A word from our event partner
Warren Shaw Head of Mortgage Broker Distribution Westpac Group
Awards In Order of Presentation
2024 Sponsors
Advisor of the Year – ESG/Responsible Investing
“Our CEO, Jenny Johnson, has a vision to make us the partner of choice for our clients, and to pull together the best platform for our clients to offer the best solutions to them,” Ball said. “We’re definitely getting there. We’re seeing that people are interested in what we have to offer, and it’s exciting what we can put together for our clients.” InvestmentNews hosted the inaugural Oscars-styled InvestmentNews Awards, which featured a pre-show cocktail reception and a live band playing theme songs from Hollywood’s greatest American classic films. Advisors also strutted across a red carpet, taking their photos with stylish props on top of a 360-degree rotating camera. InvestmentNews’ Excellence Awardees flew in from across the country to toast each other’s talents and achievements, recognizing the winners across the 22 categories. Once the ceremony started, awards were presented in true Oscars fashion, with video footage featuring Excellence Awardees and their firms paying homage to several beloved Hollywood films, from Top Gun to Men in Black and Star Wars. IntegriVest Wealth Advisors’ Sibyl Slade called her victory in The Commonwealth Financial Network Award for Excellence in Philanthropy and Community Service category “amazing and rewarding.” “It’s amazing after nine years of sweat and tears in this industry being recognized tonight by InvestmentNews,” said Slade. “One of the things that set me apart I believe is really helping the small businesses in our community make sure that they have all the resources that are available to the larger companies.” “I hope the other advisors will see the value in helping all small businesses and not just larger firms,” she added. “All businesses are part of our community and our ecosystem. As long as we can help them to bolster their finances and their assets, then all ships rise together.” Meanwhile, Raymond James, who sponsored the gala’s photo booth, took home the Broker-Dealer/Custodian of the Year award. Shannon Reid, president of Raymond James’ independent contractor division, said the firm is focused on the full-service support that they offer their financial advisors to support their clients. “We’re all trying to support our advisors and help clients reach their own financial security, which is the most important thing,” Reid said. When asked what her thoughts were of the evening, she responded: “It’s been great. It’s a wonderful location, it’s New York City. It’s a fun time.” Lifetime Achievement award-winner Bill Crager, CEO of Envestnet, was not in house to accept the award, but his colleague, Rich Aneser, chief strategy officer at the firm, accepted it on his behalf. “It’s a celebration of the value we provide to our advisors and to the clients that we serve,” Aneser said. “Bill has been building something great for the industry. He cares deeply about it and the advice that we all can deliver. It’s a meaningful award that Bill has won and important for all of Envestnet for the work we do to support our advisors and our clients.” Additionally, Prudential snagged the Employer of Choice award. Patrick Hynes, president of sales at the firm, who’s been at Prudential for 28 years, remarked, “If I didn’t believe we were the employer of choice, I wouldn't be in the organization that long, so it’s pretty exciting to get that honor.” “Do the right thing and concentrate on culture,” Hynes added as his piece of advice for employers. “If you do that, people want to come work for you.” Benjamin Ola Akande of Stifel Financial acknowledged the efforts of his entire firm for his victory in the DEI Trailblazer of the Year category. He also admitted that the victory came as a total – and welcome – surprise to him. “I wasn’t expecting this award at all,” said Ola Akande. “In fact, I had discouraged my family members from coming with me. I was just honored to be a finalist and said, ‘Let’s keep it quiet.’ And then we go there and then having my name called as the Trailblazer of the Year. Wow! I’m elated!” Jim Wessels, partner and financial advisor at Vision Financial Group, who was awarded Regional Advisor of the Year for the Mid-West region, credited his win to his 70-plus colleagues who helped “build a lot of the infrastructure.” “There’s a lot of good people here. There’s an osmosis effect of being surrounded by the top of the top, and I certainly felt a lot of that this evening,” Wessels said. Finally, CEO of the Year award-winner Marianne Caswell highlighted her excitement of the event. “What a wonderful event we’ve had tonight. It’s been fun and exciting, and it’s really great to recognize all of the wonderful people in our industry,” said Caswell, CEO of Park Avenue Securities. “What we’ve done is focus on what’s important for our advisors and for our clients. It’s all about making a difference for them so that our advisors can go out and inspire well-being with their clients and our clients can live out their financial dreams,” said Caswell.
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Nominations The call for nominations was opened to all wealth management professionals and organizations – including financial advisors, advisory brokerages, BDMs, fund providers and service providers – from across USA. Nominations are open from December 18, 2023 to March 1, 2024 11:59 pm EST.
Excellence Awardees were officially announced in April 2024 on the event website and promoted in InvestmentNews magazine and online channels. Promo packages to leverage your achievement across your marketing and promotions will be available for purchase.
Judging All submissions from our excellence awardees were forwarded to the independent judging panel comprising industry leaders and senior representatives. The panel assessed and voted for their winners in each category according to the relevant category criteria. Voting commenced April 2024 and their judgment were impartial, balanced, incisive and fair. Any judge with a conflict of interest in a category will recuse themselves from judging that category.
Winners Using a simple points system to aggregate judges’ votes, the excellence awardee with the top score in a category will be named the winner. Winners will be announced at the awards show on June 20, 2024 and on the website. They will be promoted in InvestmentNews. Promo packages to leverage your achievement across your marketing and promotions will be available for purchase.
Find out more
Advisor of the Year (Regional - Northeast)
DEI Trailblazer of the Year
WealthTech Provider of the Year
Employer of Choice
Most Innovative Use of WealthTech
The Mortgage Advice Bureau UK Award for Mainstream Lender of the Year
RIA Firm of the Year
DEI Organizational Effort of the Year
NextGen Advisor of the Year
Lifetime Achievement Award
Advisor of the Year (Regional - Southeast)
A night to remember at inaugural InvestmentNews Awards gala
Australians trust and value the independent service mortgage brokers provide. We support and celebrate this as we come together to recognise an industry of hard-working and high-achieving professionals at this year’s AMAs. Congratulations to all the excellence awardees – we applaud your achievements and wish you all the very best of luck.
Wholesaler of the Year
RIA Team of the Year (10 Advisors or More)
The NatWest Award for Best Overall Broker in Scotland
Asset Manager of the Year
The Mortgage Lender Award for Specialist Broker of the Year
Advisor of the Year (Regional - Southwest)
CEO of the Year
Broker-Dealer/Custodian of the Year
The Commonwealth Financial Network Award for Excellence in Philanthropy and Community Service
Advisor of the Year – Alternative Investments
Research The InvestmentNews Awards team conducted research and drew on knowledge and information gained through InvestmentNews to support and supplement nominations received and to ensure that no one deserving of recognition is missed. Excellence awardees were determined from both pools of information.
The event will see the best and brightest of Canada’s advisors, brokers, brokerages, lenders, BDMs, and service providers recognized for their exceptional achievements throughout the past 12 months. The Canadian Mortgage Awards team would like to thank all those who took the time to submit nominations, and extend our gratitude to the judges who diligently reviewed the files to select the prestigious list of final winners. Winners and Excellence Awardees will be honoured at the live event, a fitting occasion for key members of the mortgage profession to celebrate the achievements of their friends, colleagues, and peers throughout a remarkable year. Be sure to reserve a table and join us for what’s sure to be an unmissable evening bringing together mortgage professionals from across Canada to celebrate, connect, and raise a glass in honour of the industry’s outstanding work over the last 12 months. Visit https://canadianmortgageawards.com/ or contact events@keymedia.com for table reservations or sponsorship opportunities. Canadian Mortgage Professional and Key Media congratulate each of this year’s Excellence Awardees, listed in the following pages.
It was a sweet, summer night to remember. On June 20, over 400 advisors and industry professionals gathered under one roof at 583 Park Avenue to commemorate the best and brightest of the wealth management industry. The glitzy awards gala celebrated its first year in style, with some of the industry’s leading names in hot competition for the top prizes, which included Regional Advisor of the Year, WealthTech Provider of the Year, RIA Firm of the Year, and the Lifetime Achievement award. Jennifer Ball, chief marketing officer, and Ann Doyle, head of US products, both at Franklin Templeton, one of the supporting organizations of the evening, accepted the Asset Manager of the Year award on behalf of the firm.
Awards
National Broker Network of the Year
RIA Team of the Year (Under 10 Advisors)
Advisor of the Year (Regional - West)
Lifetime Achievement in the Wealth Management Industry
Advisor of the Year (Regional - Mid-West)
Lindsey Lewis
Karin Levi
Charley Kersten
Janette Caballero Jovic
Toni Gonzales
Sheryl Hickerson
Dikshita Awotarowa
Thank you to our esteemed judges for lending their time and expertise to help recognize and celebrate excellence in the financial advise profession.
2024 Judging Panel
Manhattan Motorcars Inc. is an award-winning New and Pre-Owned Authorized Retailer for Porsche, Rolls-Royce, Bentley, Lamborghini, Koenigsegg, Bugatti, Rimac, Karma, & Lotus located in New York City, since 1995. Our certified Brand Ambassadors are dedicated to the highest level of sales, service, and customer experience.ether to bring the best to you and your clients. through financial advisers. Website: www.bentleymanhattan.com/
Dikshita Awotarowa Co-Founder and President Women in Finance and Investment Network (WIFIN)
Sheryl Hickerson Founder & Chief Engagement Officer Females & Finance
Toni Gonzales Divisional Vice President Ameritas
Janette Caballero Jovic Chief Marketing Officer Rockefeller Capital Management
Karin Levi Global Head of Financial Services Marketing LinkedIn
Charley Kersten Head of Marketing 55ip
James Burton Global Managing Editor - Wealth, HR, Safety
In a year marked by unprecedented challenges, we had the chance to reflect on a year of extraordinary trials and triumphs. Advisors faced an environment of intense volatility—with inflation soaring, interest rates shifting, and M&A activity reaching unprecedented levels. The evolving fiduciary standards from the Department of Labor further intensified the landscape. In the face of these challenges, you rose to the occasion. The inaugural InvestmentNews Awards last June was a testament to resilience and excellence in our industry. It highlighted the relentless pursuit of innovation and commitment that define our field. Your achievements in this tumultuous year are nothing short of inspiring, proving that even in the toughest times, true leadership and dedication shine through. Here’s to the trailblazers who turn obstacles into opportunities and continue to lead with unwavering passion. Thank you for joining us in this celebration and for your continued dedication and excellence in the field.
A word from Key Media
Agenda
Attire: Formal (tuxedo/business suit/long gown/formal cocktail dress)
Post–Awards Celebration
6:00 - 7:30 pm
Cocktail Reception
7:30 – 9:30 pm
Awards Ceremony & Gala Dinner
9:30 pm onwards
Menu
DINNER MENU Homemade Soft Dinner Roll Whipped Butter with Maldon Sea Salt and Assortment of Grissinis Pre-set APPETIZER Grilled Vegetable Terrine with Goat Cheese Mousse Crisp Capers, and Sundried Tomato Emulsion ENTREE Pan Seared Herb Crusted Filet Mignon Sauteed Spinach, Roasted Fingerling Potatoes and Orange Juniper Sauce VEGETARIAN/VEGAN/GLUTEN FREE Crispy Butternut Squash Arancini with Portobello Mushrooms, Baby Arugula and Spicy Pomodoro Sauce DESSERT Strawberry Shortcake Grand Marnier Macerated Strawberries with Vanilla Scented Whipped Cream, Raspberry Coulis, Seasonal Berries Served with 583 Park Avenue Macaroons and Chocolate Crispy Bites FRESHLY BREWED COFFEE Harney and Son's Teas, English Breakfast, Green Tea, Peppermint & Chamomile served with arrangement of cream and sweeteners
Hosted By Kerry Barrett
Entertainment
Kerry Barrett is an Emmy-Winning anchor, host and on-camera expert who turned a paralyzing fear of public speaking into a multi-decade career in broadcast journalism for internationally renowned media institutions like NBC, ABC and Fox TV. Now she helps business owners, executives and team’s breakthrough mindset issues and cultivate their on-camera delivery and persona. Kerry Barrett has become known for overcoming a massive and debilitating fear of public speaking and using that experience to help clients breakthrough mindset issues and cultivate their video X-factor, or what she calls Video IQ (VIQ). Kerry Barrett works as a motivational speaker helping people overcome fear. I teach workshops and seminars on the art of public speaking and speaking on camera to help grow their business, brand and confidence. I have personal experience as a mom, military wife, someone who has struggled with multiple miscarriage and a global traveller. Kerry Barrett has hosted countless speaking engagements, charity auctions, public events, and fundraisers.
Emmy-award winning journalist turned Media Trainer & PR Coach | Virtual Communication Coach | Speaking & Presentation Training | Speaker
Kerry Barrett
The Quartet is an established String Quartet for weddings, concerts and events based in Scotland’s Central Belt. Founded by Morag Swietlicki in 2005 the group has won multiple awards including The Confetti Awards 2024 Best Wedding Ceremony Entertainer and The Prestige awards – Best Wedding Entertainment of the Year 2023/24 (inc Gold Multiple Awards Trophy). All The Quartet players are experienced conservatory trained musicians currently working in the UK. The players work with world-class orchestras such as the R.S.N.O., B.B.C.S.S.O., The Scottish Chamber Orchestra, The Orchestra of Scottish Opera, The Scottish Ballet Orchestra & the Ulster Orchestra. We are proud to say that we are one of the Scottish String Quartets who regularly perform for the famous Fever Candlelight Concerts across Scotland.
Band
The Quartet
Music By The Quartet Band
ENTERTAINMENT
JUDGING PANEL
AWARD CATEGORIES
SPONSORS
MENU
AGENDA
Hosted By The Quartet Band
Hayley McQueen is a leading sports broadcaster on Sky Sports. Hayley has worked in the industry for 20 years first as a journalist then as an RTS award winning producer before venturing on screen. Hayley is currently a lead anchor on Sky Sports News breaking the biggest stories from the world of sport, she is also host of a daily talk show where she is joined by experts from the game. Hayley has also worked on many major tournaments from the Champions League, World Cup, European Championships & Olympics games. Hayley is also one third of the award winning podcast The Offside Rule, an all female football podcast which has been running successfully for 10 years. Hayley is also an experienced event & awards host & worked for The FA, Samsung, PayPal, KPMG, Barclays, Royal Mail, Honda, UEFA, ICC, Castrol, Scania to name just a few.
TV Sports Presenter & Reporter, RTS Award-Winning Producer & Leading Event Host
JUNE 20 2024 | 583 Park Avenue, New York
National Brokerage of the Year
GALLERY
METHODOLOGY
Commemorative Guide
Excellence Awardees (Finalists) Once all nominations were considered and research was completed, Excellence Awardees were selected in each category (except the Lifetime Achievement category) and notified via e-mail or phonee. All excellence awardees were then invited to complete a detailed submission, which is an opportunity to address the category criteria in more detail. All submissions will remain confidential unless otherwise marked and will not be shared with any third parties other than the judges.
National Brokerage of The Year
Designer Sponsor
Award Sponsor
Education Partner
Founded in 1889, Lanvin is the oldest French fashion house still in operation today. Four years later, it is the consecration. Jeanne Lanvin gets her own storefront on the prestigious rue du Faubourg Saint-Honoré and sets up the fashion house that bears her name. Success was immediate and Parisian women flocked to “Lanvin (Mlle Jeanne) Modes”. The maison’s rich couture heritage continues to inspire incredible savoir-faire and a timeless, enduring style. Lanvin proposes both women’s and men’s prêtà-porter and accessories in pursuit of what Jeanne Lanvin called “le chic ultime”. Website: us.lanvin.com
Cambridge Investment Group, Inc. is a privately-controlled financial solutions firm focused on serving independent financial advisors and their investing clients. Cambridge is also a national corporation with a registered investment adviser as well as an industry leading independent broker-dealer. Cambridge offers a broad range of choices regarding advisor-focused financial solutions: succession and acquisition financial lending plus business technology expertise; advice solutions for both asset management and financial planning with portfolio overlay management; platform choices comprised of a corporate RIA or independent RIA for dual registration or fee only business models; a full spectrum of middle office services designed for solo/ensembles, branches, and super branches; as well as outsource services centered on independent advisor firms, including business consulting, client marketing, and office assistance, as well as insurance services. Cambridge’s national reach includes: Cambridge Investment Research Advisors, Inc. – a large corporate RIA; and Cambridge Investment Research, Inc. – an independent broker-dealer, member FINRA/SIPC, that is among the largest privately-controlled independent broker-dealers in the country. Overall, Cambridge supports over 3,000 independent financial professionals nationwide who serve their thousands of clients as registered representatives and investment advisor representatives, choosing to use either Cambridge’s firm Registered Investment Adviser or their own. Website: www.joincambridge.com
Social Media Sponsor
Raymond James Financial, Inc. (NYSE: RJF) is a leading diversified financial services company providing private client group, capital markets, asset management, banking and other services to individuals, corporations, and municipalities. The company has approximately 8,700 financial advisors. Total client assets are $1.37 trillion. Public since 1983, the firm is listed on the New York Stock Exchange under the symbol RJF. Website: www.raymondjames.com
Photobooth Sponsor
Website: themortgagelender.com
Supporting Organizations
Lynne Marlor
Sonya Lutter
Lindsey Lewis Senior Director and Chair for Women in Financial Services The American College of Financial Services
Sonya Lutter Director of Financial Health and Wellness Texas Tech University School of Financial Planning
Lynne Marlor Co-Founder Women in Digital Assets Forum
Envestnet is helping to lead the growth of wealth managers and transforming the way financial advice is delivered through its ecosystem of connected technology, advanced insights, and comprehensive solutions – backed by industry-leading service and support. Serving the wealth management industry for 25 years with more than $6 trillion in platform assets—more than 109,000 advisors, 17 of the 20 largest U.S. banks, 48 of the 50 largest wealth management and brokerage firms, more than 500 of the largest RIAs — thousands of companies, depend on Envestnet technology and services to help drive business growth and productivity, and better outcomes for their clients. For a deeper dive into how Envestnet is shaping the future of financial advice, visit www.envestnet.com. Stay connected with us for the latest updates and insights on LinkedIn and X (@ENVintel). Website: www.envestnet.com
Nina O'Neal
Associate Sponsor
Franklin Resources is among the world’s largest asset managers with offices in major financial markets, serving clients around the world. Operating as Franklin Templeton, the company’s platform brings together a wide range of investment managers that cover all major asset classes, geographies, and styles. Website: www.franklintempleton.com
Morgan Stanley (NYSE: MS) is a leading global financial services firm providing a wide range of investment banking, securities, wealth management and investment management services. With offices in 42 countries, the firm’s employees serve clients worldwide including corporations, governments, institutions and individuals. For further information about Morgan Stanley. Website: www.morganstanley.com
Osaic is one of the nation’s largest providers of wealth management solutions and home to a diverse, service-driven community of professionals who believe that planning for the future should be transformative, not transactional. For more information, visit osaic.com Website: osaic.com
Through local leadership and centers of excellence, Prudential Advisors supports the growth and success of the businesses of more than 2,700 financial professionals, fee-based financial planners and financial advisors across the country. This enables financial professionals to deliver holistic financial advice and solutions by aligning client needs with industry-leading resources and expertise across investments, risk management and lifetime income. Website: advisors.prudential.com
Thrivent is a Fortune 500 diversified financial services organization offering advice, investments, insurance, banking and generosity programs and solutions to millions of clients nationwide. Founded more than 120 years ago, Thrivent helps people use their money as a tool to lead a life of higher purpose. In addition to providing purpose-based financial advice, Thrivent supports and amplifies clients’ generosity efforts. This unique approach to generosity has created a ripple of positive impact in local communities – something unique among Fortune 500 companies. In 2023, Thrivent and its clients raised and donated more than $300M through Thrivent’s generosity programs while volunteering 14M hours in the communities where they live and work. Website: www.thrivent.com
Calamos Investments is a diversified global investment firm offering innovative investment strategies, including alternatives, multi-asset, convertible, fixed income, private credit, equity, and sustainable equity. With more than $37.1 billion in AUM, including more than $16.1 billion in liquid alternatives as of March 31, 2024, the firm offers strategies through ETFs, separately managed portfolios, mutual funds, closed-end funds, interval funds, and UCITS funds. Clients include financial advisors, wealth management platforms, pension funds & endowments, foundations, and individuals, globally. Headquartered in the Chicago metropolitan area, the firm also has offices in New York, San Francisco, Milwaukee, Portland (Oregon), and the Miami area. For more information, visit us on LinkedIn, on Twitter (@Calamos), on Instagram (@calamos_investments), or at www.calamos.com Website: www.calamos.com
The American College of Financial Services remains the best investment for aspiring professionals, enterprise leaders, and organizations, delivering applied financial knowledge and education, promoting lifelong learning, and advocating for ethical standards for the benefit of society. It’s a mission rooted in history and focused on the profession’s future. Expand your opportunities with us. Website: www.theamericancollege.edu
Kristi Martin Rodriguez
Penny Phillips
Nina O’Neal
Kara Valentine
Brian Thompson
Nina O’Neal Founder Female Advisor Network
Penny Phillips Co-Founder & President Journey Strategic Wealth
Kristi Martin Rodriguez Senior Vice President Nationwide Retirement Institute®
Brian Thompson Clinical Professor of Economics, Director of the Economics Undergraduate Program, Richard H. Driehaus College of Business DePaul University
Kara Valentine Managing Director, HNW and RIA Strategy The Rudin Group
Website: https://riverbridge.com/
Commonwealth Financial Network®, a national firm dedicated to providing advisor-focused business solutions, recognizes the strength in its community of women advisors and is committed to creating a space where all feel supported, valued, and empowered, as well as providing the tools to elevate their success. Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial advisors nationwide. Privately held since 1979, the firm has headquarters in Waltham, Massachusetts, and San Diego, California. Website: https://www.commonwealth.com/?utm_source=investment_news
featured interview
VIDEO HIGHLIGHT
Featured Interview
Check out our gallery for some of our favourite memories as we celebrated the best and the brightest of the Canada’s wealth industry.
Video Highlight
FEATURED INTERVIEW
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This award recognizes the advisor who has displayed excellence over the past 12 months in alternative solutions, namely investments in asset classes other than stocks, bonds and cash, featuring low correlations to traditional asset classes. Alternative solutions may include equity or fixed income mutual funds using alternative strategies, real estate, infrastructure, commodities, hedge funds, private equity and structured products. When judging this category, the following criteria will be considered: • Knowledge, understanding and communication of alternative investment opportunities and strategies for their clients’ portfolios • Client retention and relationship strategies, and how it sets the advisor apart from competition within alternative investments • Examples of ways that the advisor is educating the industry/clientele on alternative strategies • Exemplary business development strategies to prospect and retain clients in innovative ways • Approach to regulatory compliance
Excellence Awardees
Aaron Hodari Schechter Investment Advisors
Chris Vizzi South Coast Investment Advisors, LLC
David Copeland Strategic Wealth Partners
Joseph Spada Summit Financial
Marti Marache Harbor Asset Private Wealth
Michaelangelo Dooley NewEdge Wealth
Sandra Cho Pointwealth Capital Management
View profile
Chris Vizzi
South Coast Investment Advisors, LLC
Winner
Aaron Hodari, Schechter Investment Advisors
David Copeland, Strategic Wealth Partners
Joseph Spada, Summit Financial
Marti Marache, Harbor Asset Private Wealth
Michaelangelo Dooley, NewEdge Wealth
Sandra Cho, Pointwealth Capital Management
Haroon Royan B2B Bank
Greg Delahunty AVEO - CMLS Financial
Steve Leishman Bridgewater Bank
Candace Wood Community Trust
Trupti Patel CWB Optimum Mortgage
Matt Sheriff CWB Optimum Mortgage
Lisa Alentejano Equitable Bank
Roberto Blanco Equitable Bank
Natasha Alli Excalibur, First National Financial LP
Sandy Pandolfi Haventree Bank
Chris Hoeppner HomeEquity Bank
Cam DelliPizzi MCAN
Nitin Grover NPX
Bud Sturmak Perigon Wealth Management
James Brewer Envision Wealth Planning
Jason Britton Reflection Asset Management
Jeffrey Kingzett Ameriprise Financial
Nick Cantrell Green Future Wealth Management
Peggy Haslach Planning For Good
Peter Krull Earth Equity Advisors
This award recognizes the advisor who has displayed excellence over the last 12 months in socially responsible investments. When judging this category, the following criteria will be considered: • Knowledge, understanding and communication of ESG/responsible investment opportunities and strategies for their clients’ portfolios • Client retention and relationship strategies, and how it sets the advisor apart from competition within SRI • Examples of ways that advisor is educating the industry/clientele on SRI strategies
Earth Equity Advisors
Peter Krull
Bud Sturmak, Perigon Wealth Management
James Brewer, Envision Wealth Planning
Jason Britton, Reflection Asset Management
Jeffrey Kingzett, Ameriprise Financial
Nick Cantrell, Green Future Wealth Management
Peggy Haslach, Planning For Good
Jim Wessels Vision Financial Group
MaryAnn Pietromonaco Morgan Stanley
Sam Huszczo SGH Wealth Management
Stoy Hall Black Mammoth
Tim Rueter Foundation Wealth Strategies
Travis Sholin Keystone Financial Services
LV= GI have a brand new offering with the same LV= heart. They provide a range of General Insurance products for intermediaries to sell to their clients, because they know you’ll always have your clients back, so they’ll always have yours. At LV= GI they believe outstanding people deliver outstanding service and that powers performance for you and your business. But it’s their combination of people and technical capability that delivers better results for everyone. One community, working effortlessly together to bring the best to you and your clients. Website: www.lvgi-intermediaries.co.uk/
Sarah Watts, Head of Intermediary, LV=GI
“We’re so proud to sponsor the Business Leader of the Year award and to also be supporting the Scottish Mortgage and Summit Awards. We’re excited to be attending this year and truly believe it’s a great platform to share and celebrate all the hard work and success across the industry.”
Silver Sponsor
Vision Financial Group
Jim Wessels
MaryAnn Pietromonaco, Morgan Stanley
Sam Huszczo, SGH Wealth Management
Stoy Hall, Black Mammoth
Tim Rueter, Ameriprise Financial
Travis Sholin, Keystone Financial Services
This award is one of the highest accolades offered to an individual in the wealth management and financial planning industry. This award recognizes the most outstanding advisors in the main regions of the U.S. from an advisory firm or team, regardless of business size and model. When judging this category, the following criteria will be considered: • Exemplary business development strategies to prospect and retain clients in innovative ways. • Knowledge, understanding, and communication of investment opportunities and strategies for their client’s portfolios • Client retention and relationship strategies, and how it set the advisor apart from the competition with a unique value proposition • Examples of ways that the advisor is educating the industry/clientele on investment strategies • Demonstrations of mentorship and/or other efforts such as pro-bono work, servicing underserved communities, community work etc. • Approach to regulatory compliance
Christina Nash Knox Grove Financial, LLC
Gregory Guenther GRANTvest Financial Group
Lawrence Sprung Mitlin Financial Inc®
Rocco Carriero Rocco A. Carriero Wealth Partners Ameriprise Financial
Zach Gering Wealthspire Advisors
Zack Hubbard Greenspring Advisors
Knox Grove Financial, LLC
Christina Nash
Gregory Guenther, GRANTvest Financial Group
Lawrence Sprung, Mitlin Financial Inc®
Rocco Carriero, Rocco A. Carriero Wealth Partners Ameriprise Financial
Zach Gering, Wealthspire Advisors
Zack Hubbard, Greenspring Advisors
Divam Mehta Mehta Financial Group, LLC
James Wolf Merrill Lynch Wealth Management
Kirk Klein Koss Olinger
Nina O'Neal AIM Advisors
Stanley Funches INTELUS Wealth Management
Tom West Signature Estate & Investment Advisors
CARA Mortgage Services stands as a premier mortgage and protection broker in the United Kingdom. Our commitment to excellence has been recognised with the prestigious title of Best Broker in Scotland in both 2019 and 2021, affirming our dedication to your financial well-being. Embarking on the journey to homeownership can be a complex endeavor, but with CARA Mortgage Services by your side, you’ll experience unwavering support and guidance at every step of the way. Our extensive network grants us access to a vast array of mortgage products, totaling over 12,000 options from more than 90 reputable lenders. Whether you’re a first-time buyer eager to step into homeownership, considering a strategic remortgage, or venturing into the buy-to-let market, rest assured that we have the expertise to secure the right deal tailored to your unique circumstances and needs. With CARA Mortgage Services, your financial goals are in capable hands. Website: www.carams.co.uk/
“Once again CARA Mortgages are delighted to be a sponsor of the Scottish Mortgage Awards in 2024. Having supported the Awards since its inception in March 2019, we believe it is such a high-profile event in the calendar for the Scottish Mortgage Intermediary Market. Having the opportunity to recognise and celebrate the best within our industry is so important but more significantly truly inspiring.”
Awards Sponsor
Mehta Financial Group, LLC
Divam Mehta
James Wolf, Merrill Lynch Wealth Management
Kirk Klein, Koss Olinger
Nina O’Neal, AIM Advisors
Stanley Funches, INTELUS Wealth Management
Tom West, Signature Estate & Investment Advisors
Jenna Biancavilla 17 Capital Partners, LLC DBA Pearl Capital Management
Jimmy Williams Compass Capital Management
John Loyd The Wealth Planner™
Keary Castleberry Snowden Lane Partners
Matthew Walker Fortitude Family Office
Stephanie Tsang North Star Resource Group
At Canada Life UK, we’re helping our more than 3.6 million retirement, investment and protection customers make more of life. We do this by building stronger, more secure and inclusive financial futures. We’ve been operating in the UK since 1903, and today we’re part of Great-West Lifeco, a global insurance, wealth and asset management group with over 38 million customers and £1.5 trillion of assets under administration. We’re proud of the work we do and the impact we have. In the UK, we’re number one in the Group Protection market, and we’re also a leading provider of investment bonds and annuities. We have c.450,000 pension annuities in force and manage £36 billion in equities, fixed income and property, as well as a comprehensive multi-asset range through our investments division. Our products are sold to individuals and corporate entities located in the UK through financial advisers. Website: www.canadalife.co.uk/
North Star Resource Group
Stephanie Tsang
Jenna Biancavilla, 17 Capital Partners, LLC DBA Pearl Capital Management
Jimmy Williams, Compass Capital Management
John Loyd, The Wealth Planner™
Keary Castleberry, Snowden Lane Partners
Matthew Walker, Fortitude Family Office
Chris Giovinazzo Accelerate Retirement
Cody Klein SageView Advisory Group
Dave Alison First Mortgage
Jourdan Sy Growth Partners
Rick Blanke Blanke Schein Wealth Management
Robert Patton SageView Advisory Group
Wanda Delgado Insight Financial Advisors
Making things easier for you Skipton Building Society do their job so you can enjoy doing yours. They believe you should spend more time doing the work you love and less time on the admin. So whether it’s their speedy turnaround times on simple cases, or the real people having real conversations on more complex cases, you’ll get the help you need to make the job feel faster, easier, better. Plus, get access to practical support from your local BDM and a variety of online tools around the clock. That’s Mortgages. Made Easier Website: www.skipton-intermediaries.co.uk/
“We’re delighted to be one of the sponsors for this year’s event. The support we receive from Brokers in Scotland is outstanding and being able to give something back to them is so important to us. We hope to continue to support the Scottish markets with innovative lending solutions and fantastic service for years to come.”
Insight Financial Advisors
Wanda Delgado
Chris Giovinazzo, Accelerate Retirement
Cody Klein, SageView Advisory Group
Dave Alison, Alison Wealth Management
Jourdan Sy, Growth Partners
Rick Blanke, Blanke Schein Wealth Management
Robert Patton, SageView Advisory Group
American Funds
BlackRock
Dimensional Fund Advisors
Fidelity
Franklin Templeton
Nuveen Investments
PIMCO
Schwab Asset Management
Barclays prides itself on the quality of its people and how quickly they adapted to overcome a host of challenges when supporting intermediary partners and a variety of borrowers. As a lender, it has certainly not stood still over the ever changing climate. Every decision we make is geared towards improving lending policy and criteria, providing reliable service levels and facilitating a more efficient mortgage journey - all whilst maintaining a highly competitive product range. At the heart of these positive changes are Barclays’ people, and the bank is delighted to be involved in events such as the Mortgage Introducer Awards which recognise talented and deserving individuals throughout the mortgage market. Website: www.barclays.co.uk/
“The 2024 Scottish Mortgage Awards represents a key date in the mortgage calendar and provides the perfect platform to celebrate innovation, excellence and expertise from firms and individuals across the Scottish intermediary market. Scotland continues to be an important and growing market for Barclays and we are proud to sponsor such a prestigious event and look forward to what promises to be a fantastic evening.”
Select Sector SPDRs ETFs
T. Rowe Price
Vanguard
This award recognizes the outstanding asset management firm which consistently delivers superior advisor service while pushing the boundaries with innovation and industry best practices over the past 12 months. When judging this category, the following criteria will be considered: • Effective client relationship management strategies and stakeholder engagement • Demonstration of innovative strategies & ability to educate advisors on the value to their clients of these products • Administration or technology solutions where strategic thinking, collaboration and excellence have made a key impact with advisors • Sustained effort and commitment to the advisor channel • Corporate social responsibility, diversity and inclusion, and responsible investment (SRI) initiatives are all considered
Cambridge Investment Research, Inc.
Commonwealth Financial Network
Goldman Sachs
LPL Financial LLC
Northwestern Mutual
Park Avenue Securities
Raymond James Financial Services
Sigma Financial and Parkland Securities
Transamerica Financial Advisors
This award recognizes the most outstanding Broker-Dealer/Custodian that has displayed excellence over the last 12 months. When judging this category, the following criteria will be considered: • Employee value proposition (business development support, marketing support, education, training, philanthropy) • Overall client service and relationship management • Unique business plan to attract and retain advisor talent (i.e., recruitment strategy) • Spirit of innovation with use of wealth technology and digital platforms/tools • Industry reputation
As one of the pioneers of buy-to-let, Paragon have been helping UK landlords to grow their businesses for more than 25 years. Working with our network of key intermediaries, we pride ourselves on our extensive mortgage range so that you can find the right mortgage for your clients, no matter how big or small their portfolio. Our in-depth knowledge of buy-to-let and the UK’s private rented sector means that we fully understand landlords’ requirements. From simple and straightforward propositions to specialist and complex cases, we have the experience and expertise to meet their needs. Website: www.paragonbank.co.uk/intermediary/mortgages/buy-to-let
“We are excited to see the Scottish Mortgage Summit return this year and for Paragon to play a part in the event is incredibly important. We are keen to continue to enhance our existing relationships with our broker partners and indeed embrace new relationships, this event supports our growth ambitions.”
Bronze Sponsor
Amy Webber Cambridge Investment Group
Dave Welling Mercer Advisors
George Nichols III The American College of Financial Services
Jamie Price Osaic Inc.
Kevin R. Keller, CAE Certified Financial Planner Board of Standards, Inc.; Certified Financial Planner Board of Standards Center for Financial Planning, Inc. (CFP Board)
Laura Prieskorn Jackson Financial Inc.
Matt Brown CAIS
Marianne Caswell Park Avenue Securities
Peter Mallouk Creative Planning
Rob Sechan NewEdge Wealth
Shirl Penney Dynasty Financial Partners
Terry Rasmussen Thrivent
Marianne Caswell
Amy Webber, Cambridge Investment Group
Dave Welling, Mercer Advisors
George Nichols III, The American College of Financial Services
Jamie Price, Osaic Inc.
Kevin R. Keller, Certified Financial Planner Board of Standards, Inc.; Certified Financial Planner Board of Standards Center for Financial Planning, Inc. (CFP Board)
Laura Prieskorn, Jackson Financial Inc.
This award goes to the CEO who has demonstrated exceptional leadership over the past 12 months, bringing their organization to a new level of growth and success and stimulating the wealth management industry. Nominees must be a CEO/President/equivalent of an advisory network, advisory firm, fund company, or service provider to advisors When judging this category, the following criteria will be considered: • CEO’s vision, leadership, engagement of workforce, commitment to the wealth management industry and their industry reputation. • CEO’s commitment to corporate values (e.g. ESG, innovation, customer care, knowledge and education) and positive impact on the industry as a whole. • Corporate growth, achievements, recognition and performance, reflective of their leadership
Matt Brown, CAIS
Peter Mallouk, Creative Planning
Rob Sechan, NewEdge Wealth
Shirl Penney, Dynasty Financial Partners
Terry Rasmussen, Thrivent
All(In)Vested
Carson Group
Certified Financial Planner Board of Standards, Inc.; Certified Financial Planner Board of Standards Center for Financial Planning, Inc. (CFP Board)
Equitable
Females & Finance
FS Investments
Northern Trust Asset Management
Prudential Advisors
SEIU 775 Benefits Group
The American College of Financial Services
Certified Financial Planner Board of Standards, Inc.; Certified Financial Planner
Board of Standards Center for Financial Planning, Inc. (CFP Board)
This award acknowledges the efforts and impact made by an organization in the field of diversity, equity and inclusion. The winning organization will have demonstrated how it has prioritized these initiatives and the resources they have allocated to it. Self-nominations are welcome as are nominations by employees, partners, peers, and clients are welcome. When judging this category, the following criteria will be considered: • Purposeful actions and accomplishments in DEI over the past 5 years in which the organization played a key role. • Evidence that the organization was involved in the promotion, influence and championing of DEI within the wealth management and financial planning industry • Other relevant accolades and involvements (charitable work, accomplishments outside the industry, leadership or professional associations, etc.)
Website: halifax-intermediaries.co.uk
Benjamin Ola Akande, PH.D Stifel Financial
Carina Diamond Stella Secunda
Christian Nwasike
Ethel J Davis VZD Capital Management, LLC
Kimberley J. Mendall Mondonedo The Mendall Financial Group
Maz Kamaruddin Guardian Life
Michelle Morris Morgan Stanley
Nena Chhoum
Ryan Philmon Equitable
Simi Dubb Citi
Stifel Financial
Benjamin Ola Akande
Carina Diamond, Stella Secunda
Ethel J Davis, VZD Capital Management, LLC
Kimberley J. Mendall Mondonedo, The Mendall Financial Group
Maz Kamaruddin, Guardian Life
Michelle Morris, Morgan Stanley
Ryan Philmon, Equitable
Simi Dubb, Citi
This award recognizes the outstanding trailblazer in the wealth management and financial planning industry who has shown a meaningful commitment and impact on diversity in financial services
Allianz Life Insurance Company of North America
Cambridge Investment Group
Charles Schwab
Jackson Financial Inc.
Mercer Advisors
Merit Financial Advisors
Prudential
We’ve changed how we look, but not what makes us Nationwide. Our commitment to brokers and their clients is as strong today as it’s always been. With our country wide Business Development team, we can help brokers grow their businesses. We have over 50 field and telephone Business Development Managers (BDMs), so every broker has a specific point of contact. And our Dedicated Broker Support team is available via telephone or ‘Live Chat’ for pre-application queries relating to our products and criteria. Nationwide consistently has competitively priced products and continually provides leading criteria and excellent service. And we’re continually investing in improved technology, with a mortgage API (Application Programming Interface) which will allow Remortgage and Purchase DIPs to be created in third party platforms. Website: www.nationwide-intermediary.co.uk/
“Nationwide and TMW are delighted to support the prestigious Scottish Mortgage Awards again in 2024. We are very much looking forward to the event - when the winners will be announced - and would like to wish all the individuals and firms shortlisted the very best..”
Sanctuary Wealth
SignatureFD
Wells Fargo & Company
This award recognizes a multi-office advisor network, brokerage, or fund provider’s commitment to building a workplace that recognizes excellence and supports career growth for all. This award recognizes the company that has earned the reputation to be called an employer of choice within the wealth management and financial planning industry. Nominations by employees, partners, peers, and clients are welcome. When judging this category, the following criteria will be considered: • Must have more than 50 employees within the U.S. and be in the wealth management industry. • Demonstrates unique employee value proposition (e.g. business development support, marketing support, education, training, philanthropy) • Defined workplace brand and culture to foster growth for employees • Innovative approach to employee recruitment, retention, talent management, learning & development, mitigating employer-related risks, managing changes within the business (i.e. digitalization, customer expectations, compliance) • Defined workplace brand and culture to foster growth for employees
This is the highest honour and most coveted award at the InvestmentNews Awards. This award recognizes and celebrates a leading figure who has contributed much to the advancement of the wealth management and financial planning industry in the US. This award will acknowledge an individual with an established history and reputation of distinguished service to the wealth management and financial planning profession. This individual has exhibited leadership and provided inspiration to others, whilst putting the interests of the industry at the top of their priorities throughout their career. There are no finalists for this category. Nominations will be evaluated by the IN team. The recipient of this award will be contacted 3-4 weeks before the awards event and will be announced at the IN Awards.
We started life in 1848 and we’re now the oldest remaining building society in the world. We’re as true to our purpose today as the day we were founded – we help the people of Scotland and beyond to buy homes and save for the future. We’re committed to providing brokers with a personal, flexible and reliable service. Website: www.scottishbs.co.uk/
“The Scottish Building Society are as true to our purpose today as the day we were founded. We help the people of Scotland and beyond to buy homes and save for the future by providing uncomplicated financial products, delivered in a reassuring and friendly way. We are delighted to sponsor The Scottish Mortgage Summit and Awards, an event which recognises the achievements of our key broker partners.”
Holly Morrison, Regional Sales Manager
Envestnet
Bill Crager
ONLY FOR USE BY MORTGAGE INTERMEDIARIES At NatWest we champion the potential of our customers and intermediaries. Whether customers are buying for the first time, are landlords, or looking to remortgage, we have solutions which could support them with their home and property ambitions. We offer leading customer service to intermediaries that combines digital experience with access to the best people, via webchat, over the phone or in person. NatWest. Tomorrow begins today. Website: www.intermediary.natwest.com/intermediary-solutions.html
Emerald Retirement Planning Group, Inc.
Farther
MassMutual / MML Investors Services
Montage Wealth Advisors
Most Innovative Use of WealthTech Most Innovative Use of WealthTech
This award is given to the advisory team, firm, office or network that has best harnessed technology and digital solutions to improve their business, aid their advisors, and leverage overall client experience over the past 12-18 months. This category looks at the organization’s use of wealth technology and digital platform/solution/resource/software/s such as (but not limited to) CRM, digital marketing, mobile technology, electronic document management, connectivity platforms, and collaboration tools. Service/solution providers are not eligible nominees in this category as this is a category for advisory teams or offices using the service/solution/tool/s. When judging this category, the following criteria will be considered: • Overall use of digital platforms and wealth technology solutions in the past 12-18 months, demonstrating positive outcomes • Clear narrative demonstrating the needs identification process for implementation of the technology • Alignment of the use of the technology with the organization’s broader goals • Innovation in the types of technology used • Evidence of return on investment and impact on staff engagement and performance
Alex Petsis Anthony Petsis & Associates
Andrew Fincher VLP Financial Advisors
Erin Christy Choreo LLC
Jorrell Bland Mitlin Financial, Inc
Julie Penwell Wealthspire Advisors
Kristin Strom North Star Resource Group
Kyle Pahnke Retirement Solutions
Miller Hoffman TradeWinds
Wealthspire Advisors
Julie Penwell
Alex Petsis, Anthony Petsis & Associates
Andrew Fincher, VLP Financial Advisors
Erin Christy, Choreo LLC
Jorrell Bland, Mitlin Financial, Inc
Kyle Pahnke, Retirement Solutions
Miller Hoffman, TradeWinds
This award recognizes the advisor who has displayed excellence in their first three years as an advisor. To be eligible, nominees must have been accredited as an advisor on or after January 1, 2021. When judging this category, the following criteria will be considered: • Must have been accredited as an advisor on or after January 1, 2021 • Knowledge, understanding and communication of investment opportunities and strategies for their clients’ portfolios • Client retention and relationship strategies, and how it sets the advisor apart from competition with a unique value proposition • Examples of ways that the advisor has established themselves with their clients and peers in a short period of time • Approach to regulatory compliance
Kristin Strom, North Star Resource Group
Creative Planning
Hightower Advisors
Integrated Partners
NewEdge Capital Group
Wealthcare Capital Management
This award recognizes the most outstanding advisory firm (including full-time equivalents, advisors and support staff) that has displayed excellence over the past 12 months. Advisory teams or offices may nominate themselves and the IN team will also consider input from peers, partners, and clients. When judging this category, the following criteria will be considered: • Employee value proposition (business development support, marketing support, education, training, philanthropy) • Overall client service and relationship management • Unique business plan and strategies to interact with new and existing clients • Spirit of innovation with use of wealth technology and digital platforms/tools • Industry reputation
Callan Family Office
Carlson Capital Management
Destiny Wealth Partners
East Paces Group
HoyleCohen
Koss Olinger
MAYFLOWER ADVISORS
Modern Wealth Management
This award recognizes the most outstanding advisory team or office with 10 staff or more (including full-time equivalents, advisors and support staff) that has displayed excellence over the past 12 months. Advisory teams or offices may nominate themselves and the IN team will also consider input from peers, partners, and clients. When judging this category, the following criteria will be considered: • Employee value proposition (business development support, marketing support, education, training, philanthropy) • Overall client service and relationship management • Unique business plan and strategies to interact with new and existing clients • Spirit of innovation with use of wealth technology and digital platforms/tools • Industry reputation
Ausperity Private Wealth
Dahring | Cusmano
Gertsema Wealth Advisors
GRANTvest Financial Group
Helium Advisors
Kendall Capital
Palumbo Wealth Management
Pensionmark
Vitality was founded with a powerful core purpose – to make people healthier and to enhance and protect their lives. They deliver this through their unique Shared Value Insurance model. It ensures clients are protected, whilst delivering tangible benefits and supporting them to make positive health and lifestyle changes. This drives greater levels of engagement, in a way that helps clients live longer, healthier lives. That’s good for their members, good for them, good for society and good for you. Website: adviser.vitality.co.uk/
Saige Private Wealth Management
“We are proud to sponsor the Scottish Mortgage Awards. These awards offer a golden opportunity to shine a light on those in the market raising the standards and focusing on quality, not price, when it comes to delivering much-needed protection recommendations through mortgage advice. At a time when UK consumers face challenging economic circumstances, this has never been more needed.”
This award recognizes the most outstanding advisory team or office with fewer than 10 staff (including full-time equivalents, advisors and support staff) that has displayed excellence over the past 12 months. Advisory teams or offices may nominate themselves and the IN team will also consider input from peers, partners, and clients. When judging this category, the following criteria will be considered: • Employee value proposition (business development support, marketing support, education, training, philanthropy) • Overall client service and relationship management • Unique business plan and strategies to interact with new and existing clients • Spirit of innovation with use of wealth technology and digital platforms/tools • Industry reputation
The Clifford Group
The Commonwealth Financial Network Award for Excellence in Philanthropy and Community Service Award
Greg Friedman Wealthspire Advisors
Heather Fortner SignatureFD
Johnson Bixby
Jordan Toma Prudential Advisors
Sibyl Slade IntegriVest Wealth Advisors, LLC.
Stacy Francis Francis Financial
Joe Fakhri, President and CEO, Axiom Innovations
“Axiom Innovations is honored to sponsor the CMP Scarlett Network Award for Digital Innovation in Brokerage. Our commitment to innovation is exemplified through our comprehensive suite of Scarlett Network solutions. In recognizing the dynamic achievements of our brokerage partners, we emphasize the pivotal role innovation plays in streamlining the mortgage transaction process and simplifying the lives of all stakeholders. Our core goals revolve around working smarter, not harder, and we are proud to support and champion this philosophy as sponsors of the prestigious award.”
IntegriVest Wealth Advisors, LLC.
Sibyl Slade
Greg Friedman, Wealthspire Advisors
Heather Fortner, SignatureFD
Jordan Toma, Prudential Advisors
Stacy Francis, Francis Financial
This award recognizes the advisor or advisory team whose outstanding contribution of time, leadership and financial support over a sustained period of time, beyond normal expectations, has made significant impacts in the receiving causes or communities. When judging this category, the following criteria will be considered: • Open to individuals and advisory teams • Demonstration of major philanthropic and community service programs or initiatives over the last 12 months that align with broader corporate goals or strategies (i.e. company culture, employee engagement etc.) • Impact on local, national, or international causes or communities • Overall commitment to philanthropy and community service • Testimonials from beneficiaries or partners
Advisor360°
AssetMark
BridgeFT
Docupace
FusionIQ
intelliflo
Nebo Wealth
Orion Advisor Solutions
SEI Investments Company
Vestmark
This award acknowledges the contributions of an organization with a proven track record of providing the financial planning and wealth management industry with exceptional services and tools to better serve their clients. When judging this category, the following criteria will be considered: • Must be a WealthTech provider • Consistently innovates and stays ahead of the curve for the betterment of the industry • Demonstrates a unique value proposition and major strengths amongst competition • Provides exemplary service to assist financial professionals achieve their own objectives
Anthony Shutman JP Morgan
Austin LaVelle Athene
Ben Sullivan AE Wealth Management LLC
Gigi Norcross Green Century Capital Management
Kristen McGarry Pacific Life
Salih Besirevic Jackson National Life Distributors LLC
Anthony Shutman, JP Morgan
Austin LaVelle, Athene
Ben Sullivan, AE Wealth Management LLC
Gigi Norcross, Green Century Capital Management
Salih Besirevic, Jackson National Life Distributors LLC
Wholesalers are essential in the fund-advisor relationship. This award recognizes the wholesaler who has displayed excellence over the past 12-18 months, offers superior service to advisors. When judging this category, the following criteria will be considered: • Accessibility and communication • Demonstrated understanding of their advisors’ businesses • Value contributed to advisors • Year-over-year growth • Business development • Overall client service and relationship management
Pacific Life
Kristen McGarry
