BISA Portfolio Podcast

In this final episode in the BISA Portfolio Podcast “DE&I Voices” series, guest host Logan Hickman of Nationwide converses with Megan Richter of Key Investment Services and Jermaine Perrien of Symetra about the value of diverse teams within the financial institution. Both Symetra and Key Investment Services have implemented DE&I initiatives, such as resource groups, training and leadership commitment. They discuss these initiatives and strategies for the future.
About Logan Hickman
Logan Hickman, ChFC®, CLU®, serves as director of advisory annuity distribution for Nationwide. In his role, he leads a team of high-performing sales professionals who are responsible for growing advisory annuity sales within the broker-dealer channel. Hickman is also responsible for helping design and implement long-term sales strategies that align with Nationwide's mission of protecting people, businesses and futures with extraordinary care.

Perhaps most importantly, though, Hickman is a fervent champion of diversity, equity and inclusion. Aside from the daily duties of his role, he serves as the President of Nationwide's Pride Employee Resource Group’s Scottsdale Chapter. He also serves on BISA's DE&I Committee and is a 2023 BISA Rising Star.

Hickman and his husband, Ben, live in Scottsdale, AZ with their cream-colored miniature dachshund, Whitney. Outside of work, they enjoy hiking (when it’s not too hot), long weekend trips and exploring the Phoenix food scene with friends.

About Jermaine Perrien
Jermaine Perrien has worked in the financial services sector since 2005. He joined Symetra Financial in 2015 and is currently assistant director of internal sales/talent and development for the retirement division. Perrien was recognized by BISA as a 2023 Rising Star and is a member of the Association for Wholesaling Diversity. He is passionate about providing opportunities, helping others realize their potential and increasing financial literacy. Perrien also serves on Symetra’s DEI Strategy Team and the retirement division’s DEI Leadership Council. A 2004 graduate of the University of Puget Sound in Tacoma, Washington, Perrien lives in the Pacific Northwest with his wife and children.
About Megan Richter
Megan Richter is a wealth management regional Eeecutive with Key Investment Services within the following markets: Ohio, Indiana, Michigan, Colorado, Utah, Idaho, Oregon, Washington and Alaska. She leads and coaches a team of Wealth Market Leaders leading Private Client Financial Advisors to grow her business through deepening our existing relationships and expanding our market share across Key Bank’s footprint.

BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel.

• Visit the Portfolio content hub
• Become a BISA member

In this two-part series of the BISA Portfolio Podcast, Portfolio contributing editor Rich Blake is joined by Kevin Beard, chief growth officer at Atria Wealth Solutions, and Jim Nickens, president of InSource, Inc. and executive vice president of USAnnuity Partners - both members of BISA's Diversity, Equity & Inclusion Committee.
In this second episode, Beard and Nickens share their thoughts on:

• Executive buy-in and commitment to DEI,
• How to hold leaders accountable to supporting DEI in an organization,
• Examples of particularly effective leaders in the financial services industry that have advanced DEI in authentic and impactful ways, and
• Advice for future leaders who look forward to a more inclusive, diverse financial industry.

Circle back to Portfolio Podcast Episode 7 to hear from Beard and Nickens about their leadership journeys, what DEI means to them and how to keep the conversation going about DEI within organizations.

BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel.

• Visit the Portfolio content hub
• Become a BISA member

Truist's Jacinda Norvell and Huntington's Mike Miroballi, BISA president, join host Jeff Hartney, BISA executive director, to discuss how the typical wealth client is evolving and changing. Here are a few highlights you won't want to miss in this episode of the BISA Portfolio Podcast:

• How the needs and expectations of the wealth client have changed
• Effective strategies to meet clients at different life stages
• Ensuring clients receive tailored financial solutions
• How to leverage technology to enhance the client experience
• Ensuring inclusivity and accessibility
• Providing value-added services to address client life goals
• Wealth transfer and intergenerational planning for high-net-worth families

About Jacinda Norvell
Jacinda Norvell is a senior managing director and the wealth brokerage sales execution director for Truist Wealth and Trust Investment Services, Inc. offering over 25 years of financial services experience. Prior to joining SunTrust, now Truist, in 1997, Jacinda obtained both retail brokerage and institutional investment experience at The Robinson Humphrey Company and Invesco. Having worked in various management roles at SunTrust, now Truist, Jacinda currently leads sales enablement efforts for their broker/dealer focused on advisor recruiting and retention, business planning and execution for managers and advisors, and development and DEI initiatives.
About Mike Miroballi
As president of the Huntington Investment Company, Michael Miroballi is responsible for leading the strategic direction, overseeing regulatory governance and setting priorities for the business.

Michael joined Huntington in February of 2017 after spending nearly 16 years at BMO Financial Group. He has over 30 years of experience in financial services. Michael spent the early part of his career with Merrill Lynch and Citigroup as a financial advisor. He obtained his CFA designation in 2000 and transitioned to portfolio management and trust investment management with Harris Private Bank, now known as BMO Private Bank, where among his accomplishments he led the creation of BMO’s open architecture outside manager and mutual fund platform. In 2007, Michael was appointed president of the bank’s retail broker-dealer, BMO Harris Financial Advisors. As president of BMO Harris Financial Advisors, Mike led the transformation of the business to become a leader among peers in the growth of investment advisory assets under management. Likewise, as president of Huntington Investment Company, he has led the transformation of the business to become a planning-based advisory firm with advisory assets growing more than five-fold in just over five years.

BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel.

• Visit the Portfolio content hub
• Become a BISA member

In this second part of a two-part series highlighting BISA DE&I Rising Stars Program participants, guest host Piera Valle (Pacific Life) is joined by Amy Busch (The Huntington Investment Company) and Mary Tuggle (iCapital), both from the program's 2022 cohort.
They share their stories, thoughts and advice after almost a year spent as program participants, discussing topics including:

• Benefits of having a mentor 7:03
• Their commitment to DE&I 10:37
• Recruiting and retaining young professionals 18:36
• Advice for people new to the industry 26:50
• and more!

The BISA DE&I Program is an exclusive BISA-sponsored recognition and leadership development program for professionals who have demonstrated commitment to creating an impact in and advancing DE&I in our industry or within their communities. It’s designed to foster professional growth, leadership growth and career advancement for diverse individuals through mentoring, networking events and volunteer opportunities.

BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel.

• Visit the Portfolio content hub
• Become a BISA member

Managing SEC and FINRA exam priorities isn't always a walk in the park, but guest host Carol Goulding (M&T Securities) and guest Serina Shores (Huntington Financial Advisors) break down how they do so effectively — and have fun along the way — in this edition of the BISA Portfolio Podcast. Topics discussed include:

• Process for analyzing letters (8:12)
• Finding best practices (10:45)
• Contacting regulators directly (12:52)
• Addressing results of FINRA analysis (15:47)
• Involving legal staff (16:46)
• Reporting to the board (19:16)
• Implementing and tailoring training (21:24)

Please note that all comments represent the opinions of the speakers and don't necessarily represent the opinions of their firms.

Carol Goulding is a senior vice president with banking and securities industry experience concentrating on regulatory and compliance issues. She is currently the senior compliance manager for Wilmington Trust’s Wealth Division and is responsible for overseeing business policies and procedures to ensure compliance with regulatory and ethical sales practices. She holds several FINRA licenses as well as a Life, Accident and Health license.
Serina Shores is the senior vice president - chief compliance officer of Huntington Financial Advisors. She has over 23 years of experience in the industry in various roles. Prior to Huntington Financial Advisors, she served in multiple capacities at Washington Mutual’s WM Financial Services and JP Morgan Chase’s Chase Investment Services Corp. She is married and has two children and a running partner — Buster the Cavachon dog.
BISA's Regulatory & Compliance Program serves as a resource for BISA member companies in an increasingly stringent regulatory environment. BISA partners with qualified firms to provide strategic insights and regulatory, compliance and risk management expertise through regular editorial content submission, training and education, conference programming and other monitoring and risk management information services that would benefit BISA members. BISA accomplishes this through two yearly regulatory and compliance summits, one in the fall and one in the spring. Learn more about these events here. BISA members are also welcome to join the monthly Regulatory & Compliance Networking Gr

BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel.

• Visit the Portfolio content hub
• Become a BISA member