Fiduciary Education, Recognition & Best Practices: A Panel Discussion

Broadridge

Rising client expectations and changing regulation are placing increased focus on the meaning of a fiduciary. Hear from two advisors on how they view the importance of a fiduciary, the role professional development has played, and how firm-level assessment set their business a part.

During this dynamic discussion you will:

• Understand the fiduciary continuum of earning AIF®, AIFA®, and CEFEX® recognition and the benefits at every stage
• Hear examples of how best practice learnings translate into real-world application
• Listen to testaments describing the impact of individual and firm level fiduciary recognition
• Get perspective on the future of fiduciary focused advisors

This well-rounded discussion will leave you inspired with actionable steps to start or continue your fiduciary journey.

This webinar is not eligible for continuing education credit.

Speakers

Monica Garver, CPA, CFP®, AIFA®, CDFA™
Director of Retirement Plan Services and Financial Strategist
McKinley Carter Wealth Services

Monica serves as the firm's director of Retirement Plan Services, working with the executive team to oversee all retirement plan services/components and their delivery to their Retirement Plan clients. Additionally, Monica works as a financial strategist in the Johnstown office where she provides her wealth management clients with unbiased advice that seeks to help them reach their life goals. She also serves on McKinley Carter's Investment Services Council (ISC), which oversees the design, communication and implementation of comprehensive investment programs, as well as the firm's Tax and Legacy Planning Specialized Practice Group.

With over 35 years of experience in financial planning and investment management, Monica is a National Registered Financial Advisor of the National Association of Personal Financial Advisors (NAPFA). In 2020, she was selected as an AIF® Item Writer, which means she is a contributor to the Accredited Investment Fiduciary certification program based on merit. Monica is also a recipient of Pittsburgh Magazine’s “Five Star Wealth Manager Award.”

Roger L. Levy, LLM, AIFA®
Managing Director
Cambridge Fiduciary Services, LLC

Formally educated in England, Mr. Levy practiced law in London after becoming a Solicitor in 1970. He was a partner in Taylor & Humbert, one of England's oldest law firms before emigrating to the United States in 1975 where he joined Saul Ewing Remick & Saul, in Philadelphia.

He earned a master’s degree in law from Temple Law School and was the first English lawyer to be admitted to the Pennsylvania bar.

Mr. Levy established his own practice specializing in international business before joining the Law Offices of Robert M. Gottschalk, in New York City, a firm specializing in international business and trade. Subsequently, he served as Counsel to Kleinberg Kaplan Wolff & Cohen PC in New York City.

Mr. Levy became a founding member of Cambridge Financial Services Group, which, prior to its sale to CapTrust Financial Advisors in 2013 provided investment advisory services to retirement plans, endowments and foundations and he served as its in-house legal adviser. Mr. Levy’s principal role was to manage the firm’s adherence to industry best practices and to assist clients to conform to a fiduciary standard of care.

An Accredited Investment Fiduciary Analyst™, he performs both consulting fiduciary assessments and those that can lead to CEFEX certification. In addition, he is often called upon to provide expert reports and expert witness testimony in fiduciary breach litigation.

Michael Muirhead, Jr.
Senior Director, Learning & Development
Broadridge Fi360 Solutions

Michael Muirhead, Jr. is senior director, learning and development for Fi360. In this role, he’s responsible for leading the strategy, design, development and delivery of Fi360’s designation and training solutions.

Michael approaches learning and development from the perspective of an industry professional who has successfully worked with plan sponsors, financial advisors, consultants and plan providers for more than 20 years.

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