HilltopSecurities Elevate 2024

 Leadership and Risk Management: Taking Command

Admiral William H. McRaven captivates audiences with his exceptional leadership experiences, exploring today’s geopolitical environment and a look forward to America’s place in an ever-changing global community. His principles of leadership and risk management are applicable to any organization, and he firmly believes in the necessity of preparation, order and discipline, knowing that they are naught without a distinct and meaningful purpose or goal. He shares impactful narratives, lessons and insights on authority amidst turmoil and instability, the force of teamwork and personal initiative, resilience in the face of opposition, and the unconditional importance of never giving up. He challenges his audience and encourages them to accept responsibility, be creative within the rules, take control of their circumstances, and maintain focus during times of conflict. Audience members are inspired to apply McRaven’s diligence, courage and risk management strategies to their own lives and put in place the tools that will help them not only succeed within their organization but also reach new levels of achievement. 

Robert Morales CFP® AIF® Head of Advisor Services will provide an enlightening update session, which will unveil our latest products and services to help you elevate your practice, streamline your processes, and enhance your client satisfaction.

During this session, Robert will provide a roadmap for our future offerings, showcasing the exciting innovations on the horizon at HilltopSecurities!

You will also have the opportunity to learn more about what is in store for the next few days of Elevate, highlighting key sessions, partners and workshops and networking opportunities that you don’t want to miss.

Don’t miss this opportunity to get an inside look at what is in store for our advisors, in the next two days and beyond!

Speaker

•  Robert Morales, Head of Advisory Services and Products, HilltopSecurities

 Patrick empowers professionals to pursue self-mastery and excel in the high-stakes world of finance. He teaches proven strategies that enable you to cut through the noise, prioritize what matters, and achieve game-changing results. Whether you're managing client portfolios or navigating complex markets, Patrick's insights will help you harness the power of focus and self-mastery to drive success.

“I’m not asking people to throw away their mobile phones and tablets. That’s not realistic, and these devices enhance our lives. Instead, I show people how to specifically and strategically manage technology to reduce distractions, sharpen focus and ignite productivity. It’s an absolute necessity in the modern digital age in which we now live.”

Speaker

• Patrick McAndrew, Founder & CEO, HARA

First Trust’s ETF Model Portfolios are designed to provide financial professionals with a foundation to build scalable asset allocation solutions for their clients. The models are the best way to access the investment views of First Trust, including Brian Wesbury, Chief Economist, Dave McGarel, Chief Investment Officer, and Bill Housey, Managing Director of Fixed Income. This presentation will provide an overview of First Trust’s ETF models as well as commentary on current market views and model positioning.

Speaker

• Tyler Cockle, VP - Client Portfolio Manager, FirstTrust

 Schedule a 20 minute “Fireside Chat” where you can engage one-on-one with your Growth Consultant. In this personalized session we will:

- Review your book of Business

- Identify Opportunities for increased efficiencies

- Apply new tools and resources for your specific needs

- Answer any questions

Keep and eye out for a Calendly invite from your growth consultant and sign up quickly - space is limited! Don’t miss this chance to gain tailed insights and strategies to boost your growth

Schedule a 20 minute “Fireside Chat” where you can engage one-on-one with your Growth Consultant. In this personalized session we will:

- Review your book of Business

- Identify Opportunities for increased efficiencies

- Apply new tools and resources for your specific needs

- Answer any questions

Keep and eye out for a Calendly invite from your growth consultant and sign up quickly - space is limited! Don’t miss this chance to gain tailed insights and strategies to boost your growth

 Upgrade your Envestnet knowledge! This series will provide advisors with the best practices to efficiently use the Envestnet Tools.

Join the ASG team to learn how to manage households in Envestnet, customize the Envestnet screens that you see daily, and create reports on your book of business and for clients.

Speaker

• ASG Associates, HilltopSecurities

Learn how to maintain your equilibrium and resilience, even in the face of constant change and unexpected challenges.

In a world of constant change, staying balanced can be challenging. This workshop offers practical tools to help you regain your center when faced with unexpected disruptions. Through mindfulness and light physical exercises, you'll learn how to stay grounded in any situation—whether in a tense meeting, a difficult conversation, or during personal stress.

Key Takeaways:

· Techniques to quickly realign and regain balance during stressful moments.

· Mindfulness practices for staying centered amidst uncertainty.

· Strategies to enhance resilience and adaptability in both work and life. 

Speaker

• Patrick McAndrew, Founder & CEO, HARA

Jeff Stewart and Scott Wilson will lead a roundtable discussion on trends and updates that we are seeing with succession planning in financial services practices. Learn strategies and techniques to transition your practice, select a successor and improve the value of your practice.

Speaker

• Jeff Stewart, Head of Business Development, Wealth Management, HilltopSecurities
• Scott Wilson, Business Development Associate, HilltopSecurities

Drawing on decades of industry experience and current market research, Phil Buchanan of Cannon Financial will lead advisors through two interconnected sessions designed to boost productivity and enhance their practice.

• Quick look at the current challenges of the financial services industry and market trends
• The importance of a solid business plan and marketing plan
• The Six P’s Essential to Your Investment Story
  • Profile
  • People
  • Philosophy
  • Process
  • Performance
  • Price

Speaker

• Phil Buchanan, Executive Chairman of the Board, Cannon Financial Institute

Upgrade your Envestnet knowledge! This series will provide advisors with the best practices to efficiently use the Envestnet Tools.

In this session, The ASG team will provide insights on using Tasks, Trade Instructions, and Service Requests in Envestnet.

Speaker

• ASG Associates, HilltopSecurities

The Convergence of Wealth advisors and Retirement Plan Advisors has continued at a strong clip this year, driven by new laws that help retirement savers and interest from clients. Bridging this gap presents an enormous opportunity for growth and new business for our industry. Join Envestnet Retirements to learn about this market trend, how to use it to grow, and the support available for advisors.

Speaker

• Sean Powers, Business Development, Envestnet Retirement Solutions

Drawing on decades of industry experience and current market research, Phil Buchanan of Cannon Financial will lead advisors through two interconnected sessions designed to boost productivity and enhance their practice.

Essential Client Connection Skills

• Communication
• Framing
• Bridging
• Languaging
• Conversational Questioning Skills
• Asking Deeper/Provoking Questions
• Fact/Consequence/Concern
• Reposition With Comprehensive Wealth Management
• Introducing the 13 Wealth Management Issues Document

Speaker

• Phil Buchanan, Executive Chairman of the Board, Cannon Financial Institute

Learn how to organize your days with Redtail. Our Redtail trainer will show you the tricks and tools in Redtail tail that can get you started using the powerful Workflow and Template tools in Redtail and answer the questions that you have on this robust Contact Management System.

 Speaker

• Tony Donato, Account Executive, Redtail

 Schedule a 20 minute “Fireside Chat” where you can engage one-on-one with your Growth Consultant. In this personalized session we will:

- Review your book of Business

- Identify Opportunities for increased efficiencies

- Apply new tools and resources for your specific needs

- Answer any questions

Keep and eye out for a Calendly invite from your growth consultant and sign up quickly - space is limited! Don’t miss this chance to gain tailed insights and strategies to boost your growth

While investors were obsessing about the timing and number of Fed rate cuts this year, the economy surprised and stuck the long-anticipated soft landing. But with early gains likely in the rearview mirror, risks are now skewed to the downside. Join Brianna Roberts from State Street Global Advisors as they explore strategies for the second half of 2024.

Speaker:

Brianna Roberts, Model Portfolio Investment Strategist, State Street

Schedule a 20 minute “Fireside Chat” where you can engage one-on-one with your Growth Consultant. In this personalized session we will:

- Review your book of Business

- Identify Opportunities for increased efficiencies

- Apply new tools and resources for your specific needs

- Answer any questions

Keep and eye out for a Calendly invite from your growth consultant and sign up quickly - space is limited! Don’t miss this chance to gain tailed insights and strategies to boost your growth

Upgrade your Envestnet knowledge! This series will provide advisors with the best practices to efficiently use the Envestnet Tools. In this session, the ASG team will go through Co-Pilot Trading on Envestnet.

Speaker

• ASG Associates, HilltopSecurities

 Schedule a 20 minute “Fireside Chat” where you can engage one-on-one with your Growth Consultant. In this personalized session we will:

- Review your book of Business

- Identify Opportunities for increased efficiencies

- Apply new tools and resources for your specific needs

- Answer any questions

Keep and eye out for a Calendly invite from your growth consultant and sign up quickly - space is limited! Don’t miss this chance to gain tailed insights and strategies to boost your growth

The HilltopSecurities Fully Paid Lending Program allows eligible clients the opportunity to earn additional income by lending securities they already own in their portfolios when there is demand for them in the securities lending market. Clients continue to maintain full ownership, can sell their loaned shares at any time, and there are no fees associated with the program.

Speaker:

• Lana Calton, Head of Clearing Services and Stock Loan, HilltopSecurities

Hear from the Herd about how Hilltop and Momentum Advisors use financial planning and MoneyGuide Pro to improve client outcomes, simplify the annual review process, and grow their practice.

Moderator

• Scot Macfarland, Retirement Consulting and Advanced Planning Manager, HilltopSecurities

Gary Stringer and Jonathan Bernstein will help equip financial advisors to guide their clients through the coming months of uncertainty and beyond. Successful advisors need an enduring investment management process and an understanding of the economic and financial market impacts of the upcoming election, Federal Reserve policy shifts, and the eventual normalization of the yield curve. Most importantly, we will discuss the talking points that advisors can use to help guide their clients through the uncertainties ahead and prepare them to thrive in the changing landscape.

Speaker

• Johnathan Bernstein, Principal Director of Sales & Marketing, Stringer Asset Management

Join us at Elevate where we unveil the latest insights from Russell Investments’ Value of an Advisor Study. In 2024, the data reveals that the value of an advisor in the U.S. stands at a significant 5.00%. This marks the 11th edition of our annual study, highlighting the increasing significance of financial advisors in today’s landscape.

During this breakout, our experts will delve into the multifaceted role of advisors and the tangible benefits they bring. Be among the first to gain access to:

• The full 2024 report

• A simple formula, derived from rigorous research and real-world practice, to showcase the comprehensive value of your services: A+B+C+T

• Client-ready resources to help you effectively communicate your value proposition to investors

Don’t miss out on this opportunity to stay ahead of the curve.

Speaker

• Michael Montemayor, Regional Director, Russell Investments

 Schedule a 20 minute “Fireside Chat” where you can engage one-on-one with your Growth Consultant. In this personalized session we will:

- Review your book of Business

- Identify Opportunities for increased efficiencies

- Apply new tools and resources for your specific needs

- Answer any questions

Keep and eye out for a Calendly invite from your growth consultant and sign up quickly - space is limited! Don’t miss this chance to gain tailed insights and strategies to boost your growth

In an era where innovation is rapidly reshaping the financial landscape, staying ahead demands not just adaptation but mastery of change. Chris Jeppesen offers a carefully curated set of repeatable tactics proven to enhance operational excellence, technical superiority, and client engagement. Mr. Jeppesen will guide you through the very techniques that have helped industry-leading teams accelerate organic growth with precision and scale. His unique insights will provide you with actionable strategies to elevate your service and exceed the evolving expectations of your clients.

Speaker

• Chris Jeppesen, Senior Vice President & Chief of Advisor Consulting, First Trust

Branding plays a crucial role in the financial services industry. It helps establish trust and credibility, which are essential in an industry built on managing people's money and providing financial advice. A strong brand can also attract new customers and retain existing ones which directly correlates to business growth. This session will look at the evolution of our industry and how advisors have been “branded” over the years, and ways to recreate your brand in a new light.

Speaker

• Scott McCaffrey, Head of Momentum Independent Network

 Speaker

• Dana D' Auria, Co-Chief Investment Officer and Group President, Envestnet Solutions

Join Broadridge for an informative session on how advisors can drive growth and client retention with AdvisorStream’s investor-centric approach to digital marketing.

You will learn how AdvisorStream helps you:

• Stand out with timely client-focused communications (social, email, newsletters and more)

• Create curiosity with fresh content licensed from world-class publishers

• Attract leads with optimized landing pages designed to convert

• Save time with flexible automation you control

• Drive growth with AI-powered client insights and content recommendations

 Speaker

• Tyson Johnston, Sr. Director - Investor Communications, Broadridge Advisor Stream

Fixed income is generally the portion of an investor’s portfolio where mitigating risk is of paramount importance. It’s not intended to be the octane in an investor’s portfolio. Rather, it’s supposed to provide predictable income streams in exchange for lower volatility than other asset classes. But many investors, in search of squeezing out a bit of extra yield, take on additional risk in their fixed income portfolios – sometimes risk that they don’t even recognize.

This session will highlight some of the most common investment dilemmas and scenarios where sub-optimal decision-making can emerge, so that investors can recognize the risks and take additional time and consideration in their investment decisions.

Speaker

• Chris Nicholl, Managing Director & Senior Portfolio Manager, HilltopSecurities

This session will offer a comprehensive overview of how leveraging securities-based loans (SBLs) can enhance the value of advice and advisory practices. Rich will review the fundamentals of securities-based lending, which involves borrowing against a client's investment portfolio without needing to liquidate their assets. Attendees will learn how to identify suitable candidates for SBL, understand the mechanics of setting up these loans, and navigate the associated risks and regulatory considerations.

By integrating securities-based lending into their service offerings, financial advisors can provide clients with flexible liquidity solutions for various needs, such as business investments, real estate purchases, or personal expenses, while maintaining their investment strategies. This session will demonstrate how these loans can lead to increased client satisfaction and retention, thereby enhancing the overall value and competitiveness of an advisory practice. Through case studies and expert insights, participants will gain practical knowledge on implementing SBL to drive growth and deliver more comprehensive financial solutions to their clients.

Speaker

• Rich Boyd, Sr. Vice President and National Sales Manager - Broker Dealer Sales, Tri State

 Schedule a 20 minute “Fireside Chat” where you can engage one-on-one with your Growth Consultant. In this personalized session we will:

- Review your book of Business

- Identify Opportunities for increased efficiencies

- Apply new tools and resources for your specific needs

- Answer any questions

Keep and eye out for a Calendly invite from your growth consultant and sign up quickly - space is limited! Don’t miss this chance to gain tailed insights and strategies to boost your growth

 Schedule a 20 minute “Fireside Chat” where you can engage one-on-one with your Growth Consultant. In this personalized session we will:

- Review your book of Business

- Identify Opportunities for increased efficiencies

- Apply new tools and resources for your specific needs

- Answer any questions

Keep and eye out for a Calendly invite from your growth consultant and sign up quickly - space is limited! Don’t miss this chance to gain tailed insights and strategies to boost your growth

Upgrade your Envestnet knowledge! This series will provide advisors with the best practices to efficiently use the Envestnet Tools.

Join the ASG team to learn about Goal Modifications and Proposals. Find out how to create each report, when to use the right document with you client, and how to avoid common mistakes.

Speaker

• ASG Associates, HilltopSecurities

Ever wondered about working with small business retirement plans? Hear from advisors that have found success working with small business owners and their retirement plans. In this setting we will have a few advisors discuss their experience and strategies for working in this fast-growing segment.

Moderator

• Scot Macfarland, Retirement Consulting and Advanced Planning Manager, HilltopSecurities

  Schedule a 20 minute “Fireside Chat” where you can engage one-on-one with your Growth Consultant. In this personalized session we will:

- Review your book of Business

- Identify Opportunities for increased efficiencies

- Apply new tools and resources for your specific needs

- Answer any questions

Keep and eye out for a Calendly invite from your growth consultant and sign up quickly - space is limited! Don’t miss this chance to gain tailed insights and strategies to boost your growth

In a roundtable session moderated by Aaron Roby from Wealth Advisor Trust, you will learn how advisors have used corporate trustees to manage accounts for high net worth and ultra-high net worth relationships.

Moderator

• Aaron Roby, Business Development Representative, Wealth Advisor Trust Company

Join our Commodities team to find out the latest updates in the commodities sector, and how commodities can improve diversification in your clients' portfolios.

Speaker

• Jerome Gaudry, Senior Managing Director & Head of Commodities Sales & Trading, HilltopSecurities

The range of investment options for clients to invest in a way that aligns with their values has ballooned over the past decade, ranging from sustainable, to religious values, to social impact – clients have a multitude of choices available to them. As an advisor, clients turn to you to help them navigate these investments. Join MSCI, BlackRock, and Envestnet to learn about the range of options clients have, and the opportunities and risks that accompany them. We will simplify and de-mystify investment choices, explain how to navigate this space, and share some critical resources to help in your next client conversation. 

Speaker

• • Tanvi Pradhan, Director, Global Product Solutions, BlackRock
  • Guillermo Cano, Executive Director, MSCI Research
  • Erik Preus, Group Head, Investment Solutions, Envestnet
  • Tushar Yadava, Director, Multi-Asset Strategies and Solutions, BlackRock

Taxes may be one of life’s certainties, but a proactive approach that seeks to systematically mitigate tax consequences can make a difference in your portfolio’s net (after-tax) returns over the long haul. Tax-smart solutions can be automated and implemented across your entire portfolio or targeted to specific areas. Join SEI for this breakout session to create opportunity through action and hear our 5 Top Ideas for Tax Planning.

Offers 1 CE Credit

Speaker

• Hank Kulik, Trust Investment Officer, SEI

Upgrade your Envestnet knowledge! This series will provide advisors with the best practices to efficiently use the Envestnet Tools.

Join the ASG team to learn to use the Client Portal to engage your clients and become their “go-to” Financial Resource! Attendees will learn:

- How to sign-up clients for the Client Portal

– How to integrate outside investments

– How to share MoneyGuide Pro plans

Speaker

• ASG Associates, HilltopSecurities

Upgrade your Envestnet knowledge! This series will provide advisors with the best practices to efficiently use the Envestnet Tools.

In This session, you will learn techniques that will transform the way you uncover growth opportunities with Envestnet Analytics. Bring your laptop, to work with our experts in real time.

Speaker

• ASG Associates, HilltopSecurities

Today’s clients have many competing financial needs, but managing financial risk remains a constant. Sheldon Harden and Mark Woods will share some of the more creative and compelling insurance solutions they have been involved in that can be effectively delivered for your clients.

Speaker

• Mark Woods, Insurance Planning Consultant, HilltopSecurities
• Sheldon Harden, Annuity Planning Consultant, HilltopSecurities

While investors were obsessing about the timing and number of Fed rate cuts this year, the economy surprised and stuck the long-anticipated soft landing. But with early gains likely in the rearview mirror, risks are now skewed to the downside. Join [SPEAKER] from State Street Global Advisors as they explore strategies for the second half of 2024.

 Speaker

• State Street

  Schedule a 20 minute “Fireside Chat” where you can engage one-on-one with your Growth Consultant. In this personalized session we will:

- Review your book of Business

- Identify Opportunities for increased efficiencies

- Apply new tools and resources for your specific needs

- Answer any questions

Keep and eye out for a Calendly invite from your growth consultant and sign up quickly - space is limited! Don’t miss this chance to gain tailed insights and strategies to boost your growth

Gary Stringer and Jonathan Bernstein will help equip Financial Advisors to guide their clients through the coming months of uncertainty and beyond. Successful Advisors need an enduring investment management process and an understanding of the economic and financial market impacts of the upcoming election, Federal Reserve policy shifts, and the eventual normalization of the yield curve. Most importantly, we will discuss the talking points that Advisors can use to help guide their clients through the uncertainties ahead and prepare them to thrive in the changing landscape.

Speaker 

• Johnathan Bernstein, Principal, Director of Sales and Marketing, Stringer Asset Management

With greater insight and the right support and tools, prospecting for new retirement plan business does not need to be complicated or time-consuming. Many plan sponsors are often looking for two things above all else:

• A low-cost target date series with a history of superior investment results

• A low-cost, high-quality recordkeeping solution

Speaker

• Cole Kelly, Internal Wealth Specialist, Capital Group

 Join us for an engaging fireside chat moderated by Jeff Stewart, between our growth consultants and advisors that shown significant growth while working with a growth consultant. This keynote session will delve into best practices and strategies for maximizing the value of your growth consultant relationship. Discover practical tips, real-world examples, and actionable insights that can propel your advisory practice to new heights. Don’t miss this opportunity to learn from those who have walked the path to success and gain a deeper understanding of how to harness the full potential of our growth consultants.

Spend an hour with our legal and compliance experts, along with special guests, to explore best practices and emerging issues that are shaping the advisory landscape today. This session will provide valuable insights on how to navigate the legal and regulatory environment effectively, ensuring that you can focus on growth while staying compliant. Learn about the latest developments and strategies to safeguard your practice and enhance your advisory services. Don’t miss this opportunity to equip yourself with the knowledge and tools to thrive in an ever-evolving industry.