Technology: What Keeps You Up At Night? Monday, May 23 2:30 p.m. 3:30 p.m.

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1 Technology: What Keeps You Up At Night? Monday, May 23 2:30 p.m. 3:30 p.m. This informal and interactive session will be focused around a variety of current technology topics of mutual interest, such as communication and collaboration, archiving and retention, social networking and mobile devices. The session will be led by FINRA technology practitioners who will help facilitate discussion around challenges and proven best practices in a collaborative environment with your peers. Moderator: Douglas Cohen Senior Director FINRA Enterprise Solutions Panelists: Lon Dolber Chief Executive Officer and Chief Information Officer American Portfolios Financial Services, Inc. Anthony McElynn Chief Compliance Officer E*Trade Joseph Nadreau Managing Director of Innovation and Business Wells Fargo Advisors, LLC David Wright Chief Technology Officer LPL Financial, LLC 2016 Financial Industry Regulatory Authority, Inc. All rights reserved. 1

2 Technology: What Keeps You Up At Night Panelist Bios: Moderator: Doug Cohen is the Senior Director of Product Management for FINRA. In leading the Product Management Group he oversees a diverse portfolio that includes Case & Content Management, Collaboration Portals, and Search & Analytics applications. Mr. Cohen joined FINRA in Prior to FINRA, he served as the Director of Product Management at Open Text Corporation and also worked at an internet startup. Mr. Cohen has more than 20 years of experience in the software industry. Before pursuing his passion in software, he spent six years in consulting working for Booz Allen & Hamilton. Mr. Cohen received a Master of Business Administration from The American University and his undergraduate degree in Banking & Finance from University of Richmond. Panelists: Lon T. Dolber is the founder and Chief Executive Officer of American Portfolios Financial Services, Inc. (APFS), a national, Long Island-based firm, which was started in As an independent broker/dealer, APFS currently serves nearly 800 registered representatives in 356 branch locations throughout the country whose combined client assets total more than $21 billion. With a strong focus in developing technological and operational efficiencies within the business, Mr. Dolber also serves as APFS chief information officer; this combined with more than 30 years of amassed knowledge and experience in the industry as a financial services professional has enabled Mr. Dolber to provide leadership and strategic thinking for APFS to support its affiliated advisors and their practices. Mr. Dolber began his career in the financial services industry in New York City in Excelling as a financial services representative, he established a base of more than 700 clients with $40 million in assets under management. By the early 1990s, Mr. Dolber was the registered principal of one of the largest offices for an independent broker/dealer based in the Midwest. During that time period, he was responsible for branch development, recruiting and compliance for more than 125 registered representatives. By the mid-1990s, the acquisition of his current broker/dealer by a regional banking institution propelled him further towards independence; in quick time, Mr. Dolber laid out a five-year plan to open a broker/dealer that would be owned and operated by a group of like-minded financial service professionals committed to guiding their clients with sound financial planning and solid investment advice. In 1996, he transitioned his large OSJ to Nathan & Lewis Securities, Inc. (NLS), expanding his OSJ while creating an infrastructure and technology designed by advisors, for advisors. In 2001, his plan came to fruition fortuitously one day before 9/11 on Sept. 10 when 186 advisors, without reservation, transferred their licenses to APFS. Since its inception as APFS founder and CEO, Mr. Dolber has stayed committed to fostering a culture of true independence and value to its affiliated advisors in an ever-changing industry environment. Mr. Dolber has supported the financial services industry by serving on the FINRA District Committee #10 (New York) from January 2004 through December 2006, and currently serves on the FINRA Technology Committee. Under his leadership, APFS was named Broker/Dealer of the Year (Division III) for 2015 by Investment Advisor magazine. He also serves as the vice chairman, is an active fundraiser and avid participant for World T.E.A.M. Sports (WTS), a not-for-profit organization dedicated to creating opportunities for individuals of all abilities through the power of sports. APFS has raised more than $500,000 for the organization and directly participated in well over a dozen sponsored events such as climbing to the summit of Mt. Kilimanjaro with 12 challenged athletes; teaming with physically-disabled athletes in a variety of outdoor adventure team challenges like kayaking; and riding alongside wounded veterans on extended bike trips that span the United States. In response to the tragic earthquakes that struck Nepal in the spring of 2015, Mr. Dolber also spearheaded a firm-wide charitable initiative that raised more than $18,000 for the Thame Sherpa Heritage Fund to help rebuild Thames severely damaged community. Mr. Dolber is, a firm believer in corporate socially responsibility creating a culture at AP of giving back to the communities in which it serves and those in need. Anthony (Tony) McElynn is the Chief Compliance Officer for E*TRADE Capital Management, a registered investment adviser with approximately $3.2 Billion in assets under management. Mr. McElynn is also currently leading the development of E*TRADE s compliance infrastructure to adhere to the DOL s new fiduciary regulation. Prior to his appointment as Chief Compliance Officer in 2011, he was the Director of National Retail Services (NRS) at E*TRADE. While head of NRS, Mr. McElynn led the team that created and launched E*TRADE s discretionary managed account products and also 2016 Financial Industry Regulatory Authority, Inc. All rights reserved. 2

3 oversaw the front-line control infrastructure for E*TRADE s retail business. His business experience at E*TRADE, and previously at TD Waterhouse (now TD Ameritrade), has also included developing compensation plans and managing a branch office. He earned a bachelor s degree from Villanova University and currently holds his Series 7, Series 8, Series 24, and Series 66 licenses. Joe Nadreau is the Managing Director of the Innovation and Strategy Group at Wells Fargo Advisors, LLC, responsible for the continuing evolution of the business platforms for the firm s Financial Advisors and clients. Mr. Nadreau also sits on the Wells Fargo Advisors Operating Committee. Mr. Nadreau has worked in the financial services industry for over 18 years. He joined Wells Fargo Advisors in 1999 as the firm s chief e-commerce officer and continues to position the firm s overall business platform and investment process to meet the strategic goals of the organization. Previously, he worked for the IBM Consulting Group in their Financial Services segment as an internal business strategy consultant at PaineWebber, and as a capital markets officer/trader at Chase Securities. Mr. Nadreau attended Penn State University and earned a dual bachelor s degree in finance and international business. He received his MBA in finance from New York University s Stern School of Business. He is on multiple nonprofit boards in the St. Louis community and serves as the chairman of the WFA United Way campaign. He is also the executive sponsor of the WFA Veterans Team Member Network. Joe holds FINRA Series 7 and 24 registrations. David Wright is Executive Vice President and Chief Technology Officer for Business Technology Services at LPL Financial. He joined LPL in 2015 to provide the oversight needed to successfully deploy technology solutions that will continue to propel the company s strategic business initiatives. Mr. Wright leads all infrastructure operations, strategy, and architecture. He also is responsible for information technology security and middleware. Prior to LPL Financial, Mr. Wright served as chief information officer (CIO) at McGraw-Hill Education. He previously was with Capital One for nearly 15 years, where he worked in a number of roles of increasing responsibility, including senior vice president of technology operations, CIO of Capital One s card division, and chief operating officer of Capital One Bank Europe. He also has held technology positions at the Federal Reserve Bank of Richmond and AT&T. Mr. Wright holds a Master of Science degree in management of information technology from the University of Virginia, and Master of Business Administration and Bachelor of Science in information systems degrees from Virginia Commonwealth University Financial Industry Regulatory Authority, Inc. All rights reserved. 3

4 FINRA Annual Conference May 23 25, 2016 Washington, DC Technology: What Keeps You Up at Night?

5 Panelists Moderator Douglas Cohen, Senior Director, FINRA Enterprise Solutions Panelists Lon Dolber, Chief Executive Officer & Chief Investment Officer, American Portfolios Financial Services, Inc. Anthony McElynn, Chief Compliance Officer, E*Trade Joseph Nadreau, Managing Director of Innovation and Business, Wells Fargo Advisors, LLC David Wright, Chief Technology Officer, LPL Financial, LLC FINRA Annual Conference 2016 FINRA. All rights reserved. 1

6 FINRA Annual Conference 2016 FINRA. All rights reserved. 2