Wednesday, October 14, 2009, at 4 p.m. EDT
Going Independent Webinar Series
Compliance, Operations, & Marketing
For Brokers Going Independent
Andrew Gluck, Advisor Products Inc.
Chris Winn AdvisorAssist LLC
Blane Warrene, Independent Advisor Consulting
Practice Management Website For Independent Advisors
• Links to major market and industry news every business day by 8:30 EDT.
• Analysis of regulation, investing, technology by industry experts.
• Connect instantly to advisors who practice like you.
• Compare advisor software feature-by-feature, side-by-side.
• Access advisor reviews of software and independent user groups.
• Find firms best-suited to be your disaster recovery site in minutes.
• Obtain free CE credit 24/7 for replays of Financial Advisor Webinar Series.
• Registration an
Comp iance Program Design
• Operations and Technology
• Marketing & Client Communications
• Co‐Founder of AdvisorAssist™
– Supports start‐up and growth of IA firms
• Regulatory compliance
Investment management operations
• Product distribution
• 17 years of industry experience
– Fmr. chief compliance officer, Open Investing Inc. and
v sor ow nc. ―
– Fmr. associate director of investment management
consulting practice of Navigant Consulting
Int’l compliance, regulatory, and litigation support
• Led teams assessing compliance pursuant to Rule 206(4)‐7
of the Investment Advisers Act of 1940, Rule 38a‐1 of the
Investment Company Act of 1940 and other federal
Managing Principal & Co‐Founder
MainStay Consulting Group
Technology innovator since 1991
– Broker/dealer and RIA technology & operations
Investment and insurance systems integration
• Broker/dealer operations management
• Process design and implementation
• Strategic planning
• Emerging technology & social media
• Notable experience
– Director of Technology in financial services sector
• Worked for ING (US) P