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  • 06/26/2018 11:41 AM | Anonymous

    MEET Patricia (Trish) Cowart of FSDA, Institutional Member with Wells Fargo Advisors, LLC

    Patricia (Trish) Cowart, Senior Company Counsel
    Wells Fargo Advisors, LLC
    100 NE 3RD Ave, Suite 610,
    Ft. Lauderdale, FL 33301

    Email: patricia.cowart@wellsfargoadvisors.com

    Phone: 954-713-0762
    Institutional Member

    Trish, please tell us a little bit about yourself.
    I was raised in South Louisiana, mostly New Orleans, but I lived in a few other true Cajun Country towns such as Morgan City and Port Sulphur; I went to school at Stetson where I studied political science and Spanish (so I got to go to the Universidad de Madrid for a semester too!) and then went to the University of Florida for law school; I was a partner at the law firm of Ruden McCloskey before joining PaineWebber / UBS and then moved over to Wachovia Securities in 2004 which of course became Wells Fargo Advisors in 2009.

    What do you do at Wells Fargo Advisors?
    I have held a range of management roles and now I am in the Wealth and Investment Management Litigation group of the Legal Department. Primarily I handle FINRA arbitrations but also see a wide variety of other litigation. I also am a part of the Senior Leadership Board at the firm.

    I know you're a member of several FSDA Committees. Tell us a little bit about what each committee does.
    Goodness, that could take me hours! I was the Chair for several years of the Education Committee and that is where I first developed my strong attachment to FSDA. This Committee has three areas of focus: (1) industry outreach and education events, (2) elder fraud education directed to the investing public and (3) teen financial literacy. I am also an active member of the Legislative Committee. Last year, as President, I made a number of trips to Tallahassee as part of our efforts to get support for the mortgage licensing exemption law that ultimately passed and was signed into law by the Governor. FSDA also supported proposed legislation related to creation of additional tools for firms to use in connection with elder fraud prevention as well as our continuing support for making a course in financial literacy mandatory for Florida high school students. FSDA also has other Committees such as our Scholarship Committee but Education and Legislative are the two I have worked with the most.

    Why is it important for Wells Fargo Advisors to be a member of the FSDA?
    One of the reasons is that Florida is such a leading state in securities law development. We often see statutes enacted here first that influence other states. In addition, of course, Florida is a large and important market. FSDA gives us access to information and contacts that are unique to the FSDA. It’s also great to meet with like-minded people who sincerely have a strong focus on investor education and protection for citizens of our state.

    Trish, I know that you have a special passion for the opera. Tell us about the South Florida opera scene.
    You are certainly right – I am very passionate in my love for opera! South Florida is fortunate to have the Florida Grand Opera (FGO), the oldest performing arts organization in Florida and the seventh oldest opera company in the country. FGO’s season consists of four operas – at least one of which is always focused on showcasing contemporary opera with a Hispanic focus. Last year Before Night Falls by Jorge Martin and this year Florencia en el Amazones by Daniel Catan were stunning and are works not generally as available outside of South Florida. I’m looking forward to next year when they will perform Frida by Robert Xavier Rodriguez in addition to ones from the standard repertoire: La Boheme, The Marriage of Figaro and Werther. I already have my subscription! We also have a huge base of opera lovers in South Florida who regularly attend the live transmission of ten operas each season from the Metropolitan Opera House in New York at movie theaters. We love to chat on the Facebook Page “Met Opera Live in HD Fans” started by an opera fan from Tampa. That group now has over 10,000 members worldwide and I’ve become friends with opera lovers not only from Florida but many other states as well as from Germany, England, Japan, Australia, etc. It’s a great time to be an opera lover.

    Trish, thanks for taking time to speak with us today.

    Next month, Andy Hirsch, of RW Baird will be “In the Spotlight.”

  • 06/01/2018 1:58 PM | Anonymous


    Mitchell Bell
    Director at Pershing LLC a BNY Mellon Co
    300 Colonial Center Pkwy, Suite 400, Lake Mary, FL 2746

    Email: mbell@pershing.com

    Phone: (321) 249-4086

    Member Level: Corporate Member

    Website: www.pershing.com

    We are speaking today with Mitch Bell, Director of Global Client Relationships with Pershing, a BNY Mellon company. 

    Mitch, please tell us a little bit about yourself.
    I was raised in Metuchen, NJ, went to school at Johnson & Wales University and after graduation went to work for Merrill Lynch before joining Pershing in 1997.

    What do you do at Pershing?
    I am a Director and a Senior Relationship Manager for Pershing, a BNY Mellon company, in the Global Client Relationship group.

    ​For 25 years, I’ve had the incredible the opportunity to grow businesses and partner with some really talented people within our client base, Pershing and our parent company BNY Mellon. It’s been a career path driven by passion, life-long learning and embracing challenges. 

    Today, I’m fortunate to work strategically to foster client relationships with some of the largest most complex broker-dealers and the advisors they serve. Importantly, we are working to help them fulfill business plans and goals by leveraging the resources of our entire firm. It’s a unique role that provides me with the opportunity to work closely with the executives that are running a broker-dealer. By investing in their success, we are often able to compliment what they already do really well. It’s personally and professionally rewarding to see our client succeed. 

    I know you're a member of the FSDA Scholarship Committee.  Tell us a little bit about what that committee does.
    The FSDA offers two or more, $2,000 scholarships, to members of the FSDA.  They may be utilized by anyone within the member firm.  All information is under our scholarships tab on our website.

    Why is it important for Pershing to be a member of the FSDA? 
    The FSDA has shown great commitment to positive change in financial services around critical issues such as adopting new business models, addressing new regulations and dealing with product complexity. Importantly, they have developed a trusted and constructive relationship with Florida Legislators and the investment community. These important issues are crucial for Pershing and the clients we serve. We are proud to work side-by-side with FSDA as we move ahead in these exciting and challenging times.

    I know that in June Pershing will host its annual INSITE conference, which will take place this year in Orlando. Tell us a little bit about why an investment adviser or financial adviser should consider attending INSITE 2018. 
    For 20 years, INSITE has brought industry leaders together to discuss prominent issues, trends and best practices. This year, home office professionals and advisors will have a chance to explore the major issues they are facing, such as regulatory and technology changes, while networking with those who are passionate about this business. Take a look at our sessions; they have been uniquely developed to customize your experience by choosing the breakout sessions that interest you most.

    Mitch, has Pershing extended to employees of FSDA members any exclusive offers to attend this year’s INSITE conference?
    Absolutely! I’d be happy to have anyone affiliated with the FSDA as my guest. I’ve arranged to have our conference fee waived for INSITE 2018 when you use Priority Code "FSDA" at registration so please join us June 6-8, 2018, at the Hyatt Regency Orlando. Visit BNYMellonINSITE.com to learn more, and register today!

    Mitch, thanks for taking time to speak with us today. INSITE 2018 sounds like a wonderful event. The FSDA urges employees of all FSDA members to consider attending, and if you or your firm have not yet joined FSDA, now is an exciting time to do so to take advantage of this opportunity and to reap all the other benefits of FSDA membership. 

    Next month, Patricia Cowart an attorney with Wells Fargo Advisors will be "In the Spotlight."

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