Financial Services Institute Announces 2024 Advocacy Award Honorees

The Financial Services Institute, a primary advocacy organization for the independent financial services industry, announced the honorees of its annual advocacy awards program. FSI’s advocacy awards recognize members who have tirelessly dedicated themselves to FSI’s advocacy mission – advancing the interests of Main Street American investors and the independent financial services industry.

“We are proud to honor these distinguished members in this year’s Circle of Excellence,” said Dale Brown, FSI president and chief executive officer. “Through their work and engagement, these honorees have made a lasting impact in the industry, ensuring Main Street Americans have access to professional and affordable financial advice, products and services. They have demonstrated an unwavering commitment to our mission and advocacy priorities, which has greatly contributed to two decades of successful advocacy for independent financial advisors and firms.”

Nineteen members were named to FSI’s 2024 Advocacy Circle of Excellence, with three of those honorees receiving the 2024 Stephen R. Kareta Excellence in Advocacy Award.

The Kareta award recognizes those who go above and beyond in their efforts to protect and advance the interests of their clients, colleagues and Main Street American investors. The recipients of the 2024 Stephen R. Kareta Award were:

• Mike Pedlow, executive vice president and chief compliance officer, Kestra Financial
• Frank Tauches, supervising principal, American Portfolios Financial Services
• Matthew Watts, senior vice president, Raymond James Financial Services

According to FSI, these members set a gold standard for advocacy achievement, creating a lasting impact in their communities. Their accomplishments include building professional and constructive relationships with elected officials and working to engage other FSI members.

In addition to the Pedlow, Tauches and Watts, the honorees named to the 2024 FSI Advocacy Circle of Excellence were:

• Larry Casey, first vice president and chief information officer, Cambridge Investment Research Inc.
• Virginia Cook, senior vice president, compliance officer, PFS Investments Inc.
• Fred Dawson, president, Dawson Wealth Management LLC
• Ted Ferik, senior investment analyst, Avantax Wealth Management
• David Flippo, financial adviser, First Command Financial Services
• Steven Flax, senior vice president, Human Resources, Lincoln Investment
• Sunday Grace, executive vice president and chief financial officer, First Command Financial Services
• Veronica Hammond, senior vice president and chief compliance officer, First Command Financial Services
• Matt Kinsella, vice president and chief compliance officer, Ameritas Investment Company LLC
• Mary Kusske, managing director – senior adviser, Gallagher Fiduciary Advisors LLC
• Ruth Matt, founder and chief executive officer, Fore River Financial
• Patricia McCallop, chief compliance officer, Cetera Advisor Networks LLC and Cetera Advisors LLC
• Hilary Pluemer, chief administrative officer, Prospera Financial Services Inc.
• Angela Renna, president, Sterling Financial Group LLC
• Shawn Scholz, head of compliance and chief compliance officer, AE Wealth Management LLC
• Wendy Simmons, managing director, human resources, Prospera Financial Services

Members named to the FSI Advocacy Circle of Excellence are determined by their engagement and contributions to FSI’s advocacy mission and the industry.

“The dedication of our members is vital in creating a more business-friendly regulatory environment for the independent financial services industry,” Brown concluded.

Since 2004, through advocacy, education and public awareness, the Financial Services Institute has promoted a more responsible regulatory environment for over 70 independent financial services firm members and their 130,000+ affiliated financial advisers – which comprise over 45% of all producing registered representatives.

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