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The Definitive Voice of, and Advocate for, Florida Securities Firms and Investment Advisors for More Than 80 Years.


  • 08/05/2019 1:27 PM | Anonymous

    The Florida Securities Dealers Association, Inc. (“FSDA”), the definitive voice of, and advocate for, Florida securities firms and investment advisors for more than 80 years, has named the recipients of the 2019-2020 O’Bannon M. Cook FSDA Investment in the Future Scholarship.  One such recipient, Caitlin Owens, is a recent graduate of Lake Highland Preparatory School in Orlando, FL whose father, Gordon Owens, works for Robert W. Baird. Owens, who is currently working as associate with Robert W. Baird, was chosen from applicants from across the state of Florida because she demonstrated a high level of academic achievement, exceptional leadership skills and a strong commitment to service within her community. Owens will receive a $2,000 scholarship.

    “It is such a pleasure to see how Caitlin has expressed an interest in pursuing a career in the financial industry, and the FSDA is proud to be able to play a small roll in her academic success,” said Laura Hawley, FSDA Member and Chairperson of the FSDA Scholarship Committee.

    While at Lake Highland Preparatory School, Owens was a member of the Latin and National Honor Societies, Student Government, Winter Park Youth Leadership and she also received the President’s Award. Owens also competed on Lake Highland Prep’s Varsity Girls Golf Team and is nationally ranked with the PGA and USGA Junior golf programs. This fall, Owens plans to attend the University of Miami to study Accounting under an Accelerated Accounting Program.

    About the O’Bannon M. Cook FSDA Investment in the Future Scholarship Program The O’Bannon M. Cook FSDA Investment in the Future Scholarship Program was established to recognize and assist employees and immediate family members of employees of FSDA members who have demonstrated academic achievement, leadership skills and commitment to service, along with an interest in pursuing a career in the securities industry or business in general. Since the O’Bannon M. Cook FSDA Investment in the Future Scholarship Program’s inception, the FSDA has awarded thousands of dollars in scholarships to outstanding recipients. This year, the program awarded two scholarships. Finalists are selected based on their leadership skills; participation in service organizations, clubs, and other student groups at school and in the community; and their academic record.

    Since 1933, the FSDA’s mission is to advocate on behalf of the industry and provide education opportunities for its members and Florida's investing public.

  • 07/01/2019 10:59 AM | Anonymous

    Consider joining FSDA member firm Bressler Amery & Ross at this event!

    7 Surefire Ways to Get Sued by Your Client or Fined by Your Regulator (and how to avoid them!)

    Join us for an exclusive and complimentary seminar for investment advisers with a networking cocktail hour to follow and CFP credits!

    This seminar will focus on how to survive in today's litigious environment and what to do if it happens to you. Our speakers will discuss how to avoid regulatory investigations, RIA business structuring, litigation protection, succession planning, Regulation BI and other hot topics!

    DATE: Thursday, July 18, 2019

    TIME: 4:30 PM - 6:00 PM with networking cocktail hour to follow immediately after

    LOCATION: One Biscayne Tower Veritext Legal Solutions, 2 South Biscayne Blvd Suite 2500 - The Arbitration Room Miami, FL 33131

    RSVP: Email your RSVP to: events@bressler.com

  • 06/03/2019 4:47 PM | Anonymous

    The Senior Safe Act became federal law on May 24, 2018. The Senior Safe Act does not mandate any action by financial institutions and regulators. However, for financial institutions and certain eligible employees (discussed below), affiliated persons, and associated persons (“eligible employees”), who satisfy its requirements, the Senior Safe Act provides immunity from liability in any civil or administrative proceeding for reporting potential exploitation of a senior citizen.  For further information on the Senior Safe Act visit https://www.sec.gov/news/press-release/2019-75

  • 04/22/2019 5:42 PM | Anonymous

    Senior citizens may lose nearly 25 times more to scammers than what is reported, according to a report by Comparitech, a consumer research organization based in the U.K.

    Instead of the 200,000 cases of elder financial abuse that are reported annually to U.S. authorities, the actual number may be as high as 5 million, with losses of $27.4 billion a year, not the $1.17 billion that is officially reported, said Paul Bischoff, researcher and editor of Comparitech, which focuses on consumer issues in the United States, Canada and the United Kingdom.


  • 04/17/2019 11:28 AM | Anonymous

    FSDA was a proud contributor at the SIFMA’s Private Client Conference held April 10-12, 2019 in Naples, Florida. The conference brought together leaders from across private wealth management to examine the most topical issues facing the business.  

    FSDA attendees shared best practices with some of the industry’s senior leaders and extolled the virtues of the FSDA, including its important mission to advocate on behalf of the industry and provide education opportunities for its members and Florida's investing public.

    Jodi Perry, President of the Independent Contractor Division of Raymond James Financial Services, a FSDA Institutional member, was one of many dynamic panelists.   Jodi’s panel, “The “Only” Experience: What Can We Do? Taking Responsibility for Shaping the Future,” tackled different angles on the gender diversity conversation and shared innovative strategies that are pushing diversity to the top of the Industry agenda.

    Conference attendees included leaders from the following FSDA member firms: Edward Jones, Merrill Lynch Wealth Management, Bank of America Merrill Lynch, Baird, Raymond James & Associates and Morgan Stanley.


  • 03/29/2019 3:41 PM | Anonymous

    The FSDA and its members have been working to protect vulnerable seniors. Check out the latest legislative developments.

  • 03/13/2019 10:38 AM | Anonymous

    FSDA is a proud supporter of SIFMA’s Private Client Conference to be held April 10-12, 2019 in Naples, Florida. The conference brings together leaders from across private wealth management to examine the most topical issues facing the business.  

    FSDA will have a sponsor table which will connect FSDA’s brand to attendees and help build relationships with decision makers in the private-client markets with face-to-face networking opportunities. Attendees from past Private Client Conferences included leadership from the following firms: Broadridge Financial Solutions, Inc., Charles Schwab & Co., Inc., Deloitte, Dow Jones & Co Inc., Federated Investors, Fidelity Clearing & Custody Solutions, Hearsay Systems, IBM Corp, Merrill Lynch & Co. Inc., PwC, RBC Wealth Management, TD Ameritrade, Thomson Reuters, Vanguard and Wells Fargo.

    Please stop by FSDA's sponsor table and say hello if you are attending!

    For information on the conference, visit https://www.sifma.org/event/private-client-conference/#sponsor

  • 03/05/2019 5:28 PM | Anonymous

    Alex J. Sabo, the immediate past President of the FSDA, FSDA Corporate Member, and a Principal of Bressler, Amery & Ross, P.C., will appear on the radio program, “Dollars and Sense,” beginning at 5 p.m. on Wednesday, March 6, 2019.  “Dollars and Sense” is hosted by Laura Hawley, CEO of Allen and Company of Florida, Inc. and FSDA Corporate Member.

    If you are located near Central Florida you can hear the program on AM 1430 and FM 96.7.  If you are not located in Central Florida we will post a link once a recording of the program is posted on the radio station’s website.

    Mr. Sabo will discuss topics ranging from what the Federal Trade Commission warns is the latest fraud directed at seniors to the current status of vulnerable adults legislation pending in Florida. He also will provide information for seniors regarding the reporting of abuse, neglect or exploitation through the hotline maintained by the Florida Department of Children and Families Adult Protective Services and how to inquire about issues impacting seniors and their investments through the FINRA Securities Helpline for Seniors. 

  • 01/28/2019 6:24 PM | Anonymous

    On January 25, 2019, over 90 industry professionals visited the Raymond James Financial complex in St. Petersburg, Florida for a SIFMA/FSDA networking breakfast followed by two engaging panel discussions.  The first panel covered current regulatory issues, and was moderated by IRA Hammerman, Executive Vice President & General Counsel of SIFMA.  Mr. Hammerman’s esteemed panel included: Yvette Panetta, Deputy Director at FINRA, Caroline Holmes, Chief of the Bureau of Enforcement, Division of Securities, Florida Office of Financial Regulation and David Birnbaum, Managing Director of Business Development & Strategies for Bates Group LLC.  The regulatory panel covered topics including: current examination priorities and state regulatory initiatives.

    The second panel was moderated by Steven Greenbaum, Vice President and General Counsel of TradeStation Securities, Inc. and included: Roseann Chavanne, Co-CCO of Janney Montgomery Scott LLC, Olga Greenberg, a partner with Eversheds Sutherland (US) LLP, and Christopher Majeski, Senior VP and Head of Private Client Group Supervision for Raymond James Financial, Inc.  The supervision panel covered some important topics including: the use of big data, complex products, senior investor and vulnerable adult protection, business continuity plans, cybersecurity, and anti-money laundering.

    Attendees qualified for continuing education credits, and are able to share the valuable insights gleaned from the discussion with their respective firms.  The FSDA looks forward to continuing to work with the SIFMA C&L Society to help educate the securities industry on important regulatory developments and best practices.


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