General Inquires
Marlene Jung
Robert Architect
Senior Tax Law Specialist
  Bob Architect joined the Employee Plans Division of the Internal Revenue Service in 1975. His current position is Senior Tax Law Specialist, Employee Plans. Bob began developing his expertise with 403(b) tax sheltered annuity plans in 1978. Along with developing the new 403(b) regulations, Bob has spoken at more than 200 events around the country. His efforts to increase awareness in the 403(b) community have contributed greatly to the success of our outreach efforts. Bob holds the degrees of J.D. and L.L.M. and is a member of the New York State and District of Columbia Bar Associations.

Richard Carpenter
Richard Carpenter, CPC, CEBS
President & Founder
USVI Pensions and Consulting
  Richard N. Carpenter, CPC, CEBS, is President and Founder, USVI Pensions and Consulting. Richard is the founder of the Technical Answer Group, Inc (, now owned by Wolters Kluwer Law and Business. Prior to founding, Richard was formerly the Senior Manager in charge of the Florida employee benefits consulting practice for Deloitte & Touche. He has an MBA and has earned both the Certified Employee Benefits Specialist (CEBS) and Certified Pension Consultant (CPC) designations.

Richard was an instructor for the CEBS program and is a frequent national speaker on the design and administration of 401(k) and other qualified deferred compensation arrangements. He has also spoken on pending legislation affecting the qualified retirement plan industry as well as preparing small to medium size businesses for acquisition.

Jason K. Chepenik
Jason K. Chepenik, CFP®, AIF®, PRP
Managing Partner
Chepenik Financial an NRP Firm
  Jason oversees the executive compensation and retirement plan consulting for organizations spanning a wide range of industries, including several Fortune 1000 companies, encompassing more than 35,000 employees. A Certified Financial Planner (CFP®) since 2002, Jason became an Accredited Investment Fiduciary (AIF®) in 2007. In 2008, PLANSPONSOR magazine named Jason one of the most successful retirement plan managers in the country.

Beyond his work with Chepenik Financial, Jason is an active and respected member of the business community, contributing his financial expertise to various organizations, including private enterprise, non-profits and government agencies. In 2008, he had the honor of being invited to testify before the Department of Labor on matters pertaining to retirement plans, providing insight that will help shape the policies of tomorrow.

He earned a Bachelor’s Degree with concentration in Finance from Tulane University and holds Series 7, Series 63 and Series 65 registrations.

Mike Chinsell
Mike Chisnell CFP®, AIF®
Director - Investment Services
ValMark Securities, Inc
  Michael Chisnell graduated from The University of Akron with a degree in Finance with a focus on Financial Planning. Michael holds the Certified Financial Planner™ (CFP®) designation from the CFP Board of Standards, the Accredited Investment Fiduciary™ (AIF®) designation from The Center for Fiduciary Studies, and is a FINRA Registered Principal with the Series 7, 24, 66 and life, health and annuity licenses.

As Director of Investment Services, Michael is responsible for managing the Retirement Planning Services division at ValMark. Michael counsels advisors on their Retirement Plan practices by increasing fiduciary awareness and the benefits of advisory-based open architecture retirement plans. He has devoted his work to increasing the accessibility of Exchange Traded Funds via Collective Investment Funds on multiple custodial platforms. In addition, Michael has spent time as an Adjunct Professor with The University of Akron teaching a CFP® required curriculum course focused on Retirement Benefits Planning. Michael speaks frequently around the country on the topic of Retirement Planning and Exchange Trade Funds.

Michael is a member of the Financial Planning Association and The American Society of Pension Professionals & Actuaries. He resides in Akron, Ohio with his wife Stacy and two dogs Archie and CODA.

Marilyn Collister
Marilyn Collister
Senior Director, Legislative & Regulatory Affairs
Great-West Retirement Services
  Ms. Collister is Senior Director, Legislative and Regulatory Affairs for Great-West Retirement Services. An employee benefits attorney, she specializes in the tax and ERISA rules governing employer-sponsored retirement plans, including the unique rules applicable to governmental and church plans, and tax-sheltered annuities. She works with a number of industry associations to monitor legislation and regulations and to shape regulatory guidance on issues important to employer-sponsored plans.

Ms. Collister is a contributing author of the 401(k) Answer Book published by Aspen Publishers, a division of Wolters Kluwer Law and Business. She is a frequent speaker on retirement plan issues, and is the author of Focus on 403(b) and co-author of Focus on 457, a newsletter for governmental defined contribution plans that has been published since 1987. Ms. Collister received the degrees of Juris Doctor and Master of Laws in Taxation from the University of Denver, College of Law.

Marilyn is a member of the National Association of Government Defined Contribution Administrators (NAGDCA), currently serving on NAGDCA’s Legislative Committee; she is chairwoman of both the Regulatory and Legislative Task Force and the 403(b) Task Force for The SPARK Institute; and is a member of the American Benefits Council Retirement Income Task Force.

Steve Cronin
Steve Cronin, CEBS
Vice President, National Sales Director
  Steve is the National Sales Director for Ascensus, a 1,000+ employee administration and recordkeeping firm with over 26,000 401(k) plans, making it one of the industries’ largest independent providers. As National Sales Director, Steve is responsible for a team of eleven (11) regional wholesalers who distribute commission and fee-based, open fund architecture products through RIAs, B/Ds, Wire-Houses, Independents, RIAs, IO Mutual Fund Firms and Third-Party Administrators (TPAs). Steve has nearly 30 years of retirement plan industry sales and servicing experience. Prior to joining Ascensus, Steve was practice leader for a retirement consulting firm and was head of retirement sales and administration for some of the industry’s leading financial services providers.

Phil De Camara
Phil De Camara
Director - Institutional Retirement & Philanthropy
Bank of America/Merrill Lynch
  Phil De Camara is a Director with Bank of America/Merrill Lynch’s Institutional Retirement & Philanthropy business with responsibility for the design and delivery of investment vehicles inside corporate benefit plans, as well as management of its relationships with over 100 asset management firms. Phil also serves as a trust officer for Merrill Lynch Bank & Trust Co. Phil joined Merrill Lynch in 2005.

Prior to joining Merrill Lynch, Phil was with Prudential Financial in a variety of roles, which included investment product and relationship management responsibilities within Prudential’s retirement and variable annuities businesses, as well as serving as assistant general counsel within its law department. Prior to that, Phil was in private law practice in Washington D.C., specializing in federal securities law.

Phil is a graduate of Georgetown University and The University of Virginia School of Law.

Ralph DelSesto
Ralph DelSesto
National Director
TPA Strategy
  Ralph is responsible for managing ING’s TPA relationships nationally. This includes implementing TPA technology solutions, working with our product development teams to ensure the successful launch of TPA friendly products and services as well as developing and coordinating various TPA meetings and educational programs. With over 15 years of experience in the 401(k) defined contribution market, he recently shifted his focus to the 403(b) market as a result of the new regulations that take effect on January 1, 2009. He has held various positions that include time in customer service, information technology, and sales & marketing. He holds a bachelor’s degree in marketing and finance from CCSU, a Series 6 and 26 registrations with FINRA and various ASPPA and NIPA designations.

Jamie DeRubertis
Jamie DeRubertis
Vice President
National Sales Manager
Matrix Settlement & Clearance Services
  Jamie DeRubertis is the Vice President and National Sales Manager of Matrix Settlement & Clearance Services, LLC. He is responsible for overseeing the long-term vision and strategy for sales and marketing initiatives.

Prior to joining MSCS, Mr. DeRubertis was Vice President in the Mutual Fund Services Division of the National Securities Clearing Corporation (NSCC). At NSCC, he served as Director of Bank Marketing, focusing on growing the use of NSCC’s automated mutual fund services. Mr. DeRubertis also managed the product marketing and rollout of NSCC’s Defined Contribution Clearance & Settlement (DCC&S) service, which has become the industry’s standard platform for retirement plan processing. Mr. DeRubertis also served on the American Bankers Association’s Mutual Fund Processing Committee, which assisted in developing NSCC’s Mutual Fund Processing Guidelines for banks. While at NSCC, he was a member of the Investment Company Institute’s Bank/Trust Advisory Committee.

Larry H. Goldbrum
Larry H. Goldbrum
General Counsel
The SPARK Institute
  Larry is Executive Vice President and General Counsel of The SPARK Institute. As Chairman of The SPARK Institute Government Relations Committee, which is responsible for developing the regulatory and legislative priorities and positions of the SPARK Institute, Larry works extensively on helping to resolve critical industry issues.

Larry has over 20 years of experience in the retirement plan industry, including six years of private practice specializing in ERISA matters. He is a frequent speaker at retirement plan industry conferences and is often quoted in industry media. Larry is a member of the Washington, D.C. Bar and American Bar Association. He received his law degree from the Vanderbilt University School of Law, and a Bachelor of Business Administration degree from The George Washington University.

John Guido
John Guido
Divisional Vice President - Strategy & Marketing
ADP Retirement Services
  John Guido is currently Division Vice-President, ADP, Inc., responsible for strategic planning, product development and the marketing of the firm’s suite of retirement service offerings.

Over the course of the last 20 years, John has held various executive level roles in the financial services and defined contribution arena, including MetLife, Standard & Poor’s, and ADP, Inc.

John resides in New Jersey and works in ADP’s headquarters in Florham Park, NJ.

Cynthia Hayes
Cynthia Hayes, CFA, CEBS
Managing Partner
Oculus Partners, LLC
  Cynthia Hayes is a nationally recognized leader in retirement related policy, business management, product strategy, marketing, and client management. She formed Oculus Partners, LLC in July, 2008, to bring specialty expertise to asset managers and advisors, brokers and distributors, product manufacturers and record keepers seeking to:
  • Accelerate their growth through product innovation, expansion of sales channels, sales effectiveness, or corporate acquisition activities
  • Re-invigorate their client or distributor relationships with leading edge thinking, solution based marketing approaches, and targeted success measures
  • Manage their business risks related to ERISA programs
  • Restructure their business to focus on the highest and best use of capabilities, reputation, and resources
She retired from Merrill Lynch as a Managing Director of their Retirement Group in June, 2008 where she held executive line management responsibilities including business and product strategy, sales, client management, marketing, product management. Prior to Merrill Lynch, Cynthia was Senior Vice President of NationsBank (now Bank of America) responsible for Institutional Trust Operations and launching the daily 401(k) business as the senior business line executive.

Elizabeth Heffernan
Elizabeth Heffernan
Vice President
Product Management for Personal and Workplace Investing (PWI)
Fidelity Investments
  Elizabeth Heffernan is vice president, Product Management for Personal and Workplace Investing (PWI), a unit of Fidelity Investments. In her current role she is responsible for developing and driving the Guaranteed Income and Investment product strategy for the Defined Contribution business within PWI. Previously Ms. Heffernan held a variety of roles in sales, marketing and client relationship management including responsibility for communications and education programs for Fidelity’s Tax Exempt client base. She joined Fidelity in 1995.

Prior to joining Fidelity, Ms. Heffernan worked in employee benefits for Northwestern University in Evanston, IL and First Colonial Bankshares in Chicago, IL. Ms. Heffernan received her Bachelor of Arts degree in English from the University of Iowa in 1988. She currently holds her Series 6, 7, 63 and 24 registrations.

Sarah Holden
Sarah Holden
Senior Director of Retirement and Investor Research
Investment Company Institute
  Sarah A. Holden, Ph.D is Senior Director of Retirement and Investor Research at the Investment Company Institute (ICI). At the Institute, Ms. Holden conducts and oversees research on the U.S. retirement market, retirement and tax policy, investor demographics and behavior, and international issues. She is responsible for analysis of 401(k) plan participant activity using data collected in a collaborative effort with the Employee Benefit Research Institute (EBRI), known as the EBRI/ICI Participant-Directed Retirement Plan Data Collection Project. In addition, she analyzes the role of mutual funds in the retirement marketplace including defined contribution plan and IRA markets. She is also responsible for managing investor research on a range of topics relevant to the fund industry and policy formation. Prior to joining the Institute, Ms. Holden worked as a staff economist in the Flow of Funds Section of the Research Division at the Federal Reserve Board. Ms. Holden is a graduate of Smith College and holds a Ph.D. in economics from the University of Michigan.

John Kalamarides
John Kalamarides
Senior Vice President
Retirement Solutions
Prudential Retirement
  John J. (Jamie) Kalamarides is senior vice president of Retirement Solutions with Prudential Financial. In this role, he has overall management responsibility for all aspects of the Retirement organization’s defined contribution and defined benefit business operations for Corporate, Government, Multi-Employer and Non-Profit clients.

Prior to joining Prudential, Kalamarides was senior vice president of Marketing & Strategy for CIGNA's full-service retirement business, which was acquired by Prudential in April 2004. Before joining CIGNA, Kalamarides led strategy projects for Accenture in the communications, technology and office equipment industries. Kalamarides also developed new products and services for Greenwich Associates, a strategic consulting and research firm serving institutional financial services providers.

Kalamarides serves on the Board of The SPARK Institute, and is also a member of the International Employee Benefits Foundation (IFEBP), and the National Association of Government Defined Contribution Administrators (NAGDCA) where he chaired the Auto-Enrollment Taskforce. He was the past winner of the Connecticut AMA's Marketer of the Year. Kalamarides holds NASD Series 7, 24, and 66 credentials.

Kalamarides is a graduate of Colgate University and earned a master's in business administration with high distinction from the Amos Tuck School of Business Administration at Dartmouth College.

David Kelly
Dr. David Kelly
Chief Market Stategist
JPMorgan Funds
  Dr. David Kelly is the Chief Market Strategist for JPMorgan Funds. With over 20 years of experience, David provides valuable insight and perspective on the markets to thousands of financial advisors and their clients.

Throughout his career, David has developed a unique ability to explain complex economic and market issues in a language that financial advisors can use to communicate to their clients. He is a keynote speaker at many national investment conferences. David is also a frequent guest on CNBC, and other financial news outlets and is widely quoted in the financial press. Prior to joining JPMorgan Funds, David served as Economic Advisor to Putnam Investments. He has also served as a senior strategist/economist at SPP Investment Management, Primark Decision Economics, Lehman Brothers and DRI/McGraw-Hill.

David is a CFA charterholder. He also has an M.A. and Ph.D in Economics from Michigan State University and a B.A. in Economics from University College Dublin in the Republic of Ireland.

Eric Levy
Eric Levy
Retirement Business Leader
  As Business Leader for the Retirement Outsourcing Business at Mercer, Eric is responsible for the general management, strategic direction, product and business development efforts of Mercer's Defined Contribution, Defined Benefit and Individual Retirement (Mercer Wealth SolutionsTM) business lines. In this role, Eric also serves as Division Head for Mercer Securities.*

Previously, Eric served as Director of Business Development for Mercer’s outsourcing business and as Managing Director of Strategic Relationship Development at Putnam Investments, promoting business growth in spearheading the expansion of the variable annuity, subadvisory private equity, and retail 401(k) business. Prior to joining the firm, Eric worked as a consultant on several strategy development projects for major investment management and insurance companies.

Eric graduated magna cum laude and Commonwealth Scholar from the University of Massachusetts at Amherst where he received a BBA in Finance, and earned an MBA from the Boston University School of Management. He holds Series 6, 7, 24, 27 and 63 licenses with FINRA.

*Mercer Securities is a division of MMC Securities Corp., Member FINRA/SIPC

Barbara March
Barbara March
Executive Vice President, Workplace Investing
DC Plan Services
  As Executive Vice President of DC Plan Services, Barbara March is responsible for driving the direction and strategies associated with servicing retirement plan sponsors and participants for Fidelity's Workplace Investing business.

Barbara has 30 years financial services experience, specializing in implementing operations, service and technology strategies to drive business results. In addition to a 12 year consulting career, she has worked at T Rowe Price, INVESCO/AIM, and Merrill Lynch. Prior to joining Fidelity Investments in 2007, Barbara was the Senior Vice President of Customer Service for ING's wealth management business.

Joan McDonagh
Joan McDonagh
Senior Director, Legislative & Regulatory Affairs,
Great-West Retirement Services
  Joan received a J.D. from American University, Washington College of Law, in 1985 and has subsequently practiced law in the employee benefits area. She has worked with Great-West Retirement Services® since 2004 and with its wholly owned subsidiary, EMJAY Corporation, since 1988. Joan’s areas of expertise include ERISA compliance, with an emphasis on fiduciary requirements.

Joan is a member of the Milwaukee, Wisconsin and American Bar Associations. She is on the Government Relations Committee and the Legislative and Regulatory Task Force of The SPARK Institute and currently chairs its Fee Disclosure Task Force. She is a member and past Vice-President of Wisconsin Retirement Plan Professionals, Ltd. She has written numerous articles and presented a variety of seminars on issues related to qualified plan operation. She is a co-author of the 401(k) Answer Book in the Aspen Publishers Answer Book Series.

Jude Metcalfe
Jude Metcalfe
DST Retirement Solutions
  Jude Metcalfe is president of DST Retirement Solutions, the single largest technology and servicing outsourcer in the industry, bringing to market the broadest array of servicing options for retirement plan providers in a single offering. Mr. Metcalfe was appointed president in 2008 and has more than 25 years of financial services, retirement plan, and business process outsourcing experience. DST Retirement Solutions is a division of DST Systems, Inc.

Mr. Metcalfe previously served as senior vice president and head of retirement services at Boston Financial Data Services, Inc. Prior to joining Boston Financial, Mr. Metcalfe was CEO of Wealth Management Systems, Inc. He also held leadership positions at other retirement industry organizations such as Mellon, Fidelity, Kwasha Lipton, and Prudential. While with a major financial services organization in the mid-1990s, Mr. Metcalfe also was instrumental in the development of the Total Retirement Accounting Capabilities (TRAC®) recordkeeping platform.

Mr. Metcalfe holds Bachelor of Arts degrees in Business Administration and Psychology from Rutgers University. He is also Series 7, 24, and 63 licensed. Mr. Metcalfe serves on the board of directors of The SPARK Institute and is a member of The SPARK Institute 401(k) Plans Advisory Board.

Cheri Moder
Cheri Moeder
Director - Corporate Communications
CPI Qualiefed Plan Consultants, Inc.
  Cheri Moeder’s experience spans more than 25 years in the retirement plan industry. Although her tenure with CPI Qualified Plan Consultants, Inc.began with plan documents and administration, since the mid-90s her focus has been on sales and marketing. As Regional Manager, she provided consulting services to plan sponsors and their financial advisors to design the appropriate retirement plan solution. That experience lead to an internal position as Director – Strategic Alliance Relationships, acting as liaison between CPI and the mutual fund companies on its platform. She currently enjoys the position of Director – Corporate Communications, working on local, regional, and national marketing campaigns and materials, along with advertising and press releases while providing technical research to CPI’s sales staff, both internal and external.

Charlie Nelson
Charlie Nelson
Great-West Retirment Services
The SPARK Institute
  Charles Nelson joined Great-West Life & Annuity Insurance Company in 1983. He was appointed President of its Great-West Retirement Services unit in 2008 after serving as the unit’s Senior Vice President since its inception. He continues as the senior officer responsible for all aspects of the retirement business’s defined contribution and defined benefit programs, overseeing the corporate, government, healthcare, nonprofit, and institutional lines of business.

Mr. Nelson’s responsibilities include general management of the business, which comprises recordkeeping, administration, operations, marketing, sales, products, financial results, and broker-dealer services. Great-West Retirement Services provides 401(k), 401(a), 403(b) and 457 retirement plan services to approximately 20,000 plans representing almost 3.9 million participants and more than $116 billion in assets at March 31, 2008.

Mr. Nelson serves as Chairman of the Board of Directors of The SPARK Institute, a trade group that represents the entire spectrum of retirement plan service providers, including mutual funds, banks, insurance companies, third-party administrators, and brokerage firms that serve more than 95 percent of all 401(k) participants. In addition, he is a member of the National Association of Government Defined Contribution Administrators (NAGDCA).

Peter Newkirk
Peter Newkirk
Newkirk Products
  Pete Newkirk is President of NEWKIRK. Pete started NEWKIRK in 1972, with three of his brothers. His main responsibilities in the company are sales, marketing and product development. Over the past thirty-five years, hundreds of financial institutions, brokers, TPA’s, estate planners, investment advisors and accounting firms have utilized NEWKIRK's syndicated, customized and data-base driven publications to communicate with customers, prospects, and plan participants. Pete is a frequent speaker at industry trade associations, user groups and national conferences. In 2003, he received a Lifetime Achievement Award from Defined Contribution News. Pete received his BA from Hamilton College and his MBA from the Harvard Business School.

Christopher O'Neill
Christopher O’Neill, Ph. D., CFA, CFP® FRM, ChFC
Senior Vice President – Investment Strategies
Mesirow Financial
  Chris O’Neill has over 20 years of experience in finance and scientific research. He is an expert in the areas of quantitative investment manager selection, Monte Carlo simulation and quantitative finance. Prior to joining Mesirow Financial, Chris was a research consultant for Ibbotson Associates, where he applied quantitative analysis and product development experience to support the efforts of the Investment Management Services, Fund of Funds and Financial Communications groups. Earlier, Chris offered quantitative investment advice and methodology to other financial advisors as president and founder of Quantalent Investment Consulting, LLC, an independent Registered Investment Advisor. Also during his accomplished career, Chris spent five years dedicated to financial planning, which culminated in a senior product management role developing a Web-based investment advice tool for a major mutual fund company.

Chris earned his Ph.D. and M.S. degrees in theoretical physics from Cornell University and an A.B. degree in physics magna cum laude from Princeton University. Chris is a CFA charter holder, a CFP® certificant and holds Financial Risk Manager (FRM) and Chartered Financial Consultant (ChFC) designations. In addition, he has published eight papers and academic reports in theoretical particle, accelerator, and gravitational physics.

Scott Parker
Scott Parker, CFA
Senior Manager
Deloitte Consulting
  Mr. Scott Parker is a Senior Manager in Retirement Services Provider Consulting practice serving both providers and asset managers competing in the Defined Contribution marketplace. Scott has over 12 years of experience in the retirement services industry and leads investment management and fee related projects including disclosure, pricing and fee benchmarking studies. Additionally, he focuses on retirement plan provider and asset manager business strategy, product development and operations.

Jim Philips
Jim Philips
Retirement Resources Investment Corporation
  Jim Phillips, President of Retirement Resources, has been in the investment industry for over 30 years, the past 15 of which have been focused in the area of qualified retirement plans. Jim worked for major national investment firms for 14 years before “going independent” in 1990. Retirement Resources became a broker dealer in 1999 and registered with the SEC as an Investment Advisor in 2005. Jim holds Series 4, 7, 24, 53 and 66 registrations and has successfully completed the Accredited Investment Fiduciary program. Jim has had articles published in Defined Contribution Insights and his firm’s work has been acknowledged with multiple Signature Awards from the Profit Sharing/401k Council of America.

Martin Pippins
Manager - Employees Plans Technical Guidance
  Marty is the Manager of the Employee Plans Technical Guidance and Quality Assurance group at the IRS. From 1999 through 2003, he was the Manager of Actuarial Group 2. Marty has worked for the IRS as an Actuary since 1987, received his certification as an Enrolled Actuary in 1996, and has served on the Joint Board for the Enrollment of Actuaries.

Marty received a Bachelor of Science degree in Mathematics from the University of Notre Dame in 1982. He attended college on a Naval ROTC scholarship, and served as a Surface Warfare Officer in the U.S. Navy from 1982 to 1986.

Hal Ratner
Hal Ratner
Senior Consultant & Asset Allocation Strategist
Morningstar Associates
  Hal Ratner is a Senior Consultant with Morningstar Associates. In 2003 Hal joined Morningstar Associates, where he is responsible for developing and implementing asset allocation and manager structure methodologies. In addition, Hal currently heads Morningstar Associates’ asset allocation committee. Before joining Morningstar, Hal served as vice president of investments for mPower, where he led a team of analysts responsible for manager research and manager structures. Prior to joining mPower, he was assistant vice president of global manager research for Callan Associates. Hal was also an analyst at ING Barings Management Consulting Services and at Morningstar, Inc. Hal has published in The Journal of Wealth Management and has been quoted in publications such as the Wall Street Journal and the New York Times. He holds a BS from Antioch College and is a member of the Investment Analysts Society of Chicago.

Daniel Rosshirt
Daniel Rosshirt
Principal and Northeast Practice Lead
Retirement Services Consulting
Deloitte Consulting LLP
  Dan has 20 years of experience developing business and product strategies for the leading companies in the retirement services industry. Prior to joining Deloitte Consulting, he had his own consulting company focused on the retirement and asset management industries where he advised clients on product development; capability assessment/due diligence; strategic analysis; product and organizational positioning and business development. Before entering the consulting industry, Dan was Vice President and Head of Marketing and Strategic Planning for MetLife’s Retirement and Savings group. He also held the positions of Chief-of-staff and Director of Strategic Marketing for MetLife’s Institutional Business.

John Rowe
John Rowe
National Director - Institutional Alliances
MetLife Institutional Business
  John is responsible for developing and supporting strategic partnerships with institutional asset managers and 401(k) recordkeepers. He works within MetLife’s Institutional Income Annuity product development team whose focus is bringing ‘Lifelong Income’ to 401(k) programs.

John has served in a variety of client-facing functions throughout his distinguished 26-year career. These roles included sales management, product development, client management, strategic planning, corporate development and executive leadership while at The Hartford, American Express, Merrill Lynch and Genworth Financial.

John received his Bachelor of Science with dual majors in Finance and Economics from Ball State University in Muncie, Indiana. Today he lives in Minneapolis, Minnesota with his wife and two children. John currently serves as Board Chairman for the Minnesota Zoo Foundation, and is actively involved in preparations for the PGA Championship at Hazeltine National Golf Club in August 2009.

Steve Saxon
Steve Saxon
Groom Law Group
  Steve heads up the firm's special practice groups on pension plan investments and on 401(k) plan administrative and investment management matters. These groups focus on the ERISA, securities, banking, and tax issues that arise in connection with the offering of investment products to employee benefit plans. He works on a wide variety of administrative, litigation and legislative matters involving tax-exempt organizations and ERISA, specializing in matters relating to Title I of ERISA. Steve received his undergraduate degree from Colgate University and his law degree from Georgetown University Law School.

Thomas G. Schendt
Thomas G. Schendt
Alston + Bird LLP
  Tom Schendt is a partner in the firm’s Employee Benefits and Executive Compensation Group. His practice focuses on employee plan litigation, agency civil and criminal audits, investigations and disputes and voluntary compliance initiatives involving the Internal Revenue Service, Department of the Treasury, Department of Labor, Pension Benefit Guaranty Corporation, U.S. Securities and Exchange Commission and the Department of Justice. Tom regularly assists clients with the execution of various plan administration and qualification requirements under Titles I & II of ERISA. He also focuses on fiduciary issues affecting plan providers, including plan fee disclosure, exemption issues, and implications of recent PPA provisions.

Prior to joining the firm, Tom had been with the Internal Revenue Service since 1988, where he held a number of positions. He received his B.S. degree in finance and his M.B.A. from Marquette University before receiving his law degree from Marquette Law School in 1985, where he served as an editor of the Marquette Law Review.

Keith Styrcula
Keith Styrcula
Founder & Chairman
Structured Products Association
  Keith Styrcula is the founder and chairman of the Structured Products Association. He was a senior member of JPMorgan's structured investments group until January 2006, where he created the JPMorgan Structured Solutions unit.

His career started in 1991 when he joined CSFB’s Legal Department from Fordham University School of Law to oversee legal, regulatory and compliance issues related to First Boston’s derivatives effort. While practicing as a derivatives attorney, he was a member of the FIA Law & Compliance Executive Committee, the SIA Options and Derivatives committee and served on the Business Conduct Committee of the Philadelphia Stock Exchange.

He moved to the business side of equity derivatives in February 1997, reporting to the head of equity derivatives at SBC Warburg (renamed UBS following the merger). At UBS, he created the first structured product linked to the Dow Jones Industrial Average (issued by IBM). He returned to CSFB in July 2000 to launch the structured products platform for the newly acquired DLJ Private Client Services group, which placed $1.2 billion in its first year. He founded the 2,300-member Structured Products Association in August 2003.

He is frequently quoted in the financial media as an authority on derivatives, structured products and the next generation of investments for U.S. and was profiled in the February 2004 issue of Risk magazine on his vision for the future of structured investments. The March 2006 issue of Structured Products Magazine interviewed him on his groundbreaking new structured products platform he launched in the U.S.

Mr. Styrcula was interviewed by Maria Bartoromo on CNBC's “Closing Bell”on June 21, 2006 on the topic of retail structured products. The interview followed the Wall Street Journal's same day publication of the Structured Products Association's statistics on the growth of structured products among U.S. retail investors.

Marie Swartzwelder
Marie Swartzwelder
Vice President – Investment Strategy
Prudential Retirement
  Marie Swartzwelder is a Vice President and Senior Investment Strategist for Prudential Retirement. Prior to joining Prudential she worked at CIGNA as a Senior Consultant for Global Portfolio Strategies, Inc., the investment advisory arm of CIGNA Investment Management registered with the SEC. In that role, she was responsible for product development, and a portfolio of national account clients. Marie is responsible for providing comprehensive investment support to qualified plan clients including customized asset allocation modeling for defined benefit plans, asset liability analysis, investment policy statement preparation and the ongoing monitoring and evaluation of investment performance. Marie is also a member of a designated investment team responsible for the due diligence review on portfolio managers, managing Prudential's subadvised institutional funds, and for providing investment support and expertise for new business generation and national accounts. Previously, she was with H.C. Wainwright & Co. , Inc. a prestigious regional investment banking firm in Boston, MA where she headed their asset management consulting group.

Marie is a graduate of Saint Joseph’s with an MBA from the University of Connecticut and brings over 20 years of financial and investment experience. She is a frequent speaker at national industry and pension conferences and has lectured on investment management strategies, fiduciary issues, and current events relating to the investment and pension industry.

Fred Teufel
Fred Teufel
The Vanguard Group
  Fred Teufel is a principal in Vanguard’s Institutional Retirement Plan Services, where he oversees annual plan and 5500 reporting; compliance testing; trustee services, risk management, and NQP administration services. In previous roles at Vanguard, Mr. Teufel served as a corporate controller and director of internal audit. He also worked in corporate strategy. Before joining Vanguard in 1990, Mr. Teufel was a senior manager in the assurance practice at Price Waterhouse in Philadelphia. Mr. Teufel earned a B.S. and Graduate Business Certificate from St. Joseph’s University. He is also a CPA.

Robert Wasky
Robert Wasky
President of Retirement
Rollover Solutions, LLC
  Robert Wasky is President of Retirement Rollover Solutions, LLC, an independent consulting firm helping retirement-focused advisers, broker-dealers, mutual fund companies and annuity providers maximize revenue opportunities from the retirement marketplace.

Mr. Wasky has deep experience leading business development and producer initiatives in financial services. Prior to starting Retirement Rollover Solutions, Bob held senior staff and field positions at AXA Financial and Chemical Bank/Chase, including SVP, Business Growth and Field Productivity, Branch Manager, and Head of Field Relations for AXA’s 6,000 retail sales force.

Mr. Wasky earned his B.A. in Economics from Rutgers University and an MBA from the Wharton School of Business at the University of Pennsylvania. He holds NASD Series 7, 24, 53, and 66 credentials. Bob and his family reside in New Jersey.

Spencer Williams
Spencer Williams
President & CEO
  Spencer Williams is President and CEO of RolloverSystems, an independent provider of rollover services. Spencer joined RolloverSystems in 2007. Over his career, Spencer’s experience spans starting, building and leading businesses in the financial services industry. Prior to joining RolloverSystems, Spencer served in numerous roles with MassMutual from 1997 to 2007, including founder and CEO of Persumma Financial, LLC (a MassMutual Financial Group company) and as a leader in creating and building the company's retirement income and rollover IRA lines of business.

Prior to MassMutual, Mr. Williams was Senior Vice President of Retirement Plan Services for Federated Investors, where he led the business and service operation of the company's corporate and institutional retirement plan products.

Mr. Williams earned his B.A. degree in English from the United States Naval Academy and an MBA from the University of Pittsburgh. He is registered with the NASD as a General Securities Principal and General Securities Representative.

Gregg Wood
Gregg Wood
DailyAccess Corporation
  Gregory T. Wood is Chief Operating Officer of DailyAccess Corporation, a leading retirement plan services provider. In his decade with DailyAccess, Wood has overseen the company’s operations and guided its growth as an industry leader in recordkeeping, administration and consulting services.

Wood’s commitment to moving the financial services industry forward has been demonstrated through his work with several professional organizations. He served on the American Society of Pension Professionals and Actuaries (ASPPA) task force on full fee disclosure. He was also involved in the formation of the Council of Independent 401(k) Recordkeepers (CIKR), a national organization of retirement plan service providers. Wood additionally lent his expertise to the Centre for Fiduciary Excellence (CEFEX) in establishing standards for its Recordkeeper Certification Program.

A former military helicopter pilot with broad corporate management experience, Wood previously served as Director of Operations for Nextel International, where he completed the startup of Nextel's operations in Argentina.

Wood is a graduate of the University of South Alabama and is a Certified Public Accountant. He is a frequent speaker at conferences and events throughout the financial services industry.

Bob Wuelfing
Bob Wuelfing
RG Wuelfing & Associates
The SPARK Institute
  Bob is President of RG Wuelfing & Associates and The SPARK Institute. RG Wuelfing & Associates serves the retirement and investment management industries by providing strategic consulting, public relations, market research and M&A services. The SPARK Institute is the leading voice in Washington for the retirement services industry. Bob is also the founder and managing director of the Society of Professional Asset-Managers and Record Keepers (SPARK).

Bob has a Bachelor's degree from the University of Connecticut, an MBA from the University of Hartford and serves on the Entrepreneurship Advisory Council at Grove City College in Pennsylvania. Bob is a frequent speaker at industry trade association meetings.

Silver Sponsors

Other Sponsors