Executive Leadership

Susan Theder

Executive Vice President and Chief Marketing Officer — Advisor Group, Inc.

Susan Theder is Executive Vice President and Chief Marketing Officer at Advisor Group, Inc. one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in…

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Susan Theder

Executive Vice President and Chief Marketing Officer — Advisor Group, Inc.


Susan Theder is Executive Vice President and Chief Marketing Officer at Advisor Group, Inc. one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. She assumed her current role in Fall 2016.

As CMO, Susan leads the team that delivers strategic analysis and positioning efforts for products, services and branding. She also creates public awareness of the value proposition which the platform and its member broker dealer firms offer to current and potential advisors, through a full range of events, marketing communications and public relations.

Susan has spent more than 25 years in financial services, most recently as Chief Marketing Officer at Cetera Financial Group, overseeing marketing and communications for its 11 independently managed broker-dealers.  Prior to Cetera, Susan was a Managing Director at Pershing, LLC, responsible for the strategic marketing of their BD, RIA and global business units. Earlier, Susan held senior positions in marketing, product management and practice management at Fidelity Investments.

Susan earned a Bachelor of Arts degree in History, with Honors, from Bowdoin College, Brunswick, Maine. She is registered by FINRA as a General Securities Representative (Series 7), a General Securities Principal (Series 24), and holds a Series 63 license.

Greg Stockett

Chief Financial Officer — Advisor Group, Inc.

Greg Stockett is Chief Financial Officer — Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. He assumed…

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Greg Stockett

Chief Financial Officer — Advisor Group, Inc.


Greg Stockett is Chief Financial Officer — Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. He assumed his current role in April 2017.

Greg has responsibility for all aspects of financial operations and reporting for the business.

Prior to Advisor Group, Greg was with REDI Global Technologies, a leading multi-asset execution management system used by large broker-dealers and their institutional trading clients, where he held dual roles as Chief Operations Officer and Chief Financial Officer.

Prior to REDI, Greg also spent more than five years at BondDesk Group, a leading fixed income trading and portfolio management system, utilized by many of the largest financial advisors and wealth management networks. Earlier positions included financial leadership roles at various financial technology firms including BARRA, Inc. (publicly traded on NASDAQ). Greg began his career with Deloitte.

Greg earned a Bachelor of Science degree in Corporate Finance & Accounting from the Haas School of Business at the University of California at Berkeley.

Mary Simonson

Executive Vice President and Chief Risk Officer — Advisor Group, Inc.

Mary Simonson is Executive Vice President and Chief Risk Officer at Advisor Group. Inc., a member of Advisor Group, one of the nation’s largest networks of independent financial advisors, overseeing…

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Mary Simonson

Executive Vice President and Chief Risk Officer — Advisor Group, Inc.


Mary Simonson is Executive Vice President and Chief Risk Officer at Advisor Group. Inc., a member of Advisor Group, one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. She assumed her current role in June 2016.

As Chief Risk Officer, Mary is responsible for developing and maintaining Advisor Group’s risk management program to identify, reduce, and measure the risk exposure of the firm and its broker dealers.  She ensured continuity of core practices during the 2016 separation of Advisor Group from AIG, and the subsequent creation of the firm’s independent status.

Mary joined Phoenix-based SagePoint Financial, a member firm of Advisor Group, as Vice President and Chief Compliance Officer in 2010.  She later assumed the additional role of CCO for two other member firms, Atlanta-based FSC Securities Corporation and New Jersey-based Royal Alliance Associates, Inc.  Immediately prior to taking on her current role, Mary served as Senior Vice President and Chief Compliance Officer of Advisor Group, continuing development, implementation and maintenance of all compliance procedures within the firm’s broker-dealers.

Mary has more than 30 years of experience in the financial services industry, including leadership roles at WaMu Investments, formerly WM Financial Services, as chief compliance officer, and at CFM Partners, Inc., a governance and risk compliance firm, where she served as Director of Business Development. Earlier, she held compliance roles at the former Shearson Lehman (now Smith Barney), and the former Chemical Investments (which became Chase).

Mary earned a Bachelor’s degree in Business Administration from Pace University. She is registered by FINRA as a General Securities Representative (Series 7), a General Securities Principal (Series 24), and holds Series 53 and Series 63 licenses.

Matt Schlueter

Executive Vice President and President, Wealth Management Solutions — Advisor Group, Inc.

Matt Schlueter is Executive Vice President and President, Wealth Management Solutions — Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion…

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Matt Schlueter

Executive Vice President and President, Wealth Management Solutions — Advisor Group, Inc.


Matt Schlueter is Executive Vice President and President, Wealth Management Solutions — Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. He assumed his current role in May 2017.

Matt has responsibility for all aspects of the company’s wealth management product portfolios and platforms. This includes new advisory products such as the Genesis Series, which gives clients access to institutional strategists.  Matt also identifies, develops and sustains relationships with the company’s core distribution and platform partners, ensuring their offerings continue to solve for the protection, income, lending, and wealth management needs of end customers.

Matt has served most recently as Chief Operating Officer, providing essential leadership during the company’s 2016 separation from AIG and the formation of its independent platform.  He joined Advisor Group in 1997 from The Federal Reserve Bank of Atlanta, and has guided the company in multiple leadership roles with sound counsel and execution over many different business cycles.

Matt earned a Bachelor of Arts degree in Economics from Emory University. He is registered by FINRA as a General Securities Representative (Series 7), a General Securities Principal (Series 24), and holds Series 53, Series 55 and Series 63 licenses.

Allison Couch Pratt

Executive Vice President, National Sales — Advisor Group, Inc.

Allison Couch Pratt is Executive Vice President, National Sales — Advisor Group, Inc, one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client…

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Allison Couch Pratt

Executive Vice President, National Sales — Advisor Group, Inc.


Allison Couch Pratt is Executive Vice President, National Sales — Advisor Group, Inc, one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. She assumed her current role in 2014.

In this role, Allison is responsible for the development and implementation of sales and distribution strategies across the firm, as well as our strategic partner relationships.

A seasoned sales and marketing executive with nearly 30 years of experience with independent broker dealers, Allison started her career as a financial advisor and Managing Executive, affiliated with Royal Alliance, a member of Advisor Group.  After more than 10 years as a producing advisor, she moved to the corporate side, and became a Vice President of Regional Management, and then Senior Vice President and Head of Regional Management at FSC Securities, another member firm of Advisor Group.

Allison left FSC Securities in 2005, and held a series of leadership positions around the industry, including at The Financial Services NETWORK, Associated Securities Corporation, and LPL Financial. Prior to her current role, Allison served as Managing Director, Wealth Management, for Cetera Financial Group, where she was responsible for overseeing all aspects of advisory sales and growing product sales.

Allison attended the Thomas Jefferson School of Law in San Diego, earning a Master’s Degree in Finance, as well as a Bachelor’s Degree in Management, from St. John Fisher College. A featured speaker at conferences, Allison serves on the private client service committee of the Securities Industry and Financial Markets Association (SIFMA). She also serves on the Board of Management for the YMCA’s Camp Cory in the Finger Lakes region of upstate New York.

Allison is registered by FINRA as a General Securities Representative (Series 7), a General Securities Principal (Series 24), and holds Series 6, Series 63 and Series 65 licenses.

Nina McKenna

Chief Legal Officer and General Counsel — Advisor Group, Inc.

Nina McKenna is Chief Legal Officer and General Counsel — Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client…

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Nina McKenna

Chief Legal Officer and General Counsel — Advisor Group, Inc.


Nina McKenna is Chief Legal Officer and General Counsel — Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. She assumed her current role in April 2017.

Nina has responsibility for the risk and legal organizations, coordinating efforts across both disciplines to monitor the combined risk exposure for the business.

Prior to joining Advisor Group, Nina was with the Cetera Financial Group, where she served as Chief Legal Officer and General Counsel for its network of six independent retail broker-dealer firms.  Earlier roles included Chief Counsel at ING Americas – Broker-Dealer Group; Counsel at the firm of Sonnenschein, Nath & Rosenthal in its Corporate and Securities Group; Regional Chief Counsel for NASD Regulation, Inc., in its District 4 Enforcement Department; and General Counsel and Corporate Secretary for Oppenheimer Industries, Inc.

Nina earned a Bachelor of Arts degree in Philosophy at Williams College in Massachusetts, and earned First Honors at the London School of Economics. She also attended the University of Toronto Law School, and earned her Juris Doctor (JD) degree from the University of Kansas Law School.  She has participated as a panelist and speaker at numerous regulatory and compliance conferences.

Andrea Dircks Larsen

Chief Human Resources Officer – Advisor Group, Inc.

Andrea Larsen is Chief Human Resources Officer at Advisor Group, Inc. one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. Andrea…

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Andrea Dircks Larsen

Chief Human Resources Officer – Advisor Group, Inc.


Andrea Larsen is Chief Human Resources Officer at Advisor Group, Inc. one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets.

Andrea assumed her role in June 2016, with initial responsibility for establishing a Human Resources function as the company separated from AIG and became independent. Today she oversees a team of HR professionals that work with the leadership team to increase engagement among employees, helping them deliver outstanding service and support to advisors.

Prior to her current role, Andrea served for more than two decades as a Human Resources executive at General Electric, supporting domestic and international business units of GE Capital and GE Healthcare. She ensured pre-emptive labor and employment compliance, developed effective organization models, and partnered with GE officers to strategically manage organizations through difficult business challenges, while delivering on enterprise-wide transformation and culture change.

Andrea earned a Bachelor of Arts degree in Psychology with an emphasis in Human Services from the University of Wisconsin.

Ahmed Hassanein

Chief Accounting Officer, Advisor Group — Advisor Group, Inc.

Ahmed Hassanein is Chief Accounting Officer, Advisor Group — Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets.…

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Ahmed Hassanein

Chief Accounting Officer, Advisor Group — Advisor Group, Inc.


Ahmed Hassanein is Chief Accounting Officer, Advisor Group — Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. He assumed his current role in June 2016.

Ahmed has oversight responsibility at the company for accounting, tax, procurement and contracts, and commissions.

Prior to joining Advisor Group, Ahmed served as Chief Accounting Officer for the Cetera Financial Group, and earlier as Chief Financial Officer for the Library of Congress Federal Credit Union, Chief Operating officer and Chief Financial Officer for Steben & Company, and as a senior vice president at FBR Capital Markets. He was also an Audit Senior at Deloitte.

Ahmed earned a Bachelor of Science degree in Accounting at University of Maryland College Park, and a Master’s degree in Finance from Marymount University, Arlington, Va. He is a Certified Public Accountant.

He is registered by FINRA as a General Securities Representative (Series 7) and holds Series 28 and Series 63 licenses.

Cindy Hamel

Executive Vice President, Strategic Initiatives, and Chief Operations Officer — Advisor Group, Inc.

Cindy Hamel is Executive Vice President, Strategic Initiatives, and Chief Operations Officer — Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors, overseeing more than $160…

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Cindy Hamel

Executive Vice President, Strategic Initiatives, and Chief Operations Officer — Advisor Group, Inc.


Cindy Hamel is Executive Vice President, Strategic Initiatives, and Chief Operations Officer — Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. She assumed her current role in May 2017.

Cindy develops the business strategy and connects it to operational initiatives across the enterprise, including actions to create a better and more consistent customer experience.

Cindy joined Advisor Group in 2016 with more than 26 years of industry experience, and a strong background in advisor facing technology, back office automation, process improvement, risk management and customer service.  Prior to joining Advisor Group, she was SVP, Strategic Operations, at Cetera Financial Group, where she was responsible for leading the development and implementation of Cetera’s business strategy, M&A activities and operational efficiency.  Cindy also served as Chief Operations Officer for ING Advisors Network. Prior to her current role at Advisor Group, she served as Executive Vice President, Strategic Initiatives.

Cindy earned a Bachelor of Science degree in Commerce, with concentrations in Finance and Management Information Systems from the University of Virginia, and a Master of Science, Management of Technology (MOT) degree from the Massachusetts Institute of Technology, Sloan School of Management.  She is active in the Financial Services Institute (FSI) and the Securities Industry and Financial Markets Association (SIFMA).

Cindy is registered by FINRA as a General Securities Representative (Series 7) and a General Securities Principal (Series 24).

Jim Clabby

Chief Information Officer — Advisor Group, Inc.

Jim is the Chief Information Officer at Advisor Group, Inc. one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. Jim joined…

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Jim Clabby

Chief Information Officer — Advisor Group, Inc.


Jim is the Chief Information Officer at Advisor Group, Inc. one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets.

Jim joined the company in January 2014, and has responsibility for all information technology for the firm. Upon the separation of Advisor Group from AIG in May 2016, Jim led the design and execution of a comprehensive technology migration from AIG systems and technology platforms to an independent technology operating environment.

Jim has more than 25 years of business and information technology experience in areas such as wealth management, finance, corporate enterprise systems, financial distribution and operations. Prior to Advisor Group, he served as the CIO for the ING Advisors Network and SVP Technology for ING’s Individual Retirement and Annuity businesses.

Jim received his Bachelor of Science degree in Business Administration from The Citadel. He is also a Certified Public Accountant, and is registered by FINRA as a General Securities Representative (Series 7) and a General Securities Principal (Series 24).

Derek Burke

President and Chief Executive Officer
FSC Securities Corporation

Derek Burke is President and Chief Executive Officer of FSC Securities Corporation. Atlanta, GA-based FSC, which boasts over 200 home office employees, is part of Advisor Group, one of the…

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Derek Burke

President and Chief Executive Officer
FSC Securities Corporation


Derek Burke is President and Chief Executive Officer of FSC Securities Corporation. Atlanta, GA-based FSC, which boasts over 200 home office employees, is part of Advisor Group, one of the largest independent broker-dealers in the nation. As FSC’s President and CEO, Burke is responsible for driving strategic initiatives aimed at supporting the firm’s approximately 1,000 advisors across the United States and also recruiting new advisors to the Firm.

Burke has over 25 years of wealth management and financial services experience.
He brings both leadership expertise and a passion for championing advisors to FSC. Before joining FSC, Burke was President of the independent broker-dealer, Waddell & Reed, Inc. He earlier led Foresters Financial/First Investors Advisory Services, LLC, first as President and later as CEO. Other previous roles included Managing Director and Co-Head of Investment Solutions at UBS Wealth Management; Chief Operating Officer, Retail Investments Business, New York Life Investment Management LLC.

Earlier in his career, Burke served as Chief Compliance Officer at John Hancock Mutual Life Insurance Company and at The Prudential Life Insurance Company of America. He started his career as an enforcement attorney with the SEC and then as a litigation associate with Collier, Jacob & Mills.

Derek earned a Juris Doctor degree from Rutgers Law School and a Bachelor of Science degree in Finance from Seton Hall University; he holds FINRA Series 7 and 24 licenses. Burke is a member of the Stillman School of Business Advisory Board at Rutgers, and a member of the Planned Giving Committee of Cerebral Palsy of North Jersey.

Dmitry Goldin

President and Chief Executive Officer
Royal Alliance Associates, Inc.

Dmitry Goldin is President and CEO of Royal Alliance Associates, a member of Advisor Group, one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion…

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Dmitry Goldin

President and Chief Executive Officer
Royal Alliance Associates, Inc.


Dmitry Goldin is President and CEO of Royal Alliance Associates, a member of Advisor Group, one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. He assumed his current role in January of 2014.

Dmitry leads the Royal Alliance team from its waterfront headquarters at 10 Exchange Place in Jersey City, N.J., providing professional services to the firm’s 1,600 affiliated financial advisors nationwide.

Since his start at Royal Alliance in 2000 as a regional management associate, Dmitry has gained keen leadership insights through assignments in retail sales, operations and management. Prior to his current role, Dmitry served as a Senior Vice President and Head of Business Development, leading advisor relationship management and retention, practice development, recruiting, and product sponsor support.

Before joining Royal Alliance, Dmitry was an operations manager at Charles Schwab, working with both retail and institutional clients. He began his financial services career in retail sales with the Principal Financial Group, later serving in service and operations capacities with two independent trust companies in Denver.

Dmitry earned a Bachelor of Science degree in Business Administration in 1992 from the University of Colorado with an emphasis in Finance and International Business. He also earned a Master of Business Administration Degree in Accounting and Finance from Regis University, Denver. He is registered by FINRA as a General Securities Representative (Series 7), a General Securities Principal (Series 24), and holds licenses for a Series 53, Series 63 and Series 65.

Rick Fergesen

President and Chief Executive Officer
Woodbury Financial Services, Inc.

Rick Fergesen serves as President and CEO of Woodbury Financial Services, a member of Advisor Group, one of the nation’s largest networks of independent financial advisors, overseeing more than $160…

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Rick Fergesen

President and Chief Executive Officer
Woodbury Financial Services, Inc.


Rick Fergesen serves as President and CEO of Woodbury Financial Services, a member of Advisor Group, one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. He assumed his current role in March 2014.

Rick leads the Woodbury Financial Services team from its headquarters in Oakdale, Minn., providing professional services to the firm’s 1,100 affiliated financial advisors nationwide. He directs business development efforts to attract new advisors, and manages relationship management and retention, practice development, supervision, and product sponsor support.

Rick joined the firm in 1998 in what was then known as the Fortis Financial Group. He became Chief Financial Officer for Woodbury Financial in 2001.  Prior to assuming his current role, Rick was Executive Vice President, Business and Field Development.

Earlier, he held senior management and executive roles with McGladrey & Pullen, CPAs and Consultants, and US Bank, where he was Vice President of Finance and Controller of their fastest-growing business unit. He began his career in financial services as a registered representative with Paine Webber.

Rick earned a Bachelor of Science degree in Business Administration from Lewis & Clark College in Portland, OR.  He is registered by FINRA as a General Securities Representative (Series 7), a General Securities Principal (Series 24), and Financial and Operations Principal (Series 27).

Jeffrey M. Auld

President and Chief Executive Officer
SagePoint Financial, Inc.

Jeffrey Auld is President and Chief Executive Officer of SagePoint Financial, Inc., a member of Advisor Group, one of the nation’s largest networks of independent financial advisors, overseeing more than…

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Jeffrey M. Auld

President and Chief Executive Officer
SagePoint Financial, Inc.


Jeffrey Auld is President and Chief Executive Officer of SagePoint Financial, Inc., a member of Advisor Group, one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets. He assumed his current role in 2008.

Jeffrey leads the SagePoint home office team from its headquarters in Phoenix, Arizona, providing professional services to the firm’s 1,500 affiliated financial advisors nationwide. He drives strategic initiatives and directs business development efforts to attract new advisors, while managing relationship management and retention, practice development, supervision and product sponsor support.

Jeffrey has worked in the financial services industry for more than 30 years, including senior management roles in every sector. Before joining SagePoint Financial, he served as President at Berthel Fisher, NEXT Financial, Magna Investments, and Market Street Securities. He began his career in the financial services industry as a registered representative, before being named a Limited Partner with Edward D. Jones & Company.

Jeffrey earned his bachelor’s degree in Business Administration and Psychology from William Penn University. He is a former member of the Board of Directors of the Financial Services Institute (FSI).  Jeffrey is registered by FINRA as a General Securities Representative (Series 7), a General Securities Principal (Series 24), and holds Series 53 and Series 63 licenses, together with life and variable insurance licenses.

Jamie Price

President and Chief Executive Officer—Advisor Group, Inc.

Jamie Price has served as President and CEO since November 2016 of Advisor Group, one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in…

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Jamie Price

President and Chief Executive Officer—Advisor Group, Inc.


Jamie Price has served as President and CEO since November 2016 of Advisor Group, one of the nation’s largest networks of independent financial advisors, overseeing more than $160 billion in client assets.  He is based at the company’s headquarters in Phoenix, Arizona.

Jamie is responsible for the management of 700 employees, who serve the needs of more than 5,000 advisors. He is a member of the Advisor Group Board of Directors, reporting to the Board’s Executive Chairman, Valerie Brown.

Jamie has deep financial services and entrepreneurial experience, and a track record of building innovative investment solutions in the wealth management space.

At Advisor Group, he is focused on field management, technology and customer service, combined with a desire to help advisors grow and manage more profitable wealth management businesses, while providing the best possible experience for their clients.

Prior to joining Advisor Group, Jamie was an executive vice president and investor during the start-up of 1-800 DOCTORS, a concierge service that connects patients with medical professionals. Earlier roles included Head of Wealth Management Advisor Group Americas at UBS, and President and Chief Operating Officer of Prudential Securities.

Jamie attended the Charles H. Lundquist College of Business at the University of Oregon, where he earned a Bachelor’s degree in Finance/Economics.  He also served 14 years as Board Chair at The Ranney School, Tinton Falls, N.J., an independent K-12 school with accreditation from the Middle States Association of Colleges and Schools (MSACS) and the New Jersey Association of Independent Schools (NJAIS). He is also a former Trustee for Big Brothers Big Sisters of New York City.

Jamie is registered by FINRA as a General Securities Representative (Series 7), a General Securities Principal (Series 24), and holds licenses for a Series 3, Series 8, Series 63 and Series 65.

Valerie Brown

Executive Chairman—Advisor Group, Inc.

Valerie Brown is Executive Chairman of the Board of Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors, with 5,000 independent advisors and approximately $160 billion…

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Valerie Brown

Executive Chairman—Advisor Group, Inc.


Valerie Brown is Executive Chairman of the Board of Advisor Group, Inc., one of the nation’s largest networks of independent financial advisors, with 5,000 independent advisors and approximately $160 billion in client assets under management.  She began her current role in May 2016.

Valerie has held c-suite roles at financial services firms for more than 20 years, including with Cetera Financial and several domestic and international units of ING. She currently serves on the Board of Directors of the Financial Services Institute, and the Securities Industry and Financial Markets Association (SIFMA). She is also Chair of the Private Client Group Steering Committee. She previously served on the Membership and District 7 committees of the Financial Industry Regulatory Authority, Inc. (FINRA); and as a Director on the Blackrock Equity/Bond Funds Board.

Valerie is a noted advocate for independent advisors, and has been recognized several times by industry publications and trade groups as one of the most influential individuals in the independent advisor business.

Valerie is the incoming Chair for the Center for the Arts in Jackson Hole, WY, and is a member of C200, an invitation-only membership organization of women business leaders. She also served as a Director on the UCLA Anderson School Board of Visitors.

Valerie earned a Bachelor of Arts degree in Chemical Engineering from Oregon State University and a Master’s Degree in Business Administration from Stanford University.  She is registered by FINRA as a General Securities Representative (Series 7), a General Securities Principal (Series 24) and holds a Series 66 license.