Creating Your Own Formula for the Modern Office – Charles Schwab – 6.17.22

Summary:

Now On Demand.

Investment advisors have harnessed the freedom and flexibility of the Registered Investment Advisor (RIA) model to thrive—even during challenging times. In our upcoming webcast, hosted on RIA Channel^®, two successful independent advisors will share their stories about how they are shaping the future of work on four fronts – technology, firm culture, office space and client service – to create Modern Offices.

In Creating Your Own Formula for the Modern Office, you’ll discover:

• How firms select and adopt state-of-the-art technologies to simplify their workdays
• Why and how firms are prioritizing company culture now
• Modern office space as a tool for differentiation
• Practical examples of firms upgrading client service models to gain an edge

Speakers:

Scott is a Managing Director of Business Development at Schwab Advisor Services and leads a team who sells institutional trading and custody services. His team focuses on helping advisors realize the benefits of being an independent Registered Investment Advisor (RIA). Since Scott started with Schwab in 2005 he has worked to understand each advisor’s unique needs and goals to ensure they are supported in whatever path towards independence they choose. Scott’s current team covers the eastern half of the United States and is composed of Business Development Officers, Business Development Support Specialists, and Regional Support Specialists who provide operational support and service for the onboarding of new advisors.

In an investment industry career that spans over 29 years, Scott has also held roles as a Vice President and Firm Principal at an Atlantic regional brokerage firm, having developed a managed account platform for that firm in addition to seven years with Smith Barney in various financial services roles, notably as Manager of the National Sales Desk of Smith Barney Asset Management.

Scott is a Cum Laude graduate of Towson University, with a B.A. degree in International Studies. He holds FINRA Series 7, 8, 24 and 63 licenses. He resides in Montgomery County, MD with his wife and triplets (two boys and one girl), who are rising high school seniors.

Scott is very active supporting his community through education, athletics, and service. He is a member of his school district’s PTA/PTSA and a regular participant at school events, coached Babe Ruth League baseball and football in Montgomery County, MD and is an Eagle Scout merit badge counselor for Boy Scout Troop 1325 in the National Capital Area Scouting Council (where his two sons have recently attained the rank of Eagle Scout). He is an avid golfer, and enjoys sports, military aviation, music and exploring nature whenever possible.

As CEO, Heather leans into her passion for listening – to the SignatureFD team, our clients, and the industry – to create and implement the organization’s vision and mission to impact the lives of 10,000 families. Practicing a “coach with empathy” leadership style, Heather leverages her unique ability to harmonize people’s passions and talents to build teams and lead organizations that deliver excellent and inspiring client experiences.

Previously serving as Chief Operating Officer, Chief Compliance Officer, and President of SignatureFD, Fortner has learned, navigated, and held strategic oversight for every aspect of the organization. A highly-sought-after leader in the industry, Fortner is regularly asked to speak on the ever-changing landscape of wealth management. See a small sample of her previous speaking and media engagements below. Additionally, in 2021, Heather was awarded CEO of the Year by WealthManagement.com for the category Individual RIA Firm Leaders.

Prior to joining SignatureFD in February of 2003, Heather was senior operations supervisor at a trust company, managing all portfolio and security operations. She also worked for an investment management firm in Marietta, Georgia, as a financial associate.

Heather holds a Bachelor of Finance from Kennesaw State University, a Master of Science in professional counseling from Georgia State University and is an Investment Adviser Certified Compliance Professional^®. Additionally, she is a graduate of the Schwab Executive Leadership program and the G2 Institute.

As CEO and Co-Founder of Lexington Wealth Management, Michael is committed to offering clients a memorable approach to wealth management by personally engaging with them and taking a holistic view of their needs. His 25 years of experience as a CPA, entrepreneur, and devoted and involved family man gives him the personal insight to know how wealth can impact people, and what kind of service will help bring the most value.

After several years of experience as an accountant at Deloitte & Touche and Digital Equipment Corporation, he founded the CPA firm Tucci & Roselli. He worked primarily with institutional clients, which revealed the difficulties that many Boards encounter while trying to obtain competent, independent investment advice. This inspired Michael to attend the CIMA (Certified Investment Management Analyst) program at The Wharton School and to co-found Lexington Wealth Management in 2000.

Since that time, he has put client advocacy at the core of the practice’s approach, striving to bring together the “heart” of his clients’ goals with the “head” of sound investment strategy. At Lexington Wealth, we have established a team of talented professionals who together offer creative, well-rounded, and independent-minded financial solutions that fit the needs of each client.

Mike graduated from Bentley College with a Bachelor of Science degree in Business and an MBA with a Finance concentration. He is also a CPA. Mike frequently shares his insights at speaking engagements and with media such as BusinessWeek, The Los Angeles Times, and The Boston Globe. He was also listed as one of Worth’s Top 250 Wealth Advisors (2008) and Boston Magazine’s Five Star Wealth Manager (2015).