Managing Director of Risk Oversight and Control, TD Ameritrade Institutional
Bryan Baas is the managing director of risk oversight and control at TD Ameritrade Institutional, where he leads the institutional risk management group, covering everything from credit and product risk, to adviser risk operations and internal controls. With his guidance and experience, the teams take an educational and collaborative approach to working with advisers to both keep them on top of regulatory changes, and to identify and solve for risk in the simplest ways. Bass introduced personal calls to verify every third party wire, helping to reduce fraud to industry lows. In risk management since 1999, Bass joined the company in 2011 after 20 years with another financial services firm.
Team Building Business Coaches – Sarah Dale and Krista Sheets, CPBA, CPMA
Performance Insights, Inc.
Sarah Dale is the founder of Know No Bounds, and partner of Performance Insights. As a practice management consultant, she works with corporate leadership, regional managers, advisers, support staff and teams to help drive performance. She started her career in the financial services industry in 1990 as a client service associate and quickly gained all licenses to serve on a team in an advisory capacity. In 1996 when provided a unique opportunity to create a new department, she transitioned to the product and marketing side of the business. In 2003, Dale became president of a training and online solutions company, where her responsibilities included creating and managing all areas of a small business that provided coaching and development services to financial professionals. Her unique background combines the roles of business development, service and leadership. Her financial services career has evolved from success working with clients to developing products and programs, implementing strategies for building and leading teams, developing and delivering training and coaching initiatives, creating efficiencies and growing revenues. A gifted and unique speaker, Dale has spoken at many events including the Barron’s Top Advisory Teams Summit, and Barron’s Top Women Advisor Summit. First published in 1995, she co-authored “The Question and Answer Book of Money and Investing,” and throughout her career has published numerous articles on financial services-related web sites. In 2007, she co-authored “Know Service,” 5-Steps to 5-Star Service for Financial Professionals.” Fanatical about people, Sarah is a true advocate for clients, associates and shareholders. Her creativity, communication skills and passion to make a difference add something unique to the individuals, teams and organizations with whom she works.
Krista Sheets entered the consulting industry in January, 1997. She has been exposed to many of the practice management issues that plague the industry. With a desire to solve problems and help people work more effectively together, she focuses her work on helping organizations capitalize on their most valuable asset – their people, a focus we call ROP™… Return on People. She has worked with countless teams in all stages of development and with several Wall Street firms building results-driven practice management solutions. Sheets shares her industry expertise by contributing articles and interviews to several trade publications and participating in industry conferences, webinars, and discussion panels. She co-authored the book, Know Service in 2007, and hit a career milestone in 2008 presenting to an audience of 1200 financial planners in South Africa at the Financial Planners Institute. In 2010, she was an adjunct online professor for Golden Gate University, teaching business development strategies to International Financial Planning Master Graduate Students. During 2011-2015, Sheets developed proprietary online tools to assess team performance, business effectiveness, and an individual’s talents, all of which she currently uses in the training and consulting she offers to the industry.
Susan Kornegay is a partner and founder of Pathfinder Strategic Solutions. With most of her 30-year career spent in the field as a financial adviser or branch manager, she specializes in the client-facing side of the business, including business vision, core beliefs, client advice process and service standards, team development, business planning and implementation, business model transitions, and marketing communications strategies. Prior to launching her consulting & coaching practice in 2009, Kornegay was managing director of practice consulting at Loring Ward. There she led the development of all adviser conferences, and provided individual consulting and coaching to Loring Ward’s independent adviser-clients. Kornegay holds a bachelor’s degree in education from The University of Akron, and master’s degree in biblical studies from Covenant Seminary. She earned the her CFP certification in 1987, and serves on the boards of the East Tennessee Financial Planning Association and A Hand Up For Women.
Fiduciary Compliance Business Coach – Steve Swansig
RIA In A Box
Steven Swansig is the director of sales at RIA in a BOX and works with individuals in establishing independent investment advisory practices. He provides guidance in the regulatory RIA application process and essential RIA practice management components such as compliance, custody and clearing, technology and E&O insurance. Swansig began his career in financial services as a financial consultant and has gained experience working directly with financial advisers the past fifteen years. Swansig has been securities licensed as a registered representative, investment adviser and insurance professional.
Donnelle Tutty is the account executive lead at Advisor Websites. She attended The British Columbia Institute of Technology where she studied professional sales and marketing management. As the account executive lead at AdvisorWebsites.com, she is responsible for developing new business relationships within the financial services industry, and leading the sales team to success. She aims to assist and support firms around North America to create an effective and results-driven web presence.
Jim Coleman’s teaching experience spans 25 years, including undergraduate, graduate and executive MBA programs at Troy University, Mercer University, Dalton State College and Columbus State University. In addition, as a financial planning trainer and consultant, he has helped hundreds of candidates pass the Certified Financial Planner™ exam over the last two decades in connection with Dalton Education. Prior to his academic career, Coleman spent over a decade in public accounting and corporate management, concluding with the position of managing director of public relations at Federal Express, where he was responsible for the company’s global public and investor relations activities. His degrees include an MS and Ph.D. from University of Alabama, as well as BBA in accountancy from the University of Mississippi. Dr. Coleman was a CPA and CFP® until he elected inactive status after becoming a professor. He has authored numerous articles in journal publications on topics such as social media marketing and marketing opportunities for financial planners.