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  • John Parmigiani

It's Time to Bet Big on Small Firms. Did you know...

That the designation of a firm whether its considered small , mid-sized or large has nothing to do with assets or revenue? In fact the classification of a firm is based on headcount alone. Here's how it works:

  • Small Firm 1 to 149

  • Mid-Size Firm 149 to 499

  • Large Firm 500 +

90% off all firms fall into the small category, but they have a bigger voice than you think with some of the most experienced talent in the business, in my humble opinion of course.

This years panelists may have different backgrounds, demographics and personalities, however they have at least one thing in common with each other and with all of us, they are the driving force behind their not so small firms. So lets take a look at day Day 1.


On the Examination Priorities and Findings Panel you will get to meet Stephen Kohn, the newly elected Small Firm Representative on the FINRA Board of Governors. Persistent and vocal, Steve should be a good resource for voicing any concerns you may have.


Wendy Lanton, fellow Small Firm Advisory Board Member, always gives a great panel. I stalked Wendy for years at conferences (lol) just to hear her insight. Ask a question and Wendy answers, direct, clear and concise.


Later that day in the Tips for Screening, On-boarding and Termination Panel, you'll get to meet John Veator from FINRA Member Relations and Education; John's whole division is a group of really nice, hardworking execs'. They do lot of work behind the scenes and make these events happen.


Also on this Panel is Betsy Brennen, former Chair of The Small Firm Advisory Board, Shawn McLaughlin, fellow Small Firm Advisory Board Member, District Committee Representative and one of the nicest professionals you're going to meet, accompanied by, not to mention, yours truly ;)

We are going to share some best practices, red flags, and lessons learned from past experiences that hopefully could save you years of heartache and legal and have some fun doing it.


Kicking off Day 2, be sure to see Joe Romano on Compliance and Supervision Under The DOL Rule. Joe runs one of the largest small firms out there, he is our current Representative on the Board of Governors and is an all around class act. To say his resume is impressive would be an understatement.


At 11:30 my highlight will be Paige Pierce sharing best practices for Effectively Managing Outsourcing & Vendor's. Paige is the current Chair of the Small Firm Advisory Board, and is currently running for the Small Firm Seat on the NAC. Paige is a plethora of knowledge with steadfast resolve, who lives and breathes the plight of the small firm. I think she will be a great presence for us on the NAC if elected. (executive representatives hint-hint)


Now, by no means should this discount the other panelists at this conference. There are some heavy hitters on that list that I haven't had the luxury of getting to know personally yet, but I can tell you that I'm looking forward to it and you should as well.


This conference is a great way for Small Firms to get involved, to get to know peers, and get some great advice. You will find that these leaders are down to earth, open and happy to help. Their resumes may tell you what they've done, their presence will show you who they are. Say hello and see for yourself. Get Involved and Let's Make the Small Firm Great Again!

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