"Have You Thought About Becoming Your Own RIA?"
ING Advisory University Master’s Conference
Las Vegas, Nevada

Schwab Institutional DISCOVERY Events
Various Locations

"What Have You Missed? The Top 5 Overlooked Compliance Issues"
Pershing INSITE 2007
Hollywood, Florida

"Managing Compliance for Accounting-Related investment Advisers"
New York State Society of CPAs
New York, NY

"Building Your Practice"
Society of Financial Service Professionals, 2007 Financial Service Forum
Montreal, Canada

Fidelity Compliance Audio Program Series
Fidelity Investments, Monthly Podcast Series
Podcast

“Maintaining Compliance Amidst Regulatory Chaos”
Fiduciary 360, Annual Conference
San Diego, CA

"Effectively Managing the Tools and Technology of Compliance Risk"
Institutional Investor, 2nd Annual Chief Compliance Officer Forum
New York, NY

“Maintaining Compliance Amidst Regulatory Chaos”
Fidelity Investments
Philadelphia, PA

“Employment, Transitions, Registration & Compliance”
Raymond James Financial Services Investment Advisors Division, Portfolio Manager's Conference
St. Petersburg, Florida

"Preparing for an Audit: Everyday Preparation for the Inevitable Regulatory Exam"
American Institute of Certified Public Accountants (AICPA), 2007 Personal Financial Planning Conference
Las Vegas, Nevada

“Managing Regulatory Compliance Amidst Regulatory Chaos”
Society of Financial Service Professionals (SFSP), Arizona Institute 2007
Tucson, Arizona
 

“Maintaining Compliance Amidst Regulatory Chaos”
Fidelity Investments
Tysons Corner, VA

“Common Compliance Mistakes”
Fidelity Investments
Memphis, TN

“Counseling the Breakaway Broker”
Raymond James Financial Services Investment Advisors Division, Portfolio Manager's Conference
St. Petersburg, Florida

"Dismantling the Form ADV"
North American Securities Administrators Association (NASAA), 2006 Investment Adviser Examiner Workshop
San Antonio, Texas

"An Analysis of an Investment Advisers' Agreements With Its Clients"
North American Securities Administrators Association (NASAA), 2006 Investment Adviser Examiner Workshop
San Antonio, Texas

“Counseling the Breakaway Broker”
TD Ameritrade
Webcast

“Current Issues in Investment Adviser Regulation and Compliance”
Pershing, INSITE 2006
Ft. Lauderdale, Florida

PointView Financial Services Breakfast Meeting
Morristown, NJ

“Compliance Issues in Defining the Scope of the Client Engagement”
Family Wealth Advisors Council, Raising the Standard(s)
Las Vegas, Nevada

"Conducting Fiduciary Assessments"
Fiduciary 360, Annual Conference
Savannah, Georgia

"Electronic Communications Compliance: Dispelling Myths About Retention and Monitoring"
Investment Management Consultants Association (IMCA), Tucson Consultants Conference
Tucson, Arizona

"Charting the Regulatory Climate"
National Association of Personal Financial Advisors (NAPFA), NAPFA Northeast / Mid-Atlantic
Webcast
 

"Maintaining Regulatory Compliance Amidst Regulatory Chaos"
Financial Planning Association (FPA) (Philadelphia Chapter), Quarterly Meeting
Philadelphia, Pennsylvania

"Common Compliance Mistakes"
Investment Management Consultants Association (IMCA), Chicago Consultants Conference
Chicago, Illinois

"Guiding the RIA through the Regulatory Minefield"
Financial Advisor Magazine, Financial Advisor Symposium
Chicago, Illinois

"Preparing for an Audit: Everyday Preparation for the Inevitable Regulatory Exam"
Oklahoma Society of CPAs, 2005 Financial Planning Conference
Oklahoma City, Oklahoma

"Maintaining Regulatory Compliance Amidst Regulatory Chaos"
Society of Financial Service Professionals (SFSP), Financial Service Forum 2005
Phoenix, Arizona

"Preparing for an Audit: Everyday Preparation for the Inevitable Regulatory Exam"
National Association of Personal Financial Advisors (NAPFA), Northeast/Mid-Atlantic Region Conference
Boston, Massachusetts

"Diffusing a Ticking Time Bomb: How to Handle Customer Complaints"
Pennsylvania Securities Commission, Compliance 2005
Hershey, Pennsylvania

"Form ADV: The Centerpiece of Investment Adviser Disclosure, Compliance, & Liability"
North American Securities Administrators Association (NASAA), 2005 Investment Adviser Examiner Workshop
Portland, Oregon

"Conflicts of Interest"
North American Securities Administrators Association (NASAA), 2005 Investment Adviser Examiner Workshop
Portland, Oregon

"Current Issues in Investment Adviser Regulation and Compliance"
Raymond James Financial Services, National Conference for Professional Development
Chicago, Illinois

"Transitioning From a Wirehouse to Independence"
Raymond James Investment Advisors Division, Portfolio Manager's Conference
St. Petersburg, Florida

"Taking Control of the Regulatory Examination Process"
Pershing, Insite 2005
Hollywood, Florida

"Maintaining Compliance Amidst Regulatory Chaos"
Fidelity Investments
Philadelphia, Pennsylvania

"Preparing for an Audit: Everyday Preparation for the Inevitable Regulatory Exam"
Fidelity Investments, BestPractices 2005
New York, New York  | San Francisco, California  | Boston, Massachusetts  | Los Angeles, California

"Common Compliance Mistakes: A Spirited Look at Real Life Examples"
Fidelity Investments, Educational Program
Rochester, New York

"Alternative Regulatory Environments"
Capital Trust Company of Delaware, The Next Step: Today’s Most Important Issues for Professional Advisors
Las Vegas, Nevada

"Transitioning From a Wirehouse to Independence"
Raymond James Investment Advisors Division, Portfolio Manager's Conference
St. Petersburg, Florida

"Are You Ready for a Compliance Crackdown?"
American Institute of Certified Public Accountants (AICPA), Personal Financial Planning Conference
Fajardo, Puerto Rico

"Ethics, Compliance, and Liability Issues in the Securities Industry"
Investment Management Consultants Association, Consultants Conference
New York, New York  | Atlanta, Georgia

"RIA Registration and Subsequent Compliance and Liability"
NY State Society of CPAs, Personal Financial Planning Committee Meeting
New York, New York
 

"Proactive Strategies for Managing Investment Adviser Compliance and Liability"
Fidelity Investments, BestPractices 2004
Atlanta, Georgia  | San Francisco, California  | Dallas, Texas  | New York, New York  | Boston, Massachusetts  | Chicago, Illinois  | Denver, Colorado  | Los Angeles, California  | Seattle, Washington  | Phoenix, Arizona

"Form ADV: The Centerpiece of Investment Adviser Disclosure, Compliance, and Liability"
North American Securities Administrators Association (NASAA), 2004 Investment Adviser Examiner Workshop, Training Faculty
Boston, Massachusetts

"Proactive Strategies for Managing Investment Adviser Compliance and Liability"
NY State Society of CPAs, Personal Financial Planning Conference
New York, New York

"Achieving Success and Facing Potential Obstacles"
Royal Alliance, National Education Conference
Orlando, Florida

"Proactive Strategies for Managing Investment Adviser Compliance and Liability"
Fidelity Investments, Executive Forum
Scottsdale, Arizona

"What Hat(s) Do You Wear: Managing Your Office to Better Provide Financial Services"
The Country Companies
St. Louis, Missouri
 

"The Immediate Need for Independent Advisers to Implement an Effective Compliance Solution""
Fidelity Investments
Denver, Colorado  | Pittsburgh, Pennsylvania

"The Revised Custody Rules in the Context of an Effective Compliance Solution"
New England Broker-Dealer Investment Adviser Association
Boston, Massachusetts

"The Immediate Need for Independent Advisers to Implement an Effective Compliance Solution"
Fidelity Investments, BestPracticesSM 2003
New York, New York  | San Francisco, California  | Dallas, Texas  | Los Angeles, California  | Chicago, Illinois  | Boston, Massachusetts
 
"The Immediate Need for Independent Advisers to Implement an Effective Compliance Solution"
Massachusetts Investment Advisors Association
Boston, Massachusetts

"What Hat(s) Do You Wear: Your Roles and Obligations in the Split Regulatory Scheme of the Financial Services Industry"
Society of Financial Service Professionals (SFSP), 2003 Financial Service Forum
Honolulu, Hawaii
 

"From the Thruway to the Turnpike: Ramping Up for the New Registration Structure for Investment Advisers in New York & New Jersey"
New Jersey Financial Planning Association, Annual Fall Forum
New Brunswick, New Jersey

"The Quintessential and Evolving Form ADV" and "Intricacies of Client Agreements Under the Investment Advisers Act of 1940"
North American Securities Administrators Association (NASAA), 2002 Investment Adviser Examiner Workshop
Minneapolis, Minnesota
 
"Recent Regulatory Developments & Proactive Initiatives"
Financial Planning Association of New Jersey
Woodbridge, New Jersey

"Legal Aspects of Utilizing Select Advisors"
Select Advisors, The Active Managers Network, 2002 Annual Conference
Palm Springs, California
 

"Self-Regulatory Organizations: Effectively Representing Clients During Examinations, Interviews, Hearing & Appeals"
The Association of the Bar of the City of New York
New York City, New York

"Developing a Financial Advisory Practice"
Lorman Educational Services
Phoenix, Arizona

"Managing Compliance Requirements"
National Association of Personal Financial Advisors (NAPFA), Boston Chapter
Boston Massachusetts

"Adding Personal Financial Planning to Your Practice"
New Jersey Society of CPAs, Financial Planning Symposium
Iselin, New Jersey

"Managing Compliance Requirements"
Fidelity Investments Institutional Brokerage Group
Boston, Massachusetts | Old Greenwich, Connecticut
 

"Through the Looking Glass. Making the Decision to Become a Financial Planner"
Society of Financial Service Professionals (SFSP), National Video Teleconference
Washington, DC

"Protecting Your Advisory Practice"
Fidelity Investments Institutional Brokerage Group
The Desmond, Malvern, Pennsylvania

"Make Tracks or Stay on Track? Understanding the SEC's Consumer Alert on Variable Annuities"
Society of Financial Service Professionals
Audio Conference

"Building the Investment Advisory Practice"
Investment Managers National Conference
Ft. Lauderdale, Florida

"Protecting Your Practice"
Royal Alliance, National Sales Conference
Paradise Island, Bahamas

"Y2K & the Advisor's Fiduciary Obligation"
Financial Planning Association of New Jersey
Edison, New Jersey

"Protecting the Investment Advisory Practice"
Institute of Certified Financial Planners, New York City Chapter
New York, New York

"Preparation for Y2K: Dispelling Myths, Taking Precautions"
Stark & Stark Business & Litigation Departments
Princeton, New Jersey