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Event

The Art of Marketing In a Changing Regulatory Environment

Webinar Date: May 19, 2021
Webinar Time: 2:00 PM - 3:00 PM Eastern

Expert Insights into SEC's Updated Advertising Rule 406-4(1)

Join our panel of industry experts and former regulators for a free webinar to learn

  • Where will the regulatory focus be
  • What other firms are doing now
  • Why are certain distribution methods being chosen over others
  • How the definition of advertisement has expanded
  • New general prohibitions
  • Testimonials

Panelists

Beth Hendricks has over 25 years of experience in the financial services industry, with over 15 years spent specifically in Financial Services Marketing and Sales. As the former Director of Business Development and Chief Compliance Officer of Davis Wealth Management, and Director of Marketing for RiverFront Investment Group, Beth understands the complexities of a Financial Advisor’s job; the products offered; and the compliance, sales and marketing challenges firms face.

As the Founder and Principal Consultant for the marketing firm Yeah, That’s What She Said!, Beth currently shares the skills she’s gained from her decades in the industry, helping clients get the most out of their marketing programs, and have fun doing it.

Beth has also served as the Global Co-Head of Marketing for Women in ETFs and as a Financial Advisor and National Sales Consultant for Wachovia Securities (now Wells Fargo Advisors).

Jeffrey Hiller is an industry professional with over 25 years of experience, specializing in Investment Advisor services. Prior to joining Oyster, Jeffrey was Chief Compliance Officer and Managing Director of Principal Global Investors where he created and managed the firm’s global compliance program. In his capacity as CCO, he provided global leadership and direction on regulatory compliance and ethical business practices for all the firm’s business domestically, internationally and its seven boutique investment advisers. Jeffrey began his compliance career as Senior Counsel in the Securities and Exchange Commission’s Division of Enforcement in Washington, D.C. Following his government service, he held CCO roles with several leading Wall Street financial firms.

Tarah Williams, Chief Administrative Officer, has over 25 years of experience in the financial services industry. Tarah brings a strong sense of strategy and vision to everything she does at Prospera. Her ability to understand the big picture, coupled with a keen eye for detail, consistently allows her to focus on providing a gold standard client experience in everything that she takes on. 

Throughout her time in the industry, she has served on many conference panels and conducted numerous seminars in her fields of expertise, which include recruiting, client experience, risk management, and marketing for the broker-dealer marketplace. Being an avid writer, she has also published numerous white papers and articles on industry-specific topics.

Moderator

Buddy Doyle is a Founder and CEO of Oyster Consulting. He has a passion for helping firms make the best decisions and is an innovative executive focused on the financial services industry since 1987. His team has built an award-winning organization serving hundreds of clients in the United States and Bermuda with consulting, outsourcing and software solutions.​

​Prior to founding Oyster Consulting in 2008, Buddy was a Senior Vice President at Wachovia Securities LLC (now Wells Fargo Advisors) where he held leadership roles in a rapidly growing organization in Operations, Finance, Commodities, Technology, Compliance and the Private Client Group. He gained experience working with both small and large firms by starting his career at Wheat, First Securities when the firm had 50 offices and 500 brokers in the Mid-Atlantic region. Through 10 acquisitions and mergers, the firm evolved into one of the largest in the United States.