July 16, 202511 min
Ep 20 Summary and Take-Aways
This summary provides the key lessons learned and primary take-aways from episode 20, a case study on a turn-key asset protection strategy for financial institutions.
Episodes
21
Latest episode
Jul 2025
Language
EN
About the show
The Stathis-Mittel Industry Leadership and Success podcast series for the financial institutions wealth management channel is focused on industry leading performance, success stories, case studies, and key business intelligence that will help you meet your leadership and business growth objectives, and help our channel achieve its full potential. In addition to case studies and discussions of real-time challenges and solutions we will be discussing related issues including the following: • Lessons Learned from Remote Advisors • What It Means to be a Trusted Advisor • The Importance of the Discovery Process • Creating Differentiation in a Commoditized Industry • Book Optimization • Tiered Delivery and Client Segments • Reg BI Implementation • Why We Suck at Insurance and What to Do About It • Profits based on value of services provided, not types of products sold • The Future of Fees • Succession Planning • The Growing Importance of Data Mining
Listen to episodes
July 16, 202547 min
Case Study - Turn-Key Asset Protection
This episode focuses on a no capital expenditure turn-key initiative to generate non-interest-income by protecting client assets. We dig into the working arrangement between two companies that has generated impressive results in a short period of time.Discussion points include:Data-driven customer segmentationMulti-channel engagement (including direct mail, email, and social media)Robust internal communication to foster customer trust and retention.Add-on lead generation.Our guests are Jim Stuncard from Dollar Bank, and Dan Bonano from Franklin Madison.
August 14, 20241 hr 19 min
Are Boutique Broker Dealers a Best Kept Secret?
While just about everybody in our audience is familiar with the large broker dealers that serve the bank and credit union channels, there are other options that most are not familiar with. These options tend to be smaller boutique broker dealers that offer their own unique benefits and value propositions which could be very beneficial in many circumstances. In this episode we explore one of those options, Midwestern Securities, a boutique community-first broker dealer and RIA owned and operated by community bankers and financial professionals. Our panelist for this episode are:Mike Graham, CFP®- President and CEO of Midwestern SecuritiesAnne Schutt, CFP®- Vice President, Midwestern SecuritiesChris Gavin - CEO, Midwest BankLuke Harl - Financial Advisor and Vice President of Asset Management, FNB Wealth Management at Fairfield National
June 19, 20241 hr 4 min
How Wealth Management Benefits the Institution
In this episode we discuss how a comprehensive wealth management program is a cornerstone for financial institutions seeking to expand their customer base and cultivate profitable relationships. How these programs allow an institution to service more needs and thereby create loyal relationships with clients, gather more assets, and increase per-client revenue and profitability. When done well these programs provide a platform for holistic financial guidance tailored to individual needs. Listen in and learn from our guests how to create a profitable integrated financial services ecosystem!Matt McAfee from M&T BankTim Sease from South State BankHeather Broderick from LPLChris Cassidy from LPL
February 19, 20241 hr 4 min
The Emergence of Optimized Licensed Branch Employee Programs
In this episode we discuss how LBE programs, when done right, form an effective bridge between the institution and the wealth program. How to select and compensate LBEs. Career pathing, success stories, avoiding past mistakes, and more. Our guests are:Tiger Booker – LPLKelly Meany - LPLChuck Shreve – Fremont BankDavid Simula – SAFE CUA big THANKS to LPL for being a sponsoring partner on this episode.
January 4, 20241 hr 0 min
The Convergence of Investments, Trust, and Private Banking, Pt 2 – Diving into the One Wealth Success Story at Zions
In this episode we continue the discussion on the journey to “One Wealth” that we began in Part One. We’ll cover topics like effective leadership, measuring success, driving the culture, creating awareness, among others!Our guests are:Rebecca Robinson – ZionsChris Considine - ZionsCarolyn Bradshaw - LPLChris Cassidy – LPL Our guests discuss how Zions as eliminated "fences" and climbed into the top 5% of NPS scores.A big THANKS to LPL for again being a sponsoring partner on this episode.
November 8, 20231 hr 3 min
The Convergence of Investments, Trust, and Private Banking – Pt 1
In this episode we have a fascinating discussion on the journey to “One Wealth” and the related topics of teamwork, the client experience, compensation, technology, and related best practices. Our panel consists of the following:Rebecca Robinson - Zions BancorporationRhomes Aur – First HorizonChristopher Cassidy – LPL
August 5, 20231 hr 1 min
Leveraging Financial Planning to Attract and Retain Assets
In this episode we discuss aligning the proper dynamics for financial planning to have a significant impact on the quality of client relationships and the resulting business growth. We address user adoption, client engagement, plan delivery, and related best practices.Our panel of experts includes:David Ellman – Team Leader, Bank of the WestRobert Gewecke – Private Client Advisor, Bank of the WestAngie Cheung – Private Client Advisor, Bank of the WestJen Shields – National Training Director, Midwood Financial ServicesChris O’Malley – Regional Training Director, Midwood Financial Services(Note that we had some audio challenges during the recording of parts of this episode. While a few segments have digital "embellishments" they are still perfectly understandable.)
June 10, 20231 hr 14 min
The Next Wave of Gathering & Retaining Assets
In this episode we discuss what it takes to stay relevant in the wealth management space as acute technology disruptors, generational shifts, and quickly evolving client expectations present existential challenges.Our panel consists of Mike Prior from Priority Financial Group, a third-party RIA, Jim Fujinaga from Hancock Whitney, and David Zimmerman, who ran the wealth program at Atlantic Union and First Citizens, among others. Discussion topics include the progression towards an RIA-like fiduciary model, engaging the next generation, building trust, and the importance of data in the evolution of our business.
October 17, 202254 min
Leveraging Long Term Care Options to Enhance Client Relationships
This episode focuses on how to leverage the variety of LTC options to close the gap between those that have coverage, and those that need coverage. And doing it in such a way that positions you as a subject matter expert, helps educate your clients, and enables you to become a Trusted Advisor and grow your asset base. To do this we have assembled a group of subject matter experts from three different facets of our industry.
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