Headlines & Horizons: Broker Dealer Perspective

Recorded On: 03/30/2022

Broker Dealer and Research perspective on today’s headlines and tomorrow’s trends: Take a pulse on Democratization, Direct Indexing, and Portfolio Customization. Get an insider view on Disruption, Consolidation, Service Models, and Product Development. Don’t miss this candid look at the industry through the broker dealer lenses. Find out what themes are making these executives’ short lists, how they are preparing for seismic industry shifts, and what they look for in industry partnerships.

 

Sandy Bolton (Moderator)

Senior Advisor, FS Investments

Sandy is the Senior Advisor for FS Investments, a leading alternative investment manager. Her responsibilities include managing and directing integration of acquisitions and sub-advisor relationships, as well as collaborating with product development and distribution teams on all channel opportunities and new product creation and launches.

Sandy is the former Head of Managed Investments within the Investment Solutions Group for Bank of America. In this role, Sandy led the delivery of the firm’s investment product offerings across all channels, including Merrill Lynch Wealth Management, Merrill Private Wealth Management, Bank of America Private Bank, Merrill Edge Self-directed and Merrill Guided Investing. Sandy’s responsibilities included product development, management and ongoing governance and investment oversight for domestic and offshore mutual funds, global exchange traded products, separately managed accounts, model portfolio solutions and money market funds. She also led the Diversity & Inclusion Council for the Investment Solutions Group.

Before joining Bank of America Merrill Lynch in March 2015, Sandy was Head of Investment Solutions for Pershing LLC, a BNY Mellon company. In this role she was responsible for delivering the investment product offering for independent broker dealers and RIAs. Prior to that, Sandy was responsible for the product management, oversight, marketing and management of various investment solutions offerings at TD Ameritrade, Morgan Stanley and Merrill Lynch.

Sandy earned a Bachelor’s degree from The College of New Jersey and an MBA from Fairleigh Dickinson University. She is a graduate of the Securities Industry Institute Executive Development Program at The Wharton School of the University of Pennsylvania. Sandy is also a Member of the Board of Directors for Expect Miracles Foundation – Financial Services against Cancer.

David Rosen

Managing Director, Head of Traditional Investment Products, Morgan Stanley

David Rosen is a Managing Director at Morgan Stanley Wealth Management and leads the firm’s Traditional Investment Products Business, which has over $1T in combined assets. He is responsible for overall product management, strategy, sales and UIT trading. He is a member of the MSWM operating and management committees. 

David is on the board of the Expect Miracles Foundation, which is a charity that brings the financial services industry together to bring hope to people impacted by cancer.  In addition, he is on the board of NICSA, a not-for-profit industry trade association.  David received his Juris Doctorate from Brooklyn Law School and is a member of the New York State Bar Association.  He has his FINRA Series 7 and Series 24 licenses and completed the Securities Industry Institute at The Wharton School.

Steve Rueschhoff

Principal, Edward Jones

Edward Jones Principal Steve Rueschhoff leads the Managed Investments and Insurance areas in Packaged Products. He and his teams are responsible for leading and coordinating the firm’s product strategy, product management and wholesaling support for mutual funds, exchange traded funds, 529 plans, unit trusts and insurance.

Steve began his Edward Jones career in May 2015 as the senior product leader in Insurance and Annuity Products. He was named a principal in December 2017. During his tenure at the firm, Steve has led several initiatives to make insurance and annuities more integrated, accessible and relevant for clients and branch teams.

Prior to joining Edward Jones, Steve held a variety of roles in the industry. He served as vice president of Life Product Management at Allstate; was a principal with Davis, Conder, Enderle and Sloan, Inc.; and worked as a retirement benefits consultant at Aon Hewitt.

Steve participates in several financial services industry committees and serves on the board of the Insured Retirement Institute (IRI). He is a Fellow in the Society of Actuaries and a graduate of the University of Nebraska in Lincoln.

Steve and his family are active in several St. Louis charities, including The United Way, Ronald McDonald House Charities and Friends of Children’s Hospital.

Anna Snider

Head of Due Diligence, CIO Office, Merrill Lynch

Anna Snider is a Managing Director and Head of Due Diligence for the Chief Investment Office (CIO) within Bank of America Corporation. In this role, she leads the Due Diligence team and is responsible for manager research and implementation guidance across all asset classes supporting Bank of America Private Bank and Merrill. She is a voting member of the Global Wealth & Investment Management Investment Strategy Committee (GWIM ISC), which sets asset allocation guidance. Anna also co-leads the Sustainable and Impact investing initiative for the wealth management businesses, focusing on investment solutions research and development, metrics and measurement.

Previously, Anna was part of the Alternative Investments group where she advised clients on hedge fund and private

assets portfolio construction and became head of research for externally managed alternative investment fund of funds. She was also a senior analyst in the risk management division at Bank of America Private Bank. Anna offers many years of investment and risk analysis experience, having held positions at the Federal Reserve Bank of New York, JP Morgan and UBS focusing on market, credit and operational risk management.

She graduated from Connecticut College. She holds the Chartered Alternative Investment AnalystSM (CAIASM) designation. Anna serves as chair of the board for High Water Women, a foundation based in New York City. She was cited within Barron’s magazine as one of “The 20 Most Influential People in Environmental, Social and Corporate Governance (ESG) Investing” and is a Aspen Institute First Mover Fellow.

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Headlines & Horizons: Broker Dealer Perspective
03/30/2022 at 3:00 PM (EDT)   |  50 minutes
03/30/2022 at 3:00 PM (EDT)   |  50 minutes