Investor Bill of Rights (Ended)
Realize Your Rights: CFA Society Chicago will review CFA Institute's Statement of Investor Rights. All investors have the right to have financial professionals that make decisions serving in the best interest of their client. This program will teach you what to expect from a financial professional, the questions you should ask to help determine if the person or firm you hire is putting your interests first and how to tell if they are committed to ethical principles critical to your goals.
Free and open to the Public as a part of Smart Money Week
Note: Photo ID required at check-in.
Attire: Business Casual
CFA Institute Qualified Activity: Eligible for 1 credit hour
9:45 am: Registration
10:00 am - 11:00 am: Program
Hosted by: CFA Society Chicago Education Advisory Group
Bradley Summers, CFA, CPWA, CRPC - Financial Advisor; Wells Fargo
Summers joined Wells Fargo Advisors in 2014. Prior to joining Wells Fargo, he was a Financial Advisor at Bank of America/Merrill Lynch. Summers develops sophisticated investment strategies for high net-worth individuals and families that address their needs by utilizing public market securities, alternative investments, and option strategies. Creates customized solutions--no one size fits all approach. He also specializes in retirement plan design for small businesses: in addition to optimizing 401k and profit share plan arrangements, he assists owners and senior management in increasing the tax deferral of their compensation by augmenting defined contribution plans with defined benefit plans, cash balance plans, Section 162 plans, etc. Summers has over 35 years of experience in wealth management, investment banking and capital markets.
Sunitha Thomas, CFA, CPWA, has held Global Portfolio Management and Investment Analyst roles for over 20 years. Her experience includes Investment Analyst roles at Putnam and Fidelity Investments in Boston, MA. She also was the Associate Director of Equity Research for Northern Trust Global Investments. In addition to her analyst responsibilities, Thomas served on the Northern Trust Global Investments Leadership Council, and chaired the Northern Trust Global Investments Diversity and Inclusion Council and the Stock Selection Committee.
Thomas advises clients on investment policy, asset allocation, portfolio construction, and manager and security selection. Her clients include business owners, multigenerational wealth owners and corporate executives. Thomas serves on Northern's Investment Policy committee which formulates firm wide tactical asset allocation policy and on Northern's Investment Advisory Committee which evaluates all investment solutions for wealth management clients.
Thomas is a co-chair of CFA Society Chicago's Distinguished Speakers Series Advisory Group. She has also chaired the Finance and Audit committee of the Music Institute of Chicago and has been actively involved on the boards of the National Kidney Foundation of Illinois and Northern's Centennial Fund for the Education of Children.
In addition to being a Chartered Financial Analyst and member of CFA Society Chicago, Thomas is a Certified Private Wealth Advisor and a member of the Investment Management Consultants Association. She completed a double major in Economics and Latin American Studies at the University of Chicago. In 2001, she was awarded a Master's in Business Administration from the Wharton School of Business of the University of Pennsylvania.
Money Smart Week:
Money Smart Week® is a public awareness campaign designed to help consumers better manage their personal finances. This is achieved through the collaboration and coordinated effort of hundreds of organizations across the country including businesses, financial institutions, schools, libraries, not-for-profits, government agencies and the media. These groups come together once a year to stress the importance of financial literacy, inform consumers about where they can get help and provide free educational seminars and activities throughout the week. Programming is offered to all demographics and income levels and covers all facets of personal finance from establishing a budget to first time home buying to estate planning. The effort was created by the Money Smart Advisory Council and the Federal Reserve Bank of Chicago in 2002. Partnering Organizations will host their events April 22-29, 2017.
*Special Notes Regarding Fees:
Free and Open to the Public
Credit card is required to guarantee ALL reservations. Day-of-event registrations accepted on-site only if applicable and space available. Visa, MasterCard, American Express, Discover and Diners Club are accepted.
CFA Institute CE Qualified Activity
This program qualifies for credit under the guidelines for the CFA Institute Professional Development Program.
Content shared during CFA Society Chicago programs is not, and nothing in it should be construed as, an offer, invitation or recommendation of any specific financial services company or professional, or an offer, invitation or recommendation to sell, or a solicitation of an offer to buy, any securities in any jurisdiction. By registering for and attending this event, you acknowledge that any photographs that may be taken are the property of CFA Society Chicago and give your consent to their use in CFA Society Chicago's online and print business communications and marketing.