Building a Competitive Retail Wealth Management Program Workshop

Anne Schutt is the Vice President of Business Development at Midwestern Securities, a boutique broker-dealer owned by financial advisors and bankers as well as a CERTIFIED FINANCIAL PLANNER®, Certified Exit Planning Advisor® and the Managing Director of Fortress Wealth Planning Group at Fortress Bank.

With over 25 years of experience in sales, training, and leadership, Anne helps community financial institutions modernize and grow their investment programs to stay competitive and client-focused, and guides individuals and business owners to financial peace of mind through personal financial planning.

Her cross-industry background spanning healthcare and finance brings a dynamic perspective to her work. She is a regular speaker at industry conferences and a published author in multiple trade association publications.

She lives in Peoria, Illinois with her son, Connor, and their two very spoiled rescue dogs.

As the Chief Executive Officer of Midwestern Securities, Michael Graham, CFP® provides visionary leadership and guides the company in pursuing bold ideas for the next chapter of its continued growth. He also provides consultation to the company’s financial institution partners on their long-term strategic growth and mutual success. In addition, Mike shares his many years of investment knowledge and time-tested philosophy as he serves on the Midwestern Securities Investment Committee, which oversees the Midwestern Securities Lighthouse Portfolios™.

Mike has been in the financial services industry since 1996. An alumnus of Loras College in Dubuque, Iowa, Mike obtained his securities licensing soon after graduation. He then joined his father, John, to start John Graham & Associates, Inc., which he has since built into a thriving retail wealth management firm from which he continues to manage and serve the financial planning needs of multigenerational clients.  

He completed the CERTIFIED FINANCIAL PLANNER™ education program and passed the accompanying board exam in the spring of 2000. He currently holds seven other professional licenses. Mike was a driving force in the formation of Midwestern Securities Trading Company, LLC in 1999. He had a goal to bring accountability, expertise, and personal service to registered reps through a premier, emerging firm centrally located in the U.S.

Mike is the host of the Banking on Growth podcast, interviewing industry professionals on topics that impact community banks and credit unions, as well as the financial advisors who operate within them. 

Mike resides with his wife and sons in the local area. Together, they keep focused on the 4Fs: Faith, Family, Fitness, and Fun.

Mike is very involved in his community. He has served as a Peoria Riverfront Museum Foundation board member; is a past president of the East Peoria Chamber of Commerce; served on the Roanoke-Benson CUSD 60 School Board; served as president of the Pediatric Resource Center Board; is a past president of the East Peoria Police Pension Board; served on the Finance Committee of Peoria Christian School; and the Board of Trustees for Eureka College. He was recognized in 40 Leaders Under 40 Class of 2007 and was the 2016 Pediatric Resource Center recipient of the Champions for Children award.

Natalie Livingston graduated from Bradley University with a Bachelor of Arts Degree in Communications, with a concentration in Journalism. After college, she worked in the newsroom at a local newspaper for five years before making the leap into the finance industry with Midwestern Securities in 2011. She brings her communications and public relations experience to the Midwestern Securities team, with the goal of helping the business grow.

As Chief Growth Officer, she is responsible for managing our brand on all channels, including social media, YouTube, digital, and print. She also helps our network of Financial Advisors increase their market exposure through social media and custom-branded marketing campaigns from Lighthouse Financial Institution Marketing Solutions.

As a trained journalist, she loves to ask questions and is always eager to learn more. She especially enjoys taking complex financial concepts and making them easier to understand for clients at every knowledge level.

Natalie lives locally with her husband and their blended family of five children, from a toddler to a college student. Together, they enjoy crafting, bike riding, playing Nintendo games, and making memories on epic family vacations. She is a Past-President of the Kiwanis Club of Peoria.

Robert H. Zondag brings leadership experience as an entrepreneur and executive in financial services. His clients include financial institutions, trust companies, insurance companies, and wealth advisors. Robert is passionate about bringing clarity to his clients when they face complex business issues and regulatory matters.

Specializations

• Strategic planning inclusive of growth, customer acquisition, and profitability measurement
• Customer experience and customer journey mapping
• Capital planning, divestures, and acquisitions, and milestone triggered events
• Enterprise risk management and operational assessments
• Regulatory and compliance matters, including Board of Directors’ development, succession, and governance

Past experience

• Managing Partner and CFO of a financial services/municipal advisory firm with billion-dollar+ assets under management
• Founder of a community bank in the greater Milwaukee area, with oversight of investments, operations, treasury, and compliance
• Executive leadership role in Treasury Management for a Midwest regional financial institution
• Former Certified Community Bank Compliance Officer
• Advisor and board member of a consulting firm focused on serving FinTech companies
• Board member of a Software as a Service (SaaS) company focused on document management utilizing revolutionary blockchain technology, serving highly regulated industries

Professional memberships and activities

• Municipal Securities Rulemaking Board, Professional Qualifications Advisory Committee
• Board Member, State of Wisconsin Medical Examining Board
• State of Wisconsin Commissioner, Interstate Medical Licensure Compact Commission
• Board Member, various civic and non-profit organizations
• Sought after public speaker and moderator