Stephen Kareta was a powerful advocate whose career at Foothill Securities and Securities America provided a perfect illustration of the larger leadership role that firm executives and advisors are playing in advocacy today. We hope this award will continue to honor his legacy and remind our members of his enthusiastic efforts to champion financial literacy and FSI’s broader mission for years to come.
Dean, Mary and Summer certainly embody this spirit:
Dean Harman—the second advisor ever to serve as the chair of FSI’s Board—has provided testimony to Congress about the detrimental effects of the Department of Labor’s first fiduciary rule in 2016, and has been a key voice for our industry in discussions with leaders like SEC Chairman Jay Clayton, FINRA CEO Robert Cook, and numerous members of the House and Senate.
Mary B. Kusske has attended 10 of our last 12 Capitol Hill Day events, sharing her infectious enthusiasm with both legislators and her fellow FSI members in order to forcefully make the case for a more business-friendly regulatory environment.
Summer Pretzer, meanwhile, has been responsible for some of the most insightful and high-impact presentations and panel discussions on compliance and supervision issues at our annual OneVoice conference, having played a key role on the planning team for the event every year since 2018.
When we first started FSI in 2004, we knew that educating and inspiring advisors and firm executives to take up the mantle of proactive leadership in our mission might take some time. Today, though, it’s our members who are pushing us to match their proactive enthusiasm and commitment—and it’s one of the most rewarding developments I’ve seen in my career.
Dale E. Brown is president and CEO of the Financial Services Institute.