sense of the hype and headlines in today’s 24/7 news culture is a challenge facing any investor. With dramatic geopolitical events and increased volatility in the global markets, it’s no wonder that many investors are feeling overwhelmed and confused. We will cover the outlook for recovery in the U.S. economy, expectations on the potential debt ceiling crisis, what worked and what didn’t in the global markets in the recent quarter, and an outlook for 2013 and observations on the capital markets. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

A Guide to Retirement: J.P. Morgan Asset ManagementS. Katherine Roy, Executive Director, Chief Retirement Strategist and Head of Individual Retirement, J.P. Morgan Asset ManagementAustin 1-3As the first Boomers reach the traditional age of retirement during a time of market volatility and uncertainty, the need for retirement advice has never been greater. This session will reference slides from the Guide to Retirement – a tool that provides an effective framework for supporting your retirement planning conversations with clients. Katherine will cover specific charts and graphs to help you explain complex issues in a clear, concise manner. Trends and themes she’ll address: The need for a balanced approach to investing for retirement no matter what your age; With more Boomers wanting to continue to work, will they be able to? When it comes to Social Security, behavioral finance strategies encourage later claiming; How can inflation impact retirees more than younger workers? How do Americans spend differently than expectations? CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

BRAnCH PRoFESSIonAL SESSIonS TECHnoLoGy SESSIonSEDUCATIon & MARKETInG PARTnER SESSIonS

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10:20 – 11:20 a.m. TECHnoLoGy SESSIonS iPad Intro: Integrating the iPad into your PracticeFort Worth 1-2If you are considering purchasing an iPad or have recently added one to your practice, this session will ensure you are well prepared to make the best buying decision and are ready to take full advantage of all the iPad has to offer. We will cover the current and forecasted iPad lineup, basic device configuration and interaction, access to Raymond James systems and resources, tips and tricks as well as some key apps and iPad accessories.Session Repeated: Monday 10:10 a.m. | Tuesday 10:10 a.m. | Thursday 10:10 a.m.

Goal Planning & Monitoring: Getting Started with a Test DriveTexas Ballroom 6The key to success with GPM is just getting started. Attend this hands-on session to test drive the tool and learn valuable tips for how it can help accelerate the growth of your practice. CE: 1 CPA/CPESession Repeated: Monday 10:10 a.m. | Monday 1:40 p.m. | Tuesday 10:10 a.m. | Tuesday 2:00 p.m.

Discretionary Trading through Portfolio Management CenterTexas Ballroom 5Learn how Portfolio Management Center model creation and trading functionality can make your discretionary practice more efficient. CE: 1 CPA/CPESession Repeated: Tuesday 3:10 p.m.

Client Center - Client ReportingDallas 1-2Get an in-depth, hands-on review of Client Center and Client Reporting. Learn some of the tips and tricks for navigating Client Center and gain insight into future enhancements.Session Repeated: Monday 10:10 a.m. | Monday 11:20 a.m. | Monday 2:50 p.m. |Tuesday 11:20 a.m. | Wednesday 2:10 p.m.

onboarding new ClientsDallas 3-4You never get a second chance to make a first impression, especially with new clients. Come learn practical tips to streamline the client onboarding processes in your practice.Session Repeated: Tuesday 10:10 a.m.


2-HoUR SESSIon: Are you Talking To Me? Communicate Up, Down & Across for Results oriented RelationshipsAndrea Schlapia, CEO, IronstoneYellow Rose BallroomUnderstand and use the differences among people to build solid working relationships and deeper client connections. This fun and interactive session will give you valuable insight into the 16 Myers-Briggs types and vital competencies to productively receiving and transmitting information.

11:30 a.m. – 12:30 p.m. EDUCATIon & MARKETInG PARTnER SESSIonS

Back to the Future – Key Strategies for new Business Development: Hartford FundsMatt Johnston, Founder & CEO, Red Rock Strategic PartnersGrapevine B/4-6Hartford Funds welcomes you to join a discussion with Matt Johnston, CEO of Red Rock Strategic Partners, on techniques to: develop a defined new client acquisition strategy, drive qualified referral introductions, and grow net new assets under management.

Eyes Wide open, Responding to the Complexity of Global Investing: Thornburg Investment ManagementConnor Wilson, CFA, Associate Portfolio Manager, Thornburg Investment ManagementGrapevine A/1-3Investors are shifting funds globally. Given the American investor’s historically high reliance on the domestic economy and markets, this is sensible. Though international diversification is still the best way to maximize returns while minimizing risk, the changes of globalization are blurring the lines between international and domestic investing. The best posture may be to employ globally minded managers who can see the big picture, a flexible investment mandate that traverses simple geographic classification, and a bottom-up approach to identify risk exposures. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

navigating the new Tax Regime – Managing Investments Under the new Tax Thresholds: Columbia ManagementAbram Claude, VP, Retirement & Value Add Programs, Columbia ManagementGrapevine DAs a result of the Affordable Care Act and American Taxpayer Relief Act, investors are facing three new income tax thresholds with significant implications about how much their investment returns are subject to taxation. You will learn how crossing each threshold affects taxation and what steps you can take to avoid or mitigate the tax bite on overall investment returns. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®, Yes Insurance

The Charismatic Advisor – Advisor Institute: Eaton vanceDavid Richman, Director of The Eaton Vance Advisor Institute, Eaton VanceGrapevine CWhat “mindsets” lead to great success in this business? How does an advisor create an environment in which clients and prospects will be motivated to collaborate? What does it feel like to be your client? This presentation provides practical insights to help advisors build deeper client connectivity and to, thereby, decommoditize their business. Featuring client-advisor vignettes, this provocative presentation’s content is drawn from The Charismatic Advisor™, co-authored by David Richman and Robert Brooks, Ph.D., and released in 2010.

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Innovations in Alternative Asset Allocations: Calamos InvestmentsTimothy P. Brand, CIMA, CAIA, National Sales Director, Calamos InvestmentsSan Antonio 1-3As a pioneer in alternatives, Calamos Investments has over 20 years of expertise outside of traditional asset classes, creating innovative ways to allocate your client’s portfolios. Alternative investments appear as a provocative solution for investors seeking diversification from traditional asset classes. The question advisors are facing is how to incorporate alternatives into existing portfolios and which strategies to implement. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Global Equities: What Drives Returns in 2013: new york Life-MainStay InvestmentsWilliam Priest, CFA, CPA, Chief Executive Officer and Co-Chief Investment Officer, New York Life-MainStay InvestmentsSan Antonio 4-6In today’s market, a global perspective is required to maximize returns and minimize risk in uncertain markets. This session will focus on better understanding the future drivers of capital markets and the tactics leveraged to properly allocate assets in a clients’ portfolio. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

TECHnoLoGy SESSIonS Goal Planning & Monitoring: Presenting Results InteractivelyFort Worth 1-2Creating an interactive and engaging experience is the best way to get your clients to take action, and Goal Planning & Monitoring empowers you to do just that. Hear best practices from your peers and Raymond James experts on how best to use the tool and interactive resources to present results in front of clients. CE: 1 CPA/CPESession Repeated: Monday 1:40 p.m. | Tuesday 2:00 p.m.

Goal Planning & Monitoring: Using Advanced TechniquesTexas Ballroom 6Once you master the basics, the next step is to make Goal Planning & Monitoring perform the sophisticated scenarios and illustrate more advanced planning techniques, such as the What If Worksheet, Estate Planning modules and Social Security Maximizer. This session will help you take advantage of the tool’s power to grow your business. CE: 1 CPA/CPESession Repeated: Monday 11:20 a.m. | Monday 2:50 p.m. | Tuesday 11:20 a.m. | Tuesday 3:10 p.m. | Wednesday 2:10 p.m.

Advanced BondDesk TechniquesTexas Ballroom 5Beyond Bond Basics, Advanced BondDesk Techniques will show you how to capture income for clients, identify outliers, Create What If scenarios to address interest rate changes, evaluate swap opportunities and more. Learn how to use the latest BondDesk enhancements to streamline and grow the Fixed Income component of your practice. CE: 1 CPA/CPESession Repeated: Monday 2:50 p.m. | Tuesday 2:00 p.m.

TECHnoLoGy SESSIonS



orlando’s outlook – After the Fiscal Cliff: Federated InvestorsPhilip J. Orlando, CFA, SVP, Chief Equity Strategist, Federated InvestorsFort Worth 5-7Phil Orlando returns to share his candid views on the increasingly entwined nature of politics, economics and the financial markets. He will provide insights on the fiscal-cliff agreement that has already been reached and the critical issues left unresolved. He will then address how those policy decisions may influence business decisions impacting both economic growth and financial-market performance. Finally, Phil will share an assessment of equity and fixed-income market valuations, capital-market assumptions, and recommended asset-allocation strategies. Don’t miss this always popular and well-rated session! CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Session Repeated: Wednesday 2:10 p.m.

Global Market Insights – Inefficiencies and opportunities: Deutsche Asset & Wealth ManagementJason Vassil, Director, Active Investment Specialist, Taxable Fixed Income, Deutsche Asset & Wealth ManagementDallas 5-7Today’s portfolios face the triple threat of lower returns, higher volatility and higher correlation, plus two new threats with the prospects for higher interest rates and inflation. Learn how strategic asset allocation may help mitigate some of the risk and augment some of the returns in this environment. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Social Security and Retirement Planning: AIG - SunAmerica variable AnnuitiesMike Fodrea, ChFC®, CLU®, CASL, AVP, Advanced Markets, AIG - SunAmerica Variable AnnuitiesAustin 1-3The objective of this session is to provide financial advisors a solid foundational understanding of the Social Security program, possible reform, benefit rules and strategies for incorporating Social Security retirement benefits into the broader retirement income plan. CE: Pending

“Busting the Myths” around variable Annuities: Lincoln Financial DistributorsSteve Crawford, CIS, Director, Retirement Income Solutions, Lincoln Financial DistributorsAustin 4-6Positioning your business for the income distribution market, uncover hidden opportunities and deepen client relationships with new ideas for traditional products. Three case studies that will change the way you look at annuities. CE: 1 Firm, 1 CFP®/PACE

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11:30 a.m. – 12:30 p.m. TECHnoLoGy SESSIonS Client Center - Advanced SearchDallas 1-2In this interactive session, we’ll provide hands-on training on creating and saving searches, then open the floor for discussion on additional search features and attributes you’d like to see added.Session Repeated: Monday 1:40 p.m. | Tuesday 2:00 p.m.

CRM - Getting StartedDallas 3-4This course will provide you with the foundational knowledge needed to begin using CRM. You will discover the benefits of the integration between CRM and the back office, as well as Client Center. During this session you will also learn how to create & manage contact and household records; including basic navigation & best practices for entering data. CE: 1 CPA/CPESession Repeated: Monday 10:10 a.m. | Monday 11:20 a.m. | Tuesday 11:20 a.m.

12:30 – 2 p.m.Lunch & Resource Center | Longhorn D-FEnjoy a buffet lunch and full Resource Center featuring our Education & Marketing Partners, Educational Exhibitors and home office departments as your schedule permits.

2:10 – 3:10 p.m. EDUCATIon & MARKETInG PARTnER SESSIonS

The Tax Landscape after the “Fiscal Cliff” – Uncovering Planning opportunities for Clients in 2013: Putnam InvestmentsChristopher P. Hennessey, Lawyer and CPA, Member, Putnam Business Advisory Group, Putnam InvestmentsGrapevine B/4-6Congress narrowly avoided going over the fiscal cliff on January 1 by passing the American Taxpayer Relief Act – legislation that broadly extends prior tax rates and provisions for most taxpayers. In this seminar we will review the legislation and its impact on taxpayers, examine the prospects for longer-term tax reform, and present income and estate-planning strategies that advisors can share with their clients. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®, Yes Insurance

2013 Investment outlook & Top 10 Predictions: nuveen InvestmentsBob Doll, CFA, CPA, MBA, Chief Equity Strategist, Senior Portfolio Manager, Nuveen InvestmentsGrapevine A/1-3Bob Doll will provide an update on our economic and investment outlook for 2013 using the 10 predictions we made for 2013. We continue to think this will be a muddle through economy and a grind higher equity market. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®


Communicating your value – Having the Fee Discussion With your Clients: John Hancock FundsDarren Smith, National Sales Manager, John Hancock FundsGrapevine DA road map for how to articulate your fees and begin the process of creating a personal value policy. After this workshop you will be able to clearly communicate what you offer clients and why they pay you. CE: Yes Insurance

value Investing in an Uncertain World: natixis Global Asset ManagementChris D. Wallis, CPA, CFA, CEO, CIO, Senior Portfolio Manager - Equity Investments, Vaughan Nelson Investment ManagementGrapevine CAn overview of the opportunities and risks that exist in the U.S. equity markets, as well as a discussion of other asset categories. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

The Contrarian’s Credo: If you Want a Friend, Get a Dog. If you Want to Make Some Money, Hire a Contrarian: Wells Fargo Advantage FundsPeter Chiappinelli, CFA, CAIA, Portfolio Strategist, GMO Asset Allocation, GMOFort Worth 5-7As Buffett says, “value investing is simple, but not easy.” The not-easy part is dealing with our emotions and our clients. Investing in assets that everyone else hates, appearing “wrong” in the short term, and looking stupid are all fears that send us running for the safety of the crowd. Being contrarian is, by definition, uncomfortable. But it’s the best way we know to compound wealth. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE

Identifying the Challenges & opportunities in Today’s Fixed Income Markets: Delaware Investments, A member of Macquarie GroupPaul Grillo, CFA, SVP, Co-Chief Investment Officer, Delaware InvestmentsDallas 5-7In this interactive session, Mr. Grillo will discuss the challenges and opportunities of managing client fixed income portfolios in today’s global environment. The conversation includes topics surrounding the role of global central banks, the fiscal condition of sovereign entities and the current relative attractiveness of various fixed income sectors. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Mortgage Backed opportunities in 2013 – A Discerning Buyers Market: Legg MasonStephen P. Fulton, Head of Agency Mortgages, Western Asset Management CompanyAustin 1-3Western Asset has utilized mortgage-backed securities (MBS) as a vital component within its investment strategy since the firm’s inception, through several housing and credit cycles. The head of Agency Mortgages at Western Asset will share his views and experience on agency and non-agency MBS. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

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2:10 – 3:10 p.m. TECHnoLoGy SESSIonS iPad Deeper Dive: The Indispensable iPadFort Worth 1-2If the iPad isn’t an integral tool in your practice, it soon will be. In this session we will cover some essential apps that will improve your productivity, keep you informed and allow you to do more when you are away from your desk. We will focus on using the iPad for prospecting, client engagement, client communications and in client reviews.Session Repeated: Monday 2:50 p.m. | Tuesday 3:10 p.m. | Thursday 11:20 a.m.

Goal Planning & Monitoring: Using Advanced TechniquesTexas Ballroom 6Once you master the basics, the next step is to make Goal Planning & Monitoring perform the sophisticated scenarios and illustrate more advanced planning techniques, such as the What If Worksheet, Estate Planning modules and Social Security Maximizer. This session will help you take advantage of the tool’s power to grow your business. CE: 1 CPA/CPESession Repeated: Monday 11:20 a.m. | Monday 2:50 p.m. | Tuesday 11:20 a.m. | Tuesday 3:10 p.m. | Wednesday 11:30 a.m.

Portfolio Management Center – nEW Custom Proposals and Product Research FeaturesTexas Ballroom 5New features in Portfolio Management Center are now available for advisors to create customized proposals using their own asset allocation models and an extensive database of over 27,000 products including mutual funds, individual stocks, closed end funds, ETFs, SMAs, Freedom portfolios, and UMAs. In this session you will create a proposal with a custom allocation and learn shortcuts to create a scalable portfolio management process that complements your planning process in GPM.Session Repeated: Monday 10:10 a.m.| Monday 1:40 p.m. | Tuesday 10:10 a.m. | Tuesday 11:20 a.m.

Client Center - Client ReportingDallas 1-2Get an in-depth, hands-on review of Client Center and Client Reporting. Learn some of the tips and tricks for navigating Client Center and gain insight into future enhancements.Session Repeated: Monday 10:10 a.m. | Monday 11:20 a.m. | Monday 2:50 p.m. | Tuesday 11:20 a.m. | Wednesday 10:20 a.m.

CRM - notes & ActivitiesDallas 3-4This session will describe in detail how you can use CRM to document client interactions and organize your day. Learn about the new Team Ownership and how you can utilize it to effectively create and manage activities within CRM. CE: 1 CPA/CPESession Repeated: Monday 2:50 p.m. | Tuesday 2:00 p.m. | Tuesday 3:10 p.m.


Life After the Bond Party – Preparing for the next Phase: AllianceBernsteinAlison Martier, Senior Portfolio Manager, AllianceBernsteinAustin 4-6Investors in traditional bond funds have had their cake and eaten it too. Both interest rate and credit strategies have worked extremely well in this cycle, but that is unusual and unlikley to last! With rates at historic lows, credit spreads at long term averages, and issues trading at significant premiums, where does a fixed investor go from here? Moreover, how do you allocate? CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Building Better Portfolios – Bridging the Income Gap: Goldman Sachs Asset ManagementTP Enders, CFA, Managing Director, Product & Portfolio Strategy, Goldman Sachs Asset ManagementSan Antonio 1-3Throughout the session, GSAM’s portfolio strategists will address the practical application of these strategies for yield enhancement. Ultimately, you’ll learn how to build better, more risk-efficient portfolios and bridge the income gap through the use of non-traditional and income-focused asset classes and mutual funds. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

orlando’s outlook – After the Fiscal Cliff: ohio national Financial ServicesPhilip J. Orlando, CFA, SVP, Chief Equity Strategist, Federated InvestorsSan Antonio 4-6Ohio National invites Phil Orlando for a second session to share his candid views on the increasingly entwined nature of politics, economics and the financial markets. He will provide insights on the fiscal-cliff agreement that has already been reached and the critical issues left unresolved. He will then address how those policy decisions may influence business decisions impacting both economic growth and financial-market performance. Finally, Phil will share an assessment of equity and fixed-income market valuations, capital-market assumptions, and recommended asset-allocation strategies. Don’t miss this always popular and well-rated session. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Session Repeated: Wednesday 11:30 a.m.




TECHnoLoGy SESSIonS

WEDNESDay, aPRIL 24

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Financially Advising Couples: Engaging With Both PartnersDenise P. Federer, Ph.D., Behavioral Psychologist, Federer Performance Management Group, LLCYellow Rose BallroomResearch suggests that 70% of female clients ultimately leave an advisor when the patriarch of the family dies. Yet many advisors admit that they do not proactively engage the female partners of their clients. This workshop will address essential gender issues and provide a step-by-step behavioral guide for advising women and couples effectively. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE


Regulatory Roundup: Hot Issues Affecting our IndustryDon Runkle, Chief Compliance Officer, Compliance, Raymond James Financial Services, Inc. | Chip Jones, SVP FINRA Member Relations | Erin Vocke, District Director, FINRA District 6Grapevine B/4-6Join us for a discussion with top FINRA executives and hear straight from the source about current regulatory topics and trends that affect us all. Learn what the firm is doing to help you protect your practice and navigate through the ever-changing regulatory environment. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Expanding your Business with Advisory Consulting ServicesScott Waterbury, RIA Compliance Officer, RJFSA | Jason Thackeray, Chief Compliance Officer, RJFSAGrapevine DThis presentation will discuss the evolving advisory consulting business and how it may be implemented within your present business model. We will review financial planning, retainer services, investment consulting services and best practices, along with the new RJFSA IAR affiliation. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE

Arbitration Tales from the Front Line: Real Stories from Today’s HeadlinesMike Alford, SVP, Deputy General Counsel, Raymond James Financial, Inc. | Ken Collier, President, Collier Consulting, Inc.Grapevine CDo the prospects of client complaints and/or arbitration claims keep you up at night? The expense of defending even a single claim could ruin your year (or career)! We will share war stories, trends and issues that advisors are facing on a daily basis. Presented by seasoned litigator Mike Alford and testifying industry expert Ken Collier, our discussion will highlight critical issues facing advisors … why they’re getting sued, the products most often targeted by plaintiff’s lawyers, and what is driving the complaints that could seriously damage your U-4. Be there for a lively discussion with plenty of opportunities for Q and A. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE

3:20 – 4:20 p.m. CoMPLIAnCE SESSIon

Everyday SuitabilityAlyssa Meyer, VP, Associate Compliance Director, Raymond James Financial Services, Inc. | Erin Eckhouse, Education Manager, Raymond James Financial Services, Inc.San Antonio 4 - 6What habits can you adopt today to protect your practice tomorrow? Explore how to identify and practically respond to everyday situations that may be subject to FINRA’s new Know Your Client/Suitability Rules. Learn to improve the quality of your notes and how the adoption of such practices can better assist you in demonstrating how you meet the Fiduciary Standard. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Session Repeated: Wednesday 8:00 a.m.

SUPERvISIon SESSIonS

Saddle Up for SupervisionCourtney Haddad, VP, Director of Branch Supervision, Raymond James Financial Services, Inc. | Terrance Bostic, Esq., VP, Associate Corporate Counsel, Raymond James Financial, Inc. | Melissa Kelly, Regional Supervision Officer, Raymond James Financial Services, Inc. | Melinda Isman, Regional Supervision Officer, Raymond James Financial Services, Inc.Dallas 5-7In an ever-changing and increasingly more complex and highly regulated environment, analyzing and managing risk is essential. Please join us for an interactive session focused on providing you useful tips when hiring advisors and staff, contemplating outside business activities, identifying private securities transactions, and several strategies to help prevent disputes that might lead to arbitration. CE: 1 Firm, 1 CPA/CPESession Repeated: Tuesday 4:20 p.m.| Wednesday 8:00 a.m.

CoMPLIAnCE SESSIon | FID

Blueprints for a Compliant Investment ProgramRob Blenis, Regional Compliance Officer, Raymond James Financial Services, Inc. |Sherry Cochran, Regional Compliance Supervisor, Raymond James Financial Services, Inc.Fort Worth 5-7Please join your Compliance FID team as they discuss regulatory and risk management issues affecting your bank or credit union investment program. We will discuss topics affecting programs today including custody of funds, suitability, documentation, and internal and regulatory examinations and provide best practices in these areas and more. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPESession Repeated: Tuesday 4:20 p.m.

vARIABLE AnnUITy SESSIon

Required variable Annuity TrainingScott Stolz, CFP®, SVP, PCG Investment Products, Raymond James Financial, Inc. | Vanessa Marcos, VP, Variable Annuities, Raymond James Financial, Inc.Grapevine A/1-3“Why don’t the Variable Annuity companies seem to want my client’s money?” Get your required annual VA training and get updated on the latest product and company trends in this ever-changing product area. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, Yes InsuranceSession Repeated: Tuesday 4:20 p.m.| Wednesday 8:00 a.m.

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Events + Sessions

Cowboy wisdom:If there Is a hole In your story

or your fence, somethIng you rather dId not get out, wIll.

Conference wisdom:always be open, honest and

transparent wIth your clIents and let IntegrIty be your guIde.

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8:00 – 9:00 Main Breakfast | Longhorn D-F

8:00 – 2:40 Internet Café | Texas Ballroom CD

8:00 – 12:30 Technology Center | Texas Ballroom CD


MFs Investment ManagementDallas 5-7

transamerica annuitiesGrapevine C

blackrockFort Worth 5-7

Pioneer InvestmentsGrapevine A/1-3

eagle asset ManagementGrapevine D

american FundsGrapevine B/4-6

equinox Mutualhedge San Antonio 4-6

First trust San Antonio 1-3

Protective life Insurance company Austin 1-3

MetlifeAustin 4-6

11:20 –12:20Session details on page 52

get linked In not left outFort Worth 5-7

Multigenerational legacy advisorGrapevine D


tactical Investing Dallas 5-7

6:30 – 7:00 Gala Reception | Texas Ballroom Foyer

7:00 –10:00 Gala Dinner with Live Performance | Texas Ballroom A-D | See page 53 for details

10 – Midnight Piano Lounge | Yellow Rose Ballroom

10 – Midnight Dance Party | Texan Station

coaches’ corner Grapevine A/1-3


cFP® ethics Grapevine C

Invesco Dallas 5-7

ceg Worldwide, llc Fort Worth 5-7

riverfront Investment group, llc Grapevine D

crM-segmentation Texas Ballroom 5

the 95% solution Grapevine B/4-6

a better Model: Texas Ballroom 6

10:10 –11:10Session details on pages 51-52

2-hoursessIon

2-hoursessIon

2-hoursessIon

2-hoursessIon

2-hoursessIon

GEnERAL SESSIonS

FID SESSIonS



TECHnoLoGy SESSIonS




BREAKoUT SESSIonS

12:20 – 1:30 Main Lunch | Longhorn D-F

2:40 – 3:40 General Session | Shawn Achor: The Happiness Advantage | Texas Ballroom AB

2:10 – 2:40 General Session | Town Hall | Paul Reilly | Chet Helck | Scott Curtis | Texas Ballroom AB

1:40 – 2:10 General Session | Paul Reilly Remarks | Texas Ballroom AB

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IRA Rollovers – Leveraging the Power of Personal Guidance: Transamerica AnnuitiesDouglas A. Ewing, JD, CFP®, Director, Advanced Markets, Transamerica AnnuitiesGrapevine CThe objective of this 1-hour seminar is to provide attendees with advanced training on IRA rollovers. The goal of this seminar is to teach the following topics: the IRA rollover market, boomer’s rollover decisions, how to capture IRA rollovers, leverage the value of personal guidance, reasons to roll over or not to roll over, methods of tax free transfers, Roth conversions and beneficiary designations. Attendees will be given specific advanced knowledge that will allow them to better serve their clients and prospective clients regarding IRA rollovers. This seminar will help add value to the attendees’ overall perspective of how IRAs work. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®, Yes Insurance

Last Advisor Standing: BlackRockChad Terry, CFP®, Director, Investment and Retirement Education, BlackRockFort Worth 5-7Today’s markets are as uncertain as ever. But there is one certainty – that the future is coming – and clients will need help navigating retirement during these volatile times. One of the most important decisions clients will need to make is how to draw down their nest egg – and a 4%-set-it-and-forget-it strategy may no longer be enough for retirement success. This session aims to equip financial professionals with essential knowledge for creating a retirement income plan that clients will understand and feel best meets their unique needs. We will discuss expense identification, mapping appropriate withdrawal strategies against those expenses and ways to make the most of their government benefits (Social Security & Medicare). CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Unique Traits of World Class Advisors – MFS Investment ManagementSusan Kay, Director of Business Development, MFS Investment ManagementDallas 5-7Through her work with the most successful financial advisors in the country, Susan Kay has noted their most effective traits in common. Susan will provide tangible ideas that will help advisors build loyalty, exceed client expectations, drive revenue and attract new assets.

Understanding Social Security – A Look at the Bigger Picture: Protective Life Insurance CompanyJody Harris, Social Security Consultant, Protective Life Insurance CompanyAustin 1-3If you learned that 94% of your clients have a $MM asset that you’re not talking to them about, would you be concerned about what you’re missing? Join us for a workshop to learn more about: Social Security – the $1 million asset you may be ignoring. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®


Changing the Frame: American FundsTrey Sgroi, SVP Business Development & Training, American FundsGrapevine B/4-6In Changing the Frame, we continue working to help advisers expand their understanding of the forces at work behind investor decision-making while presenting communication strategies and investing structures designed to improve investor outcomes. CE: 1 CFP®/PACE, 1 CIMA®/CIMC®/CPWA®

Social Security nuances – How External Factors May Affect Social Security Benefits: Pioneer InvestmentsKaren Remmele, National Retirement Strategies Consultant, Pioneer InvestmentsGrapevine A/1-3This presentation goes beyond the basics of Social Security retirement income and explores unique situations: What are my options if I am divorced? How will my government pension affect my Social Security benefits? What could me and my family receive if I am unemployed, disabled or seriously ill? How does Medicare coordinate with Social Security? CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®, Yes Insurance

Addressing Scarcity of yield in Retirement Income Solutions: Eagle Asset ManagementJames Camp, CFA, Portfolio Manager, Eagle Asset Management | David Powers, CFA, Portfolio Manager, Eagle Asset ManagementGrapevine DRetirement portfolios should focus on income, preservation of capital and growth. Join Eagle’s James Camp and David Powers for an interactive discussion on blending the long-term trends of fixed income and dividend investing, and the potential advantages for your client’s retirement portfolio. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®


8 – 9 a.m. Breakfast | Longhorn D – F

8 a.m. – 12:30 p.m. Technology Center | Texas Ballroom CD

8 a.m. – 2:40 p.m. Internet Café | Texas Ballroom CD


TECHnoLoGy SESSIonS


THURSday, aPRIL 25

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Living a Life of Significance: MetLifeJoe Jordan, SVP, MetLifeAustin 4-6Are you living a life of significance? Most successful advisors in the financial business are already motivated, but what inspires you when the moviation isn’t always present? What’s your purpose? CE: 1 Firm

The Plow Horse Economy: First TrustBrian S. Wesbury, Chief Economist, First TrustSan Antonio 1-3Brian Wesbury calls the relatively slow, persistent and consistent economic recovery a plow horse economy. It’s not going to win any races, but it’s not going to keel over and die either. This recovery is not a new normal – something different than we have seen before, but in fact is being driven by new technologies – the same thing that has driven growth in the U.S. for more than two centuries. Brian Wesbury, a winner of the Wall Street Journal’s annual economic forecasting award, nationally acclaimed speaker and author, will help navigate these confusing and volatile times. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

Advancing the Traditional Portfolio with Managed Futures – A True Liquid Alternative: Equinox MutualHedgeAjay Dravid, Ph.D, Managing Director of Portfolio Management, Equinox MutualHedgeSan Antonio 4-6Although some investors have turned to liquid alternatives to provide the risk reduction and alpha generation that traditional portfolios have failed to offer, few have truly delivered across up and down market cycles. Learn why managed futures are different and how they can be implemented within a portfolio to improve risk-adjusted returns over time. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

10:10 – 11:10 a.m. PRoFESSIonAL DEvELoPMEnT SESSIonS Beyond Markowitz – Asset Allocation for the Real World: RiverFront Investment Group, LLCMichael Jones, CFA, Chairman & Chief Investment Officer, RiverFront Investment Group, LLCGrapevine DDoes Modern Portfolio Theory (MPT) still work in the complex investment landscape of 2013? Please join Michael as he discusses RiverFront’s Dynamic Asset Allocation Approach. Michael will discuss Price Matters, RiverFront’s 2013 Updated Asset Allocation Strategies & Current Global Investment Themes. CE: 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

10:10 – 11:10 a.m. PRoFESSIonAL DEvELoPMEnT SESSIonS Tell Me More: InvescoScott West, Managing Director, InvescoDallas 5-7The financial service’s three-minute elevator speech is too long, too “me” and too mechanical for today’s sound-bite society. This session provides an easily learned process to help you select what to say, how to say it and how to reduce it down to 15 words or less.

Replicate your Ideal Clients and Create a Systematic Referral ProcessPaul Brunswick, Senior Managing Principal, CEG Worldwide, LLCFort Worth 5-7Achieving consistent growth in their practice is a challenge that nearly all financial advisors face. For 25 years Paul Brunswick of CEG has coached advisors to meet this challenge. Learn how two key CEG strategies, Ideal Client Replication and the “2nd Opinion,” will take your practice to new heights.

TECHnoLoGy SESSIon iPad Intro: Integrating the iPad into your PracticeFort Worth 1-2If you are considering purchasing an iPad or have recently added one to your practice, this session will ensure you are well prepared to make the best buying decision and are ready to take full advantage of all the iPad has to offer. We will cover the current and forecasted iPad lineup, basic device configuration and interaction, access to RJ systems and resources, tips and tricks as well as some key apps and iPad accessories.Session Repeated: Monday 10:10 a.m. | Tuesday 10:10 a.m. | Wednesday 10:20 a.m.

10:10 a.m. – 12:20 p.m. PRoFESSIonAL DEvELoPMEnT SESSIonS 2-HoUR SESSIon: CFP® EthicsChris Beard, CFP® Professional & Vice President, Gateway Wealth Strategies, FID, Raymond James Financial Services, Inc.Grapevine CEach CFP® is required to earn two credits in ethics for each two-year reporting period – this program qualifies. Chris will highlight areas that may be problematic for advisors. CE: 2 Firm, 2 CFP®/PACE, 2 CPA/CPE, 2 CIMA®/CIMC®/CPWA®

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10:10 – 12:20 p.m. PRoFESSIonAL DEvELoPMEnT SESSIonS 2-HoUR SESSIon: Coaches’ Corner: Best Practice Ideas from Five Top FA CoachesAndrea Schlapia, CEO, Ironstone | David Mullen, Founding Partner, Altius LearningShannon Waller, Director, Strategic Coach® | Linda Eaton, SVP, Performance Improvement Specialist, Cannon Financial Institute, Inc. | Paul Brunswick, Senior Managing Principal, CEG Worldwide, LLCGrapevine A/1-3Looking for a distilled collection of best-practice ideas from five industry experts in one spot? Join the principals of coaching/consulting groups as they each share a “Big Idea” and info on their work in a TED-Talk style format.

2-HoUR SESSIon: The 95% Solution: A Personalized Plan for Turning your Conference To-Do List into a To-Done ListDave Lee, CFP®, Director, Raymond James Financial Services Practice Management, Raymond James Financial Services, Inc.Grapevine B/4-6The great ideas you hear contain only a 1-in-10 chance of implementation. Join “Execution Expert” Dave Lee and your peers for a working session to network best ideas gathered from the conference into a personalized plan designed to give you a 95% probability of turning your wish list into reality.

TECHnoLoGy SESSIonS 2-HoUR SESSIon: A Better Model – Using Goal Planning & Monitoring and Portfolio Management Center Together to Create EfficienciesTexas Ballroom 6This session will “connect the dots” between Goal Planning & Monitoring and Portfolio Management Center to demonstrate how to use these powerful tools to create efficiencies in your client service and portfolio management processes. Emphasis will be placed on how to use a consistent set of asset allocation models and product “favorites” across both tools. These tools can save you hours in your week AND deliver an engaging client experience! CE: 1 CPA/CPE

2-HoUR SESSIon: CRM - Segmentation & Mail MergeTexas Ballroom 5Using the data you have entered into CRM you will: perform searches to create segmented lists, learn how to utilize marketing lists and use these lists to create personalized, targeted marketing efforts through CRM’s mail merge function.

11:20 – 12:20 p.m. PRoFESSIonAL DEvELoPMEnT SESSIonS Becoming an Effective Multigenerational Legacy AdvisorDenise P. Federer, Ph.D., Business Coach and Behavioral Psychologist, Federer Performance Management Group, LLCGrapevine DThe intergenerational transfer of wealth over the next few decades highlights the need for a multigenerational approach for working with clients. Ethical wills (not the probate kind) can strengthen your bond with clients and their families. This workshop will teach you how to utilize this vital tool. CE: 1 CIMA®/CIMC®/CPWA®

Get Linked In not Left out: Proven Ways to Increase Referrals and Assets through Social networkingKip Gregory, Principal, The Gregory Group, Inc.Fort Worth 5-7Want to learn the real secret of using LinkedIn to fill your prospect pipeline? Don’t miss this session. The industry’s leading authority on winning clients in today’s wired world will show you how to harness LinkedIn and other sites to find and capture money in motion, all in a “compliant” way.

Tactical Investing: The old normal – Ivy FundsDavid Borberg, CFA, Head of Client Portfolio Strategy, Ivy FundsDallas 5-7As the appetite for equities appears to be increasing, it seems as though investors are still pouring money into the global allocation/flexible category where managers have fairly wide latitude by prospectus to invest in an array of different asset classes. As a pioneer in this space, join Ivy Funds and David Borberg, CFA, Head of Client Portfolio Strategy and Product Development, as he explores integrating these types of products within an overall asset allocation plan. CE: 1 Firm, 1 CFP®/PACE, 1 CPA/CPE, 1 CIMA®/CIMC®/CPWA®

TECHnoLoGy SESSIon iPad Deeper Dive: The Indispensable iPadFort Worth 1-2If the iPad isn’t an integral tool in your practice, it soon will be. In this session we will cover some essential apps that will improve your productivity, keep you informed and allow you to do more when you are away from your desk. We will focus on using the iPad for prospecting, client engagement, client communications and in client reviews.Session Repeated: Monday 2:50 p.m. | Tuesday 3:10 p.m. | Wednesday 2:10 p.m.

12:20 – 1:30 p.m. Lunch | Longhorn D - F

TECHnoLoGy SESSIonS


GEnERAL SESSIonS

THURSday, aPRIL 25

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1:40 – 2:10 p.m. Paul Reilly RemarksPaul Reilly, Chief Executive Officer, Raymond James Financial, Inc.Texas Ballroom AB

2:10 – 2:40 p.m. Town HallPaul Reilly, Chief Executive Officer, Raymond James Financial, Inc. | Chet Helck, Chief Executive Officer, Global Private Client Group, Raymond James Financial, Inc. | Scott Curtis, President, Raymond James Financial Services, Inc.Texas Ballroom ABJoin our executive team for an open format Town Hall question & answer session.

2:40 – 3:40 p.m. Shawn Achor: The Happiness AdvantageShawn Achor, Founder & CEO, Good Think Inc.Texas Ballroom ABMost companies and schools follow this formula: if you work harder, you will be more successful, and then you will be happy. This formula is scientifically backward. A decade of research shows that training your brain to be positive at work first actually fuels greater success second. In fact, 75% of our job success is predicted not by intelligence, but by your optimism, social support network, and the ability to manage energy and stress in a positive way. By researching top performers at Harvard, the world’s largest banks and Fortune 500 companies, Shawn discovered patterns, which create a happiness advantage for positive outliers – the highest performers at the company. Based on his book, “The Happiness Advantage,” Shawn explains what positive psychology is, how much we can change, and practical applications for reaping the Happiness Advantage in the midst of change and challenge.

6:30 – 7 p.m.Gala Reception | Texas Ballroom Foyer

7 – 10 p.m.Gala Dinner with Live Performance | Texas Ballroom A-DJoin us for an elegent dinner accompanying our Gala Awards Ceremony and Education & Marketing Partner CASH DRAWING! Dinner is followed by a live performance by Pat Green!

10 p.m. - MidnightDance Party | Texan Station

10 p.m. - MidnightPiano Lounge | Yellow Rose Ballroom

NOTES

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