11:00 a.m. - 11:30 a.m.
Practice Management Roundtable
Topic: Prepping for Your Annual Compliance Review:
RIA Form ADV Part II Filing

11:30 a.m. - 1:15 p.m.
Lunch & Program
TOPIC: Business Entities
SPEAKER: Victor Ngai, JD, CLU, ChFC
About the Presentation: This one-hour presentation will review the different forms of business entities that are typically used when setting up a new business, paying particular attention to formation requirements, liability exposure, operational formalities, allocation of profits and losses, and income tax characteristics.  Knowledge of business entities is crucial to understanding the goals, objectives and planning opportunities available to small business owners. This course is designed to help the financial services professional to:

About the Speaker: Victor is a member of the Business Resource Center for Advanced Sales at The Guardian Life Insurance Company of America.  He is responsible for the educational, marketing and sales support materials on advanced planning topics from this group, and manages several of the attorneys and the case design team.  Prior to joining Guardian, Victor spent five years leading the case management group for the SEI Wealth Network, serving high and ultra high net worth clients with their financial planning needs, and training financial advisors on holistic planning solutions.  That was preceded by three years at Prudential Securities where Victor headed up the Prestige Private Client Group, the company’s high net worth financial planning department.  Before joining Prudential Securities, Victor spent nearly five years at Prudential Insurance, supporting and training advisors and their clients on executive benefits, business, estate and charitable planning areas.  Victor joined Prudential Insurance after a ten year career as a private practice attorney in New York City concentrating on business and estate planning.