The Bells of Retirement toll for thee, heh, heh. So plan. With whose help? The Department of Labor weighed in on that question with its "fiduciary rule," which has sent brokers and advisors scurrying to comply -- and which has consequences for investors. In this show, Jeff Kelley of Equity Institutional (an asset custodian) and John Drachman of Alpha Segment (a Series 7 Registered Representative) offer their perspectives.
Or you can find them here:
About Jeff Kelley
Jeff Kelley has over 20 years of experience in financial services operations management, and was named Chief Operating Officer of Sterling Trust in January 2008. He began his career with Sterling Trust in June of 1999 as Vice President of Qualified Plans and Institutional Group. Prior to joining Sterling Trust, Jeff was employed by Academy Capital Management as a Registered Investment Advisor, where he served as the Manager of the Operations and Trading Departments since 1991. He is an Accredited Retirement Plan Consultant (ARPC) through the Society of Professional Administrators and Recordkeepers. Jeff earned a BBA in Finance/Management from Baylor University.
About John Drachman
John C. Drachman serves as team leader, senior writer, and principal of AlphaSegment, a creative group of marketing communications freelancers dedicated to meeting the marketing needs of RIAs, asset managers and financial services providers.
An IABC Gold Quill-winner for writing and publications, John has developed marketing communications initiatives for dozens of clients over three decades. He has also served in executive positions at Putnam and Pioneer Investments. John applies his editorial skill and marketing knowledge toward crafting marketing strategies designed to help clients attract, grow and retain assets under management. Applying sound journalistic principles to the story telling process, John has the ability to turn complex themes into compelling and actionable messages.
John is a frequent contributor to industry publications on topics related to financial technology trends, crowdfunding and alternative investments. Most recently, he drafted articles for RIABiz and PrivateWealth. A Series 7 General Securities Agent, he is affiliated with Innovations Partners, LLC, headquartered in Charlotte, N.C.
Fintech! Episode 89 brings us Albert Periu, co-head of Capital Markets at Funding Circle, which provides secured loans to small businesses that Banks do not typically serve, while offering speed and transparency fostered by digital technology. The show looks at the borrower and the investor (in effect, the lender) perspective.
You can find out more about Albert Periu and Funding Circle here.
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About Albert Periu
Albert leads the Capital Markets team and is responsible for platform funding and the overall structuring, execution and distribution of Funding Circle’s offerings to institutional and accredited investors. He also serves as President of Funding Circle Securities, the affiliated broker-dealer of Funding Circle USA.
Albert was most recently a Director at Telsey Advisory Group. Previously, he spent six years as a Vice President at FBR Capital Markets working with hedge funds, family offices and asset managers on private and public transactions. Prior to that, Albert was an associate at Merrill Lynch Capital. He started his career in investment banking at Deutsche Bank in the Global Media Group. Albert received a BSBA in Finance and International Business from Georgetown University.