For Education Partners

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2014 Presenters

Charlotte L. Anders
Manager, Executive Programs for the Executive Development Center, Strome College of Business
Old Dominion University
Presentation: Stories from Registered Programs Regarding the New CFP Board Registered Program Renewal Process and Self-Assessment

Charlotte L. Anders serves as the Executive Programs Manager for the Executive Development Center in the Strome College of Business at Old Dominion University. In this position, she develops and manages professional development programs targeting individuals, businesses, organizations and government agencies that want to improve or enhance employee performance in order to meet the challenges of today’s business environment. These programs include open enrollment courses which may lead to industry certifications or topics that respond to the needs of the market and contract courses customized for a specific business need.

Prior to joining Old Dominion University, Ms. Anders spent more than 25 years at Virginia Polytechnic Institute and State University holding positions as the Director of the Virginia Tech Hampton Roads Center, Interim Director of the Virginia Tech Richmond and Roanoke Centers, and as an Economic Development Specialist in the University’s Public Service Programs unit.  In all of these positions, she served as a liaison between the university and businesses, organizations, local and state governments, and non-profit organizations seeking development education and expertise.  She developed and delivered educational programs, facilitated strategic and community planning, and provided technical research and development assistance.

She holds a Bachelor of Science degree in Hospitality and Tourism Management and a Master of Science degree in Business Management from Virginia Tech.  She is also a graduate of the Hampton Roads Chamber of Commerce’s Lead Hampton Roads program, the Commonwealth Management Institute offered by the Center for Public Policy at Virginia Commonwealth University, and Arthur Anderson and the American Economic Development Council’s Economic Impact Analysis program.

Dr. Kristy Archuleta
Associate Professor, Personal Financial Planning;
Director, Financial Therapy Certificate, Financial Therapy Clinic
Kansas State University
Presentation: Perceptions of Graduates of CFP Board Registered Programs Regarding Experiences that Impact CFP® Certification Completion

Dr. Kristy Archuleta, Ph.D., LMFT is an associate professor in Personal Financial Planning and the Director of the Financial Therapy Certificate and the Financial Therapy Clinic at Kansas State University. Dr. Archuleta is a nationally and internationally recognized researcher and financial therapist with backgrounds in both personal finance and marriage and family therapy. She aims to bridge the gaps between interpersonal and intrapersonal factors and personal finance. Dr. Archuleta co-founded the Financial Therapy Association, Journal of Financial Therapy (JFT), Institute of Personal Financial Planning Clinic, and Women Managing the Farm. She currently serves as the Treasurer and President-Elect of the Financial Therapy Association, Editor-in-Chief of JFT, and on the Editorial Board of the Journal of Financial Planning. Dr. Archuleta, co-edited the Financial Planning and Scales, a book compiling assessments useful for researchers and practitioners in financial planning and counseling.  Currently, she and her colleagues are editing the first textbook for financial therapy, Financial Therapy: Theory, Research, and Practice. Dr. Archuleta is a recipient of the Myers-Alford Outstanding Teaching Award in the College of Human Ecology at Kansas State University and the Distinguished Alumni Award from the College of Human Sciences at Oklahoma State University. Dr. Archuleta and her team of students were awarded outstanding paper at the Financial Therapy Association conference, recognizing their seminal work of developing a conceptual framework of financial therapy. Dr. Archuleta’s work has been featured in media outlets, such as Glamour, Parade, Korean Journal of Financial Planning, NPR Marketplace, Chicago Tribune, NY Daily News, CBS Money Watch, Kansas City Star, Investment News, forbes.com, onenewsnow.com, usatoday.net, and filife.com, and Mid-America Ag Network.​

Mark Barickman
Senior Vice President & Staffing Executive
Bank of America’s Global Wealth & Investment Management
Panelist: Firms' Night

Mark Barickman is Senior Vice President and Staffing Executive for Bank of America’s Global Wealth & Investment Management (GWIM) business.  Mark’s team is responsible for managing all hiring related activities (approximately 5,000 per year) for GWIM domestically, including Merrill Lynch Wealth Management (PMD, Advisor and Staff Support Recruiting), US Trust, Global Wealth and Retirement Solutions, GWIM Chief Operating Office and GWIM Banking. 

Mark joined Bank of America in 2011.  Prior to joining the bank he served in various capacities in the financial services industry for over 28 years.  He began his career in 1982 as a Financial Advisor with Smith Barney Harris Upham working with individuals, middle market and institutional clients.  In 1997 he became branch manager in Norfolk and Virginia Beach, VA for Smith Barney until being named branch manager in eastern Iowa (Quad Cities) in 2000.  In 2006, Barickman was named director of Citi Smith Barney’s training program, where he lead the redesign of the program and the sourcing and development of over 3,000 new financial advisors, until being named Director of the MSSB program following the joint venture in June of 2009. 

Mark holds a bachelor’s degree in Marketing & Economics from West Virginia University.  He resides in Basking Ridge, NJ with his wife, Elizabeth and their two children, Matt and Anna.  He enjoys golf, gardening, cooking and spending time with his family.

Dr. Charles Chaffin
Director of Academic Programs and Initiatives
CFP Board
Presentation: Perceptions of Graduates of CFP Board Registered Programs Regarding Experiences that Impact CFP® Certification Completion

Dr. Charles Chaffin arrived at CFP Board in March 2010, where he provides guidance and oversight to the 364 CFP Board Registered Programs. He holds a Doctor of Education degree from the University of Illinois at Urbana-Champaign with an additional graduate degree from the University of Michigan. His educational background has focused upon teaching pedagogy, curriculum and instruction, educational and cognitive psychology, learner assessment, and higher education administration. He has taught all levels of learners, from elementary school, baccalaureate, graduate, and doctoral studies, as well as classroom-based, online, and blended instructional platforms. Dr. Chaffin has worked with a variety of colleges and universities in developing and revising curricula to enhance student achievement in both degree and non-degree programs of study. He has published several papers that have focused upon the cognitive workload of learners in different task settings, reflective practice, and best practices in higher education curriculum and instruction. Dr. Chaffin is the editor of the Financial Planning Competency Handbook from CFP Board published by John Wiley & Sons.

Lori Crose
Interim Director of Strategic Programs
Oakland University
Presentation: Stories from Registered Programs Regarding the New CFP Board Registered Program Renewal Process and Self-Assessment

Lori Crose has been with Oakland University (OU) in Rochester, Michigan since 2000 and is currently the Interim Director of Strategic Programs.  In this position she has administrative responsibility for educational programs across the University including credit and non-credit certificates, re-licensure training, certification training and retooling programs at and above the post-bachelor level.  In addition, she is responsible for developing high quality, new and innovative programming that will align with county, state, and federal employment trends and is charged with connecting them with the government and business communities.  Lori has served as Director of OU’s Personal Financial Planning Certificate Program for the last ten years.

Prior to higher education, she worked in the healthcare industry serving as laboratory research assistant at both Illinois State University in Bloomington, Illinois and Southern Illinois University School of Medicine in Springfield, Illinois.   Later, she served as Senior Microbiologist at Pharmacia-Upjohn in Kalamazoo, Michigan.  While there, her research on Streptomyces transposons resulted in several white paper publications and she received numerous awards for her contribution to antibiotic production process improvements.

Lori earned a Master’s Degree in Public Administration in 2002 from Oakland University and a Bachelor’s Degree from Illinois College in 1981.  She currently is serving as the Central Region Secretary for the University Professional and Continuing Education Association (UPCEA) organization. She recently served as a member of the Oakland County’s Workforce Development Business Roundtable and represented Oakland University Representative on the Oakland County Emerging Sectors Educational Consortium.


Dr. Lukas Dean
Financial Planning Program Director
William Paterson University
Presentation: From Novice to Pro: Partner with NAPFA to Prep Students for Fee-Only Careers

Dr. Lukas Dean has been Program Director of the Financial Planning Degree Program at William Paterson University since August 2008. Starting in August 2014 he will be Program Director of the Financial Planning Degree Program at Utah Valley University. His primary research interests include personal financial planning, materialism, debt, and CFP® program development. As well as examining how individual characteristics impact personal finances and how personal finances impact family relations.

John E. Grable 
Co-Director, Financial Planning Performance Laboratory
University of Georgia
Presentation: Teaching Financial Planning Case Studies Using a Smart Student Response System

John E. Grable, Ph.D., CFP®, holds an Athletic Association Endowed Professorship at the University of Georgia. Dr. Grable served as the founding editor for the Journal of Personal Finance and the founding co-editor of the Journal of Financial Therapy. His research interests include financial risk-tolerance assessment, financial planning help-seeking behavior, and psychophysiological economics. He is Co-Director of the Financial Planning Performance Laboratory at the University of Georgia.
 

Kate Healy
Managing Director, Institutional Marketing & Corporate Sponsorship
TD Ameritrade Institutional
Panelist: Firms' Night

Kate Healy is the managing director of marketing for TD Ameritrade Institutional. In this role, she is responsible for the development of marketing strategies and the execution of programs to help increase awareness and deepen relationships with more than 4,500 independent registered investment advisors (RIAs) who custody with TD Ameritrade Institutional. Healy will oversee the growth of the TD Ameritrade Institutional brand, including the division’s website, social media and advertising efforts. Healy will continue to lead the TD Ameritrade Institutional’s Women’s Leadership Initiative, which supports the professional development of women advisors and assists RIAs market to women investors.

Healy joined TD Ameritrade in 2008, most recently serving as a director of marketing responsible for promoting the firm’s technology and investment products offerings, as well as supporting the firm’s advocacy and client loyalty efforts. Prior to joining the firm, Kate served as vice president of IRA product strategy at Merrill Lynch. She has spent over 20 years in a variety of roles supporting the program development and marketing of financial and estate planning services in the financial planning industry.

Healy holds a Bachelor of Arts in Economics from Rutgers College and has completed the Securities Industry Institute program, sponsored by the Securities Industry and Financial Markets Association (SIFMA) at the Wharton School of Business.

Weekjae Heo 
Ph.D. candidate
University of Georgia
Presentation: Teaching Financial Planning Case Studies Using a Smart Student Response System

Wookjae Heo is a Ph.D. candidate in the Department of Financial Planning, Housing, and Consumer Economics at the University of Georgia. Prior to enrolling the University of Georgia he worked for a marketing consulting firm as a Strategic Marketing Planner and Consumer Research Specialist in Korea. Before working at the consulting firm, he received a Masters of Arts Degree in Consumer Sciences from Seoul National University, South Korea. His main research interest is broadly about consumer welfare including financial stress on consumer behavior, demand of life insurance, and marketing impact on financial behaviors. In terms of financial planning, his research interest is to explore financial stress on financial planning and to find proper education for financial planning.

Ed Hutton
Assistant Professor, Financial Services Lab Director
Niagara University
Presentation: Incorporating Socially Responsible Investing Considerations into the CFP® Curriculum
           

Ed Hutton is an Assistant Professor in the College of Business and the Director of the Niagara Financial Services Laboratory. He teaches courses in Corporate Finance, Investment Analysis and Portfolio Management, and Options and Derivatives. He is the faculty advisor for the Monteagle Fund, Niagara University's student managed investment fund, and for the Niagara Chapter of the Financial Management Association (FMA).

Prior to joining Niagara, Professor Hutton had over 25 years of Investment Management experience, including as Equity Analyst, Chase Manhattan Bank; Vice President, Investment Management, M&T Bank and Fund Manager for the Western New York Business Development Fund. He holds an MBA with a concentration in Finance from Canisius College and is completing an MS in Financial Economics at the State University of New York at Buffalo. Mr. Hutton has achieved certification as a Chartered Financial Analyst (CFA).

Professor Hutton has served as the President of the CFA Society of Buffalo, and is currently serving as the Society's Education Chair. He is a member of the Financial Management Association, The Financial Education Association and the CFA Society. In addition, he is a frequent commentator on radio, television and on-line media regarding economic and investment topics.

In 2009, Professor Hutton received the Niagara University College of Business Administration "Excellence in Teaching" award.

Elizabeth Jetton, CFP®
Co-founder, Directions for Women;
Adjunct Professor of Financial Planning
California Lutheran
Presentation: Sharing Pedagogical Resources to Prepare Students to Enter the Profession
           

Elizabeth Jetton, CFP®, is the Co-founder of Directions for Women, Adjunct Professor of Financial Planning in California Lutheran’s MBA program, and a consultant to many of the top financial planning practices in the country.  In her 28-year career in private practice she has served in many leadership positions, including as FPA President when they successfully sued the SEC over the rule that exempted broker-dealers from the fiduciary standard in fee-based accounts.  She has been recognized as a top influential advisor in a host of national publications and has written dozens of articles in the popular press.  As the Director of the TD Ameritrade NextGen Program at William Paterson, Elizabeth continues to help shape the future of the financial planning profession.

Kevin R. Keller
Chief Executive Officer
CFP Board
Presentation: General Session

Kevin R. Keller is Chief Executive Officer of Certified Financial Planner Board of Standards, Inc. (CFP Board). Under his leadership, in support of CFP Board’s mission to benefit the public by granting the CFP® certification and upholding it as the recognized standard of excellence for competent and ethical personal financial planning, CFP Board is pursuing ambitious goals related to four overarching outcomes: increase public Awareness of CFP® professionals; achieve Growth in the number of CFP® professionals; secure Recognition and Regulation of financial planning as a distinct profession; and further CFP Board’s position as the Authority in financial planning.

Since Mr. Keller joined CFP Board in May of 2007, CFP Board has:

  • Grown the number of CFP® professionals in the U.S. by 25% to more than 69,000, even while strengthening the CFP® certification requirements with the addition of new bachelor’s degree and capstone course requirements.
  • Launched its first major public awareness campaign to increase awareness of CFP® professionals, funded at about $9 million a year, which has generated consistent and significant signs of positive momentum in consumer awareness of CFP® certification.
  • Secured its reputation as a strong advocate for consumer and investor protection by implementing a fiduciary level of accountability on those individuals who use the CFP® mark in the delivery of financial planning services and working extensively with individuals, as well as firms that employ those individuals, to ensure compliance with those standards – the highest in financial planning.
  • Relocated to Washington, DC and assumed a leadership role in advancing public policy positions related to financial planning that benefit the public, working in concert with other prominent financial planning organizations, and in collaboration with industry and investor protection organizations.
  • Reengineered its disciplinary and enforcement process to increase transparency and accountability by including “public” non-certificant volunteers on hearing panels, with the objective of assuring safeguards for the public and a fair process for certificants.
  • Released the Financial Planning Competency Handbook, published by John Wiley & Sons, the first authoritative and seminal work that outlines the knowledge, actions and contexts associated with financial planning.
  • Transitioned the comprehensive CFP® Certification Examination to a computer-based testing format.

Mr. Keller joined CFP Board after serving 16 years with the Association for Financial Professionals (AFP), a membership organization which provides products, education and training for treasury and corporate finance. At AFP, he held the position of senior vice president and chief operating officer for the prior seven years and managed programs and services for the 16,000-member organization. He led the organization's strategic planning process and enhanced and grew the Certified Treasury Professional credential.

Mr. Keller has held senior staff positions at several associations and earned the Certified Association Executive (CAE) credential in 2000. He holds a B.S. in agriculture and an M.S., both from Ohio State University.

 

Joseph V. Maugeri, CFP® 
Managing Director for Marketing and Corporate Relations
CFP Board
Moderator: Firms’ Panel 

Joseph V. Maugeri, CFP®, joined CFP Board in 2011 and is the organization’s Managing Director for Marketing and Corporate Relations. In this role, Mr. Maugeri is responsible for the growth of CFP® professionals among all channels, marketing initiatives, firm relations, product development and is a member of the Executive Leadership Team. Overseeing the Marketing and Corporate Relations department, Joe’s primary responsibility is to increase the demand for CFP® professionals and CFP® professional education and experience among all financial service firms. Before joining CFP Board, Mr. Maugeri was a Vice President and head of the Professional Alliance program at Merrill Lynch; a Director at SEI Investments, Inc., leading its marketing and distribution support services; and worked for more than 14 years as a financial advisor at AXA Advisors, LLC.  He received his Bachelor of Arts from Temple University, an M.S. in Leadership Studies from Northeastern University and has completed a Competitive Marketing Strategy Executive Education program at the Wharton School of Business.

           
Dr. Ron A. Rhoades, CFP®
Program Director
Alfred State University
Presentation: From Novice to Pro: Partner with NAPFA to Prep Students for Fee-Only Careers

Dr. Ron A. Rhoades, CFP®, is Program Director at Alfred State University. His research has focused on fiduciary obligations of financial planners and investment advisors, investment strategy and investment product due diligence efforts of personal financial advisors, and macroeconomic developments. Dr. Rhoades teaching style implements “real-world” scenarios into foundational applications to the business world.            
Dr. Ronald A. Sages, CFP®
Instructor, Family Financial Planning Programs in Personal Financial Planning
Kansas State University
Presentation: Leveraging the Benefits of an Advisory Board to Supercharge CFP Board Registered Programs

Ron Sages serves as an Instructor in the Certificate and Master’s in Family Financial Planning Programs in Personal Financial Planning at Kansas State University, and is also a co-founder and President of Chapin Asset Management, a wealth management firm, based in Greenwich, Connecticut and Hilton Head Island, South Carolina. Ron earned his Ph.D. in Personal Financial Planning from Kansas State University in 2012, his MBA in Finance and Taxation from the University of Connecticut in 1979, and his undergraduate degree in liberal arts from Ohio University in 1973. His research interests are in behavioral finance, risk management, and financial literacy. As a financial planning practitioner and researcher, Ron aspires to bring applied research to financial planning practitioners in an effort to provide practical solutions to client-focused challenges. Prior to starting his own firm in 1993, Ron spent twenty years as an executive in private banking and global wealth management at Bankers Trust Company (now Deutsche Bank) and The Connecticut Bank and Trust Company (now Bank of America) in New York City and Fairfield County, Connecticut, respectively. Ron has published research in the Journal of Financial Services Professionals, the College Student Journal, and the Global Journal of Human Social Science, and has published in various professional journals including Trusts & Estates, Trusts and Trustees & International Asset Management, Trust and Investments, and Institutional Investors’ Private Asset Management. Ron is a member of the Stamford (CT) CFA Society, Estate Planning Council of Lower Fairfield County (CT), the National Association of Estate Planning Councils, Financial Planning Association, American Council on Consumer Interests, and the Financial Therapy Association.            
Dr. Tom Warschauer, CFP®
Professor of Finance Emeritus
San Diego State University
Presentation: Stories from Registered Programs Regarding the New CFP Board Registered Program Renewal Process and Self-Assessment

Dr. Tom Warschauer, CFP® is Professor of Finance Emeritus at San Diego State University's College of Business Administration. He is Director of SDSU's personal financial planning master's program. He is also Director of its Center for the Study of Personal Financial Planning. He was a member of CFP Board's Board of Examiners and was a founder and first President of the national Academy of Financial Services. The Academy is the nation's pre-eminent academic organization dealing with individual finance issues. Early in his career Warschauer practiced financial planning for fifteen years and was NASD Principal for a regional securities firm in Colorado, Maine, and California. Warschauer earned his CFP® certification in the second year it was available. He has been the Academic Editor of the Journal of the Institute of Certified Financial Planners and is an Associate Editor of the Financial Services Review. He is a member of the Financial Planning Association's Academic Council. His areas of research include a variety of topics related to personal financial planning and portfolio management. Dr. Warschauer has published articles in both academic and practitioner journals, such as the Financial Services Review, the Financial Review and the Journal of the ICFP. He earned CFP Board's 2003 Academic Article Award. Warschauer holds a Ph.D. in Finance from the University of Colorado at Boulder.

Dr. Duncan Williams
Professor of Financial Planning
William Patterson University
Presentation: Sharing Pedagogical Resources to Prepare Students to Enter the Profession

Duncan Williams is a professor of financial planning at William Paterson University. His research focused in retirement and distribution planning has been featured in Smart Money Magazine, Yahoo Finance, and Financial Planning Magazine. He did his masters and doctoral studies at Texas Tech University. Prior to pursuing a career in academia, Duncan worked as a practitioner for 10 years in Atlanta. He has served on the Board of FPA of Georgia, is past President of FPA of West Texas, and has served on the Academic Advisory Councils for the Journal of Financial Planning and the Retirement Management Journal. He is a current board member of the Academy of Financial Services.

Council On Education
CFP Board’s Council on Education advises CFP Board on the development and clarification of all educational policies related to the CFP® certification process.