Sponsorship Guide - BNY Mellon | Pershing · 2020-03-04 · INSITE™ 20 ADVISOR SOLUTIONS PROGRAMS...

2020Sponsorship Guide

For investment professional use only. Not intended for distribution to the public.

2

Table of Contents

The Pershing Platform

STRENGTH IN NUMBERS 5

GLOBAL REACH 6

SOLUTIONS AT A GLANCE 7

MARKET POSITION 8

FUNDCENTER® 9

FUNDVEST 200® 10

ETFS AND FUNDVEST® ETF 11

MANAGED ACCOUNT SOLUTIONS 12

LOCKWOOD MANAGED360® 13

WEALTH SOLUTIONS 14

ANNUITIES AND INSURANCE SOLUTIONS 15

RETIREMENT PLAN NETWORK 16

NETX360® INVESTMENT CENTERS 17

TECHNOLOGY SOLUTIONS 18

2020 Sponsor Guide 3

Appendix

CONTACT LIST 29

ADVISOR SOLUTIONS - BUSINESS DEVELOPMENT 31

ADVISOR SOLUTIONS - RELATIONSHIP MANAGEMENT 32

LOCKWOOD - ADVISOR SUPPORT 33

2020 Sponsorship Opportunities

INSITE™ 20

ADVISOR SOLUTIONS PROGRAMS 25

LOCKWOOD REGIONAL SYMPOSIUMS 26

NON-U.S. CLIENT BASE (OFFSHORE) PROGRAMS 27

The Pershing Platform

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*As of September 30, 2019

Strength in Numbers

GLOBAL LEADER

100,000

$1.9T

7M Over 100,000 professionals using the Pershing technology platform for broker-dealers and advisors*

Approximately $1.9 trillion in global client assets (Pershing LLC and its global affiliates)

Approximately 7 million investor accounts globally

PERSHING

BNY MELLON

65

$37.6B

Provides clearing and custody in more than 65 markets and execution in over 60 markets globally; Pershing also facilitates the trading and conversion of more than 45 currencies

Assets under custody and/or administration

Total shareholders’ equity

Assets under management

$35.8T $1.9TMarket capitalization

$41.7B

Why Pershing?Foster deeper relationships with 1,300 clients comprised of global asset managers, broker-dealers, family offices, registered investment advisory firms, investment managers and fund managers*.

• Create awareness for your products and services.

• Drive more activity and increase your firm’s assets.

• Engage with a platform that has an institutional focus with no direct retail channel.

$547.5B $15.9B

$5M$893.2M 740

Mutual fund assets under custody

Alternative assets under custody

Average assets per household

Average fiduciary assets under custody

Total number of RIA firms on the Pershing platform

Cash management balances under custody

Offshore mutual fund assets under custody

Retirement assets under custody

$100.8B $28.1B

$497.6B

Exchange-traded fund assets under custody

Fiduciary assets under custody

$171B

$762.2B

THE PERSHING PLATFORM

6

THE AMERICAS

• Pershing has offices across the United States and a dedicated team that services Latin America

• Investor reporting is made available in U.S. dollars, Mexican pesos, Brazilian realis, Canadian dollars and other currencies

• Through NetXInvestor®, Pershing’s online investor platform, clients access consolidated account information and a Spanish-language investor website

ASIA PACIFIC

• Pershing Securities Singapore Pte Ltd1 holds a capital markets license to meet the needs of Singapore wealth managers, independent advisors and financial intermediaries

• In Australia, Pershing delivers business solutions through Pershing Securities Australia Pty Ltd2, supporting client reporting in U.S. dollars, Singapore dollars, Hong Kong dollars, Chinese yuan, Philippine pesos, Thai baht, Australian dollars and New Zealand dollars

EMEA

• Pershing provides a broad range of financial business solutions to investment banks, broker dealers, wealth managers, financial planners and advisors across EMEA

• From offices in London, Liverpool, Manchester, Jersey and Dublin, our multi-asset class solution combines sophisticated front-end technology and flexible middle office capabilities with execution, settlement and custody services

• These are supported by a robust regulatory and compliance framework with dedicated client asset experience and expertise

Global Reach

1 Pershing Securities Singapore Pte Ltd, an affiliate of Pershing LLC, is a capital markets services licensed entity regulated by the Monetary Authority of Singapore.

2 Pershing Securities Australia Ltd. (ABN 60 136 184 962, AFSL No. 338264) holds an Australian Financial Services Licence and is a market participant of the ASX and a clearing participant of the Australian Clearing House and is an affiliate of Pershing LLC.

THE PERSHING PLATFORM Back to TOC


Solutions at a Glance

• Alternative Investments

• Annuities

• Asset Management Account

• Cash Management

• Education and Health Savings

• Exchange-Traded Funds

• Mutual Funds

• Managed Accounts Technology

• Investment Advisory Solutions

• Advisory Service and Support Solutions

• Advisor Programs

• Consulting and Coaching Sessions

• Events

• Market Intelligence

• Sponsorship Opportunities

• Thought Leadership

• Capital Introduction Services

• Margin Financing

• Reporting

• Securities Lending

• Trade Execution

• Individual Retirement Accounts

• Employer-Sponsored Retirement Plans

- Retirement Plan Network

- Employer-Sponsored Brokerage Accounts

• Domestic and International Equities

• Fixed Income

• Foreign Exchange

• Options

• Outsourcing

• Integration Solutions

• Investor Solutions

• Professional Solutions

• Fully Paid Securities Lending

• Insurance

• Margin Lending

• Philanthropic

• Private Banking

• Trust

INVESTMENT SOLUTIONS

MANAGED ACCOUNT SOLUTIONS

MARKETING AND PRACTICE MANAGEMENT

PRIME SERVICES

RETIREMENT SOLUTIONS

TRADING SERVICES

TECHNOLOGY AND ENTERPRISE

DATA MANAGEMENT

WEALTH SOLUTIONS


8

Notes: Other includes: Apex Clearing, INTL FCStone Financial, Raymond James, and LPL Financial

Number of clients for Fidelity, Merrill Lynch, Wedbush Morgan, Goldman Sachs, INTL FCStone and LPL are based ondata from LaRoche database extracted on Aug 22, 2018. InvestmentNews data is as of Aug 19, 2019

Sources: InvestmentNews Clearing Firm Ranking Aug 2019, LaRoche database Aug 22, 2019

FidelityPershing

First ClearingGoldman Sachs Axos Clearing Others

RBC HillTop Securities Merrill Lynch Wedbush

35.5%

12%10.8%

8.5%

7.5%

4.7%

4.0%

3.9%

3.6%9.6%

Market Position


CORRESPONDENT CLEARING FIRMS

U.S. Introducing Broker-Dealer Segment Market Share by Number of IBDs Total IBD Firms: 1,762

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FUND TRANSFERProspectus Fulfillment

AMA, Margin andRetirement Accounts

Mutual Fund Research

Order Blasting

Wireless Platform

FUNDVEST®

Portfolio Evaluation Service

Statement Services

CONSOLIDATEDREPORTING

Mutual Fund Only IRA

DIVIDENDREINVESTMENT

Trading Desk

Commission Platform

SYSTEMATIC INVESTMENTS

MUTUAL FUND SUPERMARKET

• Access to more than 29,000 mutual funds from more than 800 fund families

• Consolidated statements

• Research and hypothetical tools online

– Morningstar®

– Standard & Poor’s® (S&P®)

– NaviPlan®

• Seamless account and portfolio administration

• Available to all Pershing clients

– Ticket charges would apply—referenced in the Fully Disclosed Clearing Agreement

– Selling agreements needed with each fund family

– Flexible billing system for transactions

FundCenter®


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REQUESTSFOR INFORMATION

MANAGERINTERVIEWS

MRG RATINGREVIEW COMMITTEE

LOCKWOODINVESTMENT COMMITTEE

REQUESTSFOR INFORMATION

RESEARCH AND MONITORING PROCESS

FundVest 200®

FundVest 200® is a research-driven list of no-transaction-fee (NTF) mutual funds available through our FundVest® platform.

Updated quarterly and offered at no additional charge to our clients, the list is designed to assist in strengthening advisor relationships with investors and provides advisors with access to research from Pershing affiliates that specialize in institutional investment due diligence.

The list is selected by BNY Mellon's Lockwood Advisors, Inc. (Lockwood)1 from a universe of more than 8,000 NTF funds.

Due diligence is provided by the BNY Mellon Manager Research Group (MRG) and includes quantitative screens, institutional-level due diligence, meetings and conference calls with managers. The Lockwood Investment Committee considers this information for additional review, analysis and final selection, and provides this to Pershing. The Lockwood team also partners with the MRG to conduct ongoing monitoring of each mutual fund.

1 Investment advisory services with respect to this list are provided to Pershing, LLC (Pershing) by Lockwood Advisors, Inc. (Lockwood). Pershing is not a registered investment adviser and does not offer investment advisory products, programs or services. Lockwood is an investment adviser registered in the United States under the Investment Advisers Act of 1940, an affiliate of Pershing and a wholly owned subsidiary of BNY Mellon. Pershing LLC, member FINRA, NYSE, SIPC.



ETFs and FundVest® ETF

EXCHANGE-TRADED FUNDS

Pershing provides a comprehensive and robust exchange-traded fund (ETF) platform enhanced by our affiliation with BNY Mellon Capital Markets. We have over 4.3 million ETF positions and more than 171.4 billion in exchange-traded product assets under custody.

CHOOSE FROM MARKET-LEADING PROVIDERS

FUNDVEST ETF

Pershing provides access to more than 290 NTF-ETFs covering a diverse range of strategies and asset classes. In addition to offering a robust list of prominent asset managers, FundVest ETF features:

• No transaction fees

• No purchase minimums

• No holding period


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Managed Account SolutionsDemand for advisory solutions continues to grow. Whether firms need flexible technology or professionally advised investment solutions and research, Pershing can help support holistic wealth management programs.

COMPREHENSIVE TECHNOLOGY SOLUTIONS

Firms have unique needs, and our broad solution set offers a fully integrated, end-to-end managed account experience through our industry-leading NetX360 technology platform.

This allows firms to create a managed account experience.

• Custom Solutions

• Turnkey Solution, Lockwood Managed360®

• Access to third-party asset management programs (TAMP) and technology platforms

DIVERSE INVESTMENT SOLUTIONS

Firms interested in outsourcing all or part of the investment process can leverage:

• Lockwood WealthStart® Portfolios

• Lockwood AdvisorFlex Portfolios

• Separately Managed Accounts

• Third-party strategists and more

SERVICES DESIGNED TO OPTIMIZE BUSINESS EFFICIENCY

By leveraging our broad range of business services, firms may benefit from our scale and experience, creating a potentially more efficient, cost-effective operating model. This allows for more focus on activities that can help strengthen the bottom line, such as increasing capacity, growing revenue and reducing costs.

• Advisory consulting and support1

• Client processing, portfolio accounting and trading administration

• Outsourced research and investment services1

THE SOLUTION


Investment Solutions1

Technology Service and Support

1 Investment advisory solutions, advisory consulting services and overlay services provided by Lockwood Advisors, Inc. (Lockwood). Lockwood is an investment adviser registered in the United States under the Investment Advisers Act of 1940, an affiliate of Pershing LLC and a wholly owned subsidiary of The Bank of New York Mellon Corporation (BNY Mellon). SEC registration does not imply any level of skill or training.

For more information about Lockwood, as well as its products, fees and services, please refer to Lockwood’s Form ADV Part 2, Wrap Fee Brochure for Managed Account Advisor, Wrap Fee Brochure for the Lockwood Sponsored Program, Wrap Fee Brochure for the Managed360® Program or the Firm Brochure, as applicable, which may be obtained by writing to Lockwood, Attn: Legal0® Department (AIM #19K-0203), 760 Moore Road, King of Prussia, PA 19406, or by calling (800) 200-3033, option 3. All investments are subject to risk, including loss of principal. For additional information, please refer to the disclosures at the end of the document.

Lockwood serves as the discretionary manager and, in that capacity, may change the assets, timing of portfolio changes, style and/or investment vehicle allocations within these portfolios at its discretion.

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Lockwood Managed360®

1 Lockwood is the sponsor of Managed360, a wrap fee program for which it provides investment advisory and overlay services. Pershing is not a registered investment advisor and does not offer investment advisory products, programs or services. Pershing provides wholesaling support, proposal generation and billing services.

An integrated managed account solution available to Pershing clients and offered through Lockwood.1

Lockwood Managed360 is a scalable program that offers access to leading third-party model providers and delivers mutual fund/exchange-traded fund (ETF) wrap accounts, unified managed accounts (UMA) and hundreds of separate account managers. Available to Pershing clients and offered through Lockwood, the solution is integrated with NetX360. Investment selection, due diligence and portfolio management recommendations come from Lockwood coupled with institutional-quality research from the BNY Mellon Manager Research Group.

Lockwood Managed360 enables advisors to work efficiently within our integrated managed account investments platform and keep assets within one overall technology platform. This offering can be quickly delivered with limited implementation dependencies.

FEATURES

• Account maintenance

• Billing

• Client onboarding

• Education and training

• Investment solutions and research

• Performance reporting

• Portfolio analytics

• Proposal generation

Advisors can potentially meet the needs of all market segments, from emerging investors to ultra-high net worth investors through:

• Mutual fund/exchange-traded fund wrap accounts

– Fixed and flexible allocation models

• Third-party strategists

• Separately managed accounts

• Unified managed accounts

INVESTMENT SOLUTIONS


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Trust, philanthropic giving, insurance, and lending solutions that meet each stage of the wealth journey.

KEY BENEFITS

• Utilize acquired wealth as a line of credit through our lending solutions

• Expand borrowing power with private banking solutions from BNY Mellon, N.A.1

• Gain access to a network of corporate trustees for personal trusts as well as trust administration for self-trusteed charitable trusts

• Develop philanthropic-giving plans, including donor-advised funds and charitable trust administration

• Protect wealth with high-net-worth (HNW) insurance solutions

MEET CLIENTS' NEEDS AT EVERY LIFE STAGE

Growth Wealth

• Flexible managed account solutions2

• Traditional and alternative investments

• Socially responsible investment

Protecting Wealth

• Fixed income investment

• Structured products

• Custodial choices1

• Tax-managed investing

• HNW insurance solutions

Leveraging Wealth

• Private banking1 through BNY Mellon, N.A.

• Securities-based lending

• Fully paid securities lending

• Margin lending

Transferring Wealth

• Donor-advised funds

• Charitable trust administration

• Access to corporate trustees

FAMILIES

INDIVIDUALS

BUSINESSOWNERS

GROWINGWEALTH

PROTECTINGWEALTH

LEVERAGINGWEALTH

TRANSFERRINGWEALTH

Wealth Solutions

1 Bank custody and private banking solutions are provided by BNY Mellon, National Association (BNY Mellon, N.A.), member FDIC, a wholly owned subsidiary of The Bank of New York Mellon Corporation. Banking services and credit services, which are subject to application and credit approval, are provided by BNY Mellon, N.A. Member FDIC. Mortgage services, provided by BNY Mellon, N.A., are subject to credit approval.

2 Lockwood is an investment adviser registered in the United States under the Investment Advisers Act of 1940, an affiliate of Pershing LLC and a subsidiary of The Bank of New York Mellon Corporation (BNY Mellon).



• Account linking available for existing annuities, as well as life insurance, long-term care and disability contracts

• Streamlined sales and servicing with simplified data management

• Enhanced contract monitoring and reporting through our Annuity Analytics Dashboard

• Benefit from eSignature capabilities which can increase efficiency and reduce paperwork

Annuities and Insurance SolutionsSubscribe® offers streamlined annuity sales and servicing, with access to many of the country’s leading insurance companies.

• Obtain real-time online order status

• Access real-time approval and same-day settlement

• Integrate a firm’s suitability questionnaire

• Submit annuity order entries in Approved and Pending brokerage accounts1

• Support advisory business

• Review Subscribe orders for completeness and suitability

• Save time as Subscribe captures rider information, suitability information and generates pre-filled carrier forms

• Reduce NIGO rates

• Benefit from eSignature capabilities

• Provide complete audit trail for compliance reporting

• Ability to network existing annuity and life positions

• Access NetX360® for daily contract information, such as balance and pricing

• Provide consolidated brokerage account statementsto investor

• Commission netting for annuity applications

• Online commission reporting for annuities andlife insurance

• Automated commissions for exchanges, trailers and adjustments

EASY ONLINE ORDER ENTRY

CONFIGURABLE WORKFLOW

SIMPLIFIED DATA MANAGEMENT

EFFICIENT COMMISSION PROCESSING


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KEY FEATURES

• Built to enhance efficiency in sale and service of retirement plan business

• No cost for advisors or Pershing clients to use the platform

• NetX360® integration with specific core and premium tools

• Entitlement-based access for advisors and firms

• Dedicated team of retirement professionals to help financial advisors with plan opportunities

• Oversight and governance tools that enable firms to establish, communicate and monitor plan servicing requirements

PERSHINGCUSTODY SOLUTION

TOOLS ANDRESOURCES

INVESTMENTADVISORY SERVICES

RECORDKEEPERS

INVESTMENTS

Retirement Plan Network



MUTUAL FUND CENTER

• Features thousands of mutual funds available from Pershing's FundCenter

• Quantitative and qualitative research

• Enhanced screener and predefined screens

• Thought leadership

• Comparison tool

• Link to mutual fund order entry

• Lipper data

NetX360® Investment Centers

ETF CENTER

• Analyze and invest in over 2,000 ETFs and ETNs, including more than 290 NTF-ETFs

• Order entry to buy and sell ETFs

• ETF comparison tool

• Review premium articles, research and tools through both Morningstar® and Lipper®

• Thought leadership content

ALTERNATIVE INVESTMENT CENTER

• Screener tool

• Comparison tool

• Research and education

• Thought leadership

• Simplified order entry process


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THE INTEGRATED WEALTH EXPERIENCE

Supporting advisors holistically through each stage of the investor life-cycle.

PLATFORMS

Pershing's approach to technology integration and open architecture makes it easier for advisors to create the experience they want their clients to have.

• Enriching the investor experience

• Supporting the advisor experience

• Providing actionable insights with data and analytics

• Supporting global wealth management

• Helping clients manage risk

• Leveraging a single source of consistent and reliable information

Windows | Web |Mobile

Wealth Professional

Web | Mobile APIs | Files | SSO

Advisor & Operation Custody Platform

120,000

Firms1,200

Active Monthly Users80,000

Investor Users3.8 Million

Firms900

Active Monthly Users500,000

Third-Party Integrations400+

API Messages75 Million+

ClientPortal

IntegrationServices

INVESTORLIFE-CYCLE

Prospectingand Client

Relationship

ClientOnboarding

Proposal andAsset

Allocation

WealthPlanning

ClientManagement

andServicing

Aggregation/Portfolio

Analytics andPerformance

Trade/OrderManagement

Technology Solutions


2020 Sponsorship Opportunities

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Pershing is excited to bring together top clients, advisors, industry leaders, executives,and sponsors to discuss financial trends, news, and business opportunities.

MCCORMICK PLACE LAKESIDE CENTER CHICAGO, IL, JUNE 10-12, 2020

SPONSORSHIP OPPORTUNITIESBack to TOC


In 2019, we hosted over 2,000 attendees representing 41 states and 16 countries. Approximately 59% of attendees manage an advisory business and nearly 40% represented home office professionals. Over 50% of firms in attendance have AUM of over $250M.

SPONSORSHIP OPPORTUNITIES

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SPONSOR PACKAGES

Please contact Pershing for availability and pricing.

Elite

Platinum

Gold

y Keynote sponsorship

y Ownership of a 45 minute breakout session (non-repeating)

y Opportunity to present on the INSITE Showcase Stage in the Exhibit Hall

y Ten conference registrations

y 20 x 20 exhibit space (island style exhibiting available)

y Invitation to the INSITE Sponsor Reception

y Registration/attendee lists (opt-in only) for one pre- or post-conference communication

y Prominent branding in INSITE promotion and marketing: website, app, printed materials and signage

y Hyperlink to your company website from the INSITE website

y Ownership of two 30 minute presentations on the INSITE Showcase Stage in the Exhibit Hall

y Five conference registrations (additional registrations are $600 per registration)



y Registration/attendee lists (opt-in only) for one pre-or post-conference communication

y Branding in INSITE promotion and marketing: website, app, printed materials and signage

y Hyperlink to your company website from the INSITE website

y Ownership of one 30-minute presentation on the INSITE Showcase Stage in the Exhibit Hall

y Three conference registrations (additional registrations are $600 per registration)




y Branding in INSITE promotion and marketing: website, app, printed materials and signage

$65,000

$36,000

INSITE™



LEARN MORE

I’M INTERESTED

INSITE™SPONSOR PACKAGES (CONTINUED)

$17,000

$11,000

Silver

Technology Kiosk

y Two conference registrations (additional registrations are $1,100 per registration)

y 10 x 10 exhibit space

y Discount on additional conference brand opportunities


y Inclusion on INSITE website and app; includes hyperlink to your company website from the INSITE website

y Two conference registrations

y Free-standing and turnkey kiosk with monitor included

y Discount on additional conference brand opportunities

y Registration/attendee lists (opt-in only) for one pre- or post- conference communication

Please note: This sponsorship is only available to NetX360® integration partners


https://bnymellon.surveymonkey.com/r/6Z6V2BX

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INSITE™ADDITIONAL SPONSOR OPPORTUNITIES

For an additional investment, increase your brand presence at INSITE.

ATTENDEE TOTE BAG

$10,000 $10,000

$10,000

$20,000

$20,000

$10,000

$5,000

$10,000

$15,000

$25,000

$20,000$15,000

$15,000

$5,000$5,000

$15,000

CAFÉ

CONFERENCE APP

REUSABLE WATER BOTTLES

LUNCH

GOLF SIMULATOR

DO NOT DISTURB DOOR HANGERS

SHOWCASE STAGE

REFRESHMENT BREAK

BREAKFAST

Thirty- minute sessions in the Exhibit Hall, showcasing industry perspectives on products, services, and technology.

HOTEL ROOM KEYCARD PACKAGE

With over 2,000 attendees, this a perfect opportunity to showcase your brand at the premier networking event of the INSITE conference.

- Logo included on all printed and digital INSITE marketing materials

- Premier branding at the host venue

- Dedicated VIP space for each sponsor to host select number of attendees. Food and bar service will be available

(Two stations hosted during the conference)

(limited to 4 co-sponsors)

HEADSHOT STATION

CLOSING NIGHT CELEBRATION

LANYARD

SHOESHINE STATION

WI-FI


LEARN MORE

I’M INTERESTED



All opportunities host growth-minded advisory firms who have an interest in engaging with Sponsorship Opportunities and its platform providers on a range of topics covering investment solutions, practice management, M&A, and technology.

All program details are managed by Advisor Solutions.

Advisor Solutions Programs

y Agenda participation

y Two program registrations

y Pre-program and post-program registration/attendee list (includes opt-in attendees only and for one-time use)

y Company overview in program materials

y Branding (logo placement) in program materials

y Something about meal sponsorships

y Opportunity to provide branded premium item in attendee welcome bag (item to be submitted to Pershing for review and approval)

y Networking opportunities

y Agenda participation (topic to be mutually agreed upon) or sponsorship of one networking opportunity

y Full participation in the program (one representative from each sponsor)

y Branding in program communications and materials/promotion

y Attendee list

Elite Advisor Summit

RIA Symposium

$35,000 to $75,000

Gold Level

$20,000

Silver Level

$12,500

March 9-11, 2020

Ritz-Carlton, Laguna Niguel in Dana Point, CA

Dates TBD

New York, NY San Diego, CA Chicago, IL

An exclusive invite-only, program hosting Advisor Solutions' Top 100 clients with a minimum of $1 billion in assets under management.

This program hosts senior executives from key client advisors, and staff prospective firms (attendance ranges from 75 to 150 attendees based on location).The agenda provides a mix of networking and education, highlighting how BNY Mellon's Pershing can help drive organic and inorganic growth.


y No formal participation (networking only)

y Two representatives from each sponsor

y Branding in program communications and materials/promotion

y Attendee list

INSITE™ Dinner

$10,000June 10, 2020

Chicago, IL

A networking event hosting Advisor Solutions clients.

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The Lockwood Symposiums are day-long events that host approximately 50-75 advisor and senior level, home office attendees from our top client firms. The agenda offers a mix of both networking and education.

Lockwood Regional Symposiums

y Participation in one symposium (with manager spotlight presentation)

y Two firm registrations in addition to speaker per event

y Branding in promotional program communications

y Access to attendee lists

y Branding in marketing information distributed to all attendees

y Speakers and topics will be chosen at Lockwood’s discretion. Firms can submit ideas to Lockwood for consideration

Premium Sponsorship

Keynote Speaker Opportunities

$5,000(per event)

$2,500(per event in addition to Premium Sponsorship)

4-6 Regional Events(dates and locations TBD subject to change)


LEARN MORE

I’M INTERESTED

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All opportunities host Pershing’s non-U.S. client base—growth-minded advisory and broker-dealer firms from Latin America and EMEA. These engagement opportunities offer strategic networking and intimate knowledge sharing.

All program details are managed by Pershing.

Non-U.S. Client Base (Offshore) Programs

y Opportunity to host a breakout session; topic to be submitted to Pershing and mutually agreed upon

y Two Symposium registrations (in addition to speaker)

y Branding on all program materials (website, invitation, onsite signage, etc.)

y Pre- and post-Symposium attendee lists are provided

Please contact Pershing for more information

y Representation in the breakout along with one additional sponsor

y Branding via conference promotion (website, app, onsite)

y Attendee list

y One representative from each sponsor

y Branding on invitation

y Attendee list

y Program logistics (venue and audience acquisition is coordinated by Pershing)

LatAMSymposium

Additional INSITE LatAm Opportunities

INSITE LatAM Breakout Session

INSITE LatAM Dinner

$12,500

$7,500

$7,500

TBD

TBD

Chicago, IL

June 10, 2020

Chicago, IL

An exclusive two-day program hosting Pershing’s top non-U.S. broker-dealers and advisory firms. The agenda will feature content from BNY Mellon and Pershing as well as from sponsors.

Participation in an offshore related breakout session during the conference.

A networking event hosting over 100 clients of Pershing LLC (primarily from Latin America).


Appendix

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ALBRIDGE

Charles Granito, Jr.Chief Executive Officer(609) [email protected]

Marc ButlerChief Operating OfficerProduct Management and Development(609) [email protected]

CLIENT SERVICE DELIVERY

Claire SantanielloManaging Director(201) [email protected]

Michael DoyleManaging DirectorHead of Mutual Fund and Cash Management Operations(201) [email protected]

Brendan SullivanDirectorMutual Fund and Annuity Operations(321) [email protected]

Daniel BrunellVice PresidentMutual Fund Support(321) [email protected]

Howard JacobsVice PresidentMutual Fund Contract Management(201) [email protected]

Laurence FriedVice PresidentMutual Fund Support(201) [email protected]

GLOBAL CLIENT RELATIONSHIPS

Maura CreekmoreManaging DirectorHead of Global Client Relationships(201) [email protected]

John WardManaging Director(201) [email protected]

GLOBAL MARKETING AND COMMUNICATIONS

Maureen DuffManaging DirectorHead of Global Marketing(201) [email protected]

Lynn HobsonDirectorHead of Product and Services Marketing(484) [email protected]

Ted GulloVice PresidentGroup Manager of Products and Services Marketing and Head of Sponsorship Program(201) [email protected]

Brianne AlbanVice PresidentProduct and Services Marketing and Sponsorship Program(484) [email protected]

Contact List

30

BNYM INTERMEDIARY ANALYTICS

Brad MooreDirector Head of Product Management and Business Analytics(302) [email protected]

MUTUAL FUND TRADING

(800) 266-1864

ADVISOR SOLUTIONS

Benjamin HarrisonManaging DirectorHead of Business Development and Relationship Management(201) [email protected]

Christina TownsendDirectorPlatform Strategy and Technology Consulting(484) [email protected]

GLOBAL STRATEGY AND PRODUCT MANAGEMENT

Tom SholesChief Strategy Officer and Head of Global Strategy and Product Management(484) [email protected]

Robert CirrottiManaging DirectorHead of Investment and Managed Account Solutions(201) [email protected]

Joel HempelChief Operating Officer, Lockwood(484) [email protected]

George HarrisVice PresidentMoney Manager Relations, Lockwood(484) 801-8011 [email protected]

Michael PartnowDirector Financial Solutions (201) 413-3190 [email protected]

Justin FayDirectorHead of Alternative Investment Network and ETF Center Product Management(201) [email protected]

Richard CalvarioDirectorHead of Fundvest Product Management and 529 Product Management(201) [email protected]

PERSHING PRIME SERVICES

Mark AldorotyManaging DirectorHead of Prime Services, Collateral Funding and Trading Services (201) 413-4445 [email protected]

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C CA

RI

MN WI

MI PA

NY

ME

KS

OK

CO UT

NV

AZ NM

IA

MO

AR

LA

IL IN OH

KY

TN

MS AL GA

FL

SC

NC

VA DE MD

NJ

CT

MA NH

VT

WA

ID

MT ND

WY SD

NE

OR

TX HI

PR

NYC

AK

WV

So CA

NoCA

Business Development & Relationship Management

Ben Harrison, Managing Director Head of Business Development 201-413-2845 [email protected]

Sean Keenan, Director Division Manager, West / Midwest 630-472-6746 [email protected]

Charles Cornett, Director Head of Breakaway Advisor Strategy 321-249-4376 [email protected]

Adam Roosevelt, Director Head of Corporate/Hybrid RIA Business Strategy 201-413-3984 [email protected]

West/Midwest 1515 W. 22nd St. Suite 1000, Oak Brook, IL 60523

East/South East One Pershing Plaza, Jersey City, NJ 07302

Pablo Bizjack, Sales Director 415-778-1933, [email protected]

Gary L. Johnson 201-413-2771, [email protected]

Joe Possley 630-472-7511, [email protected]

Bill Dalton 201-761-5035, [email protected]

Scott Smith 630-472-7519, [email protected]

Jessica Sweeney 201-413-4312, [email protected]

Jim Zahradnick 7303-486-1204, [email protected]

Michael Rieker, 201-413-3168 [email protected]

Kevin Geary 630-472-7515, [email protected]

Kane Kennon 973-360-2583, [email protected]

David Hansen 415-778-1931, [email protected]

Jonathan Story 704-424-2067, [email protected]

**Peter Elia 303-486-1201 [email protected]

Bobby Coster 321-249-4239, [email protected]

* Zach Johnson 630-472-6752, [email protected]

*Alex Long 212-815-5864, [email protected]

Inquiries and questions: (800) 445-4467 or http://www.pershing.com/contact_us/contact_us_ria.html

As of 7/17/19*BDA – Business Development Associate

Advisor Solutions - Business Development

32

Advisor Solutions - Relationship Management

C CA

RI

MN WI

MI PA

NY

ME

KS

OK

CO UT

NV

AZ NM

IA

MO

AR

LA

IL IN OH

KY

TN

MS AL GA

FL

SC

NC

VA DE MD

NJ

CT

MA NH

VT

WA

ID

MT ND

WY SD

NE

OR

TX HI

PR

NYC

AK

WV So CA

No CA

As of 3/10/19

Carsen Donn, Director, Division Manager 303-486 1222, [email protected]

Christina Townsend, Director, Head of Platform Strategy & Technology Consulting 484-801 8813, [email protected]

Barbara Novak Business Consultant 630-472-7514, [email protected]

West 100 Pine St, 32nd Fl., San Francisco, CA 94111

East One Pershing Plaza, Jersey City, NJ 07302

Platform Strategy/Technology Consulting

Karen Bruno, National-Strategic/Institutional 415-778-1902, [email protected]

Ashley Cox, National 321-249-4683, [email protected]

Paul Rojek, Director 201-413-2904, [email protected]

Mike Buckley, National-Strategic/Institutional 321-249-4832, [email protected]

Jen Gadd, NY Metro 201-413-4529, [email protected]

AvitaSukhram, VP 201-413-4333, [email protected]

Cecelia Marshall, National 303-486-1206, [email protected]

Damian Peter, NY Metro 201-413-3027, [email protected]

ShilpaRangaswamy, VP 201-413-2708 [email protected]

Michael Abramowicz, Great Lakes/Midwest 630-472-7406 [email protected]

Adam Verchinski, NY Metro/PA 201-413-3640 [email protected]

John Perkins, Mid-West 630-472-6751, [email protected]

Lisa Collins, West 415-778-1930, [email protected]

Seamus O’Brien, NY Metro/PA 201-413-3222, [email protected]

Rob Sheahan, NY Metro 484-801-8295, [email protected]

Thomas Kindle, Southwest 303-486-1230, [email protected]

Kevin Brandenburg Southeast and Tennessee Valley 704-424-2050, [email protected]

Lisa Crafford, Southeast & Mid Atlantic 321-249-4224, [email protected]

Back to TOC


Lockwood - Advisor Support

C CA

RI

MN WI

MI PA

NY

ME

KS

OK

CO UT

NV

AZ NM

IA

MO

AR

LA

IL IN OH

KY

TN

MS AL GA

FL

SC

NC

VA DE MD

NJ

CT

MA NH

VT

WA

ID

MT ND

WY SD

NE

OR

TX HI

PR

NYC

AK

WV So CA

No CA

As of 9/30/19

Market Market Leaders Sales Specialists

EastJosh Dreseris, Regional Director [email protected] Direct (617) 248-6105

Fran Sedgwick, Senior Analyst [email protected] Direct (484) 801-8093

SouthOPENContact (800) 200-3033, Option 2 for assistance.

Jude Cooke, Senior Analyst [email protected] Direct (484) 801-8117

CentralRyan Dahm, Senior Regional Director [email protected] Direct (484) 801-8189

Kambria Butler, Senior Analyst [email protected] Direct (484) 801-8235

WestJohn Anderson, Senior Regional Director [email protected] Direct (484) 801-8104

Tom Pileggi, Senior Analyst [email protected] Direct (484) 801-8133

Advisory Consulting Services

Kevin St. Clair, CIMA Senior Advisory Solutions Consultant [email protected] Direct (484) 801-8127

Patrick Early, CFA Senior Advisory Solutions Consultant [email protected] Direct (484) 801-8198

Andrew Sy Advisory Solutions Consultant

Management Team

John Hourigan, CFP Vice President, Business Development [email protected] Direct (484) 801-8822

Cindy Kizer, Vice President Product Management [email protected] Direct (484) 801-8042

Brendan O’Neill, CFA Vice President Director of Advisory Solutions [email protected] Direct (484) 801-8019

Stars indicate location of Market Leaders

ABOUT US

BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 35 countries. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. BNY Mellon’s Pershing and its affiliates provide advisors, broker-dealers, family offices, hedge fund and ’40 Act fund managers, registered investment advisor firms and wealth managers with a broad suite of global financial business solutions. Many of the world’s leading financial services firms rely on Pershing for clearing and custody, investment and retirement solutions, technology, enterprise data management, trading services, prime brokerage, and business consulting. Pershing helps clients improve profitability and drive growth, create capacity and efficiency attract and retain talent, and manage risk and regulation.

©2019 Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a subsidiary of The Bank of New York Mellon Corporation (BNY Mellon). Pershing does not provide investment advice. Professionally managed investment advisory services, if offered, are provided by Lockwood Advisors, Inc. (Lockwood), a Pershing affiliate and an investment adviser registered in the United States under the Investment Advisers Act of 1940.

Advisor Solutions. Advisor Solutions refers to the brokerage services business of Pershing Advisor Solutions LLC and/or the bank custody solutions business of BNY Mellon, N.A.

Pershing Limited, a subsidiary of The Bank of New York Mellon Corporation (BNY Mellon). Authorised and regulated by the Financial Conduct Authority, No. 124415. For professional use only. Not intended for use by the general public. Pershing does not provide investment advice. Trademark(s) belong to their respective owners.

Pershing Securities Australia Pty Ltd. This document is issued and distributed in Australia by Pershing Securities Australia Pty Ltd (ABN 60 136 184 962) (Pershing Securities Australia). Pershing Securities Australia holds an Australian Financial Services Licence (AFSL No 338264) issued by the Australian Securities and Investments Commission, is a market participant of the Australian Securities Exchange, Chi-X Australia Pty Ltd and the Sydney Stock Exchange Limited, a clearing participant of ASX Clear Pty Limited and a settlement participant of ASX Settlement Pty Limited. Pershing Securities Australia is an affiliate of Pershing LLC, which is a member of the US Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange (NYSE) and the Securities Investor Protection Corporation (SIPC), and which is a leading global provider of financial business solutions and a subsidiary of The Bank of New York Mellon Corporation.

Lockwood Advisors, Inc. (Lockwood) is an investment adviser registered in the United States under the Investment Advisers Act of 1940, and a subsidiary of BNY Mellon.

Lockwood and Albridge Solutions, Inc. are both an affiliates of Pershing LLC

For professional use only. Not intended for use by the general public. Trademark(s) belong to their respective owners.

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Sponsorship Guide - BNY Mellon | Pershing · 2020-03-04 · INSITE™ 20 ADVISOR SOLUTIONS PROGRAMS...

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