Kevin has nearly 30 years of accounting experience, including 26 years of public accountancy and several years as a CFO of a small subsidiary of a NYSE-listed company. Kevin G. Breard opened the doors to his Certified Public Accounting office in l989. The founding of Breard and Associates was the result of his dream to provide a broad range of services to a diverse clientele. His certification as a CPA in various states, as well as his CFE, CFS, FINOP and DABFA licenses, has enabled him to make the dream a reality.
Breard holds a BS in Accounting, with a business emphasis, from CSU Northridge. He studied Corporate Governance at Tulane University Law School.
Kevin will be speaking at the following seminars
Deborah S. Froling is a member of Arent Fox’s corporate/securities and real estate groups. She has extensive experience in public and private offerings of debt, equity and convertible securities as both issuer’s and underwriter’s counsel primarily for real estate companies. She also has extensive experience in the tenant in common syndication industry and the non-traded REIT and equipment leasing industry.
Deborah has closed public and private debt and equity offerings, primarily for REITs, and other real estate companies, as well as equipment leasing companies. She has also structured and closed numerous tenant in common syndications. She has also worked with public and private company clients providing general corporate counseling and advising on periodic and annual reporting and other Securities and Exchange Commission disclosure requirements.
Deborah will be speaking at the New York seminar on Wednesday, November 16, 2011.
Amy has extensive experience working with investment advisers. Since 2004, Amy has provided guidance to compliance officers, marketing personnel, risk management and investment performance professionals on the continuously changing SEC regulations and Global Investment Performance Standards (GIPS®). Amy joined Advisor Solutions Group, Inc. in 2010 as a compliance analyst. Amy assists investment adviser in creating compliance programs, conducting their required annual review and testing their codes of ethics and compliance programs.
Prior to joining ASG, Amy was a manager with Ashland Partners & Company in Boston, Massachusetts. Amy has an in depth understanding of the investment management industry, specifically performance measurement, reporting and analysis, SEC regulations, and the Global Investment Performance Standards (GIPS®). She has consulted with Registered Investment Advisers across the country and conducted hundreds of GIPS verifications and performance examinations over the years. Amy graduated from Southern Oregon University in 2004 with a BS in Business Administration and an emphasis in Accounting.
She is holds a Certificate in Investment Performance Measurement (CIPM), is a member of the CIPM Association, National Society of Compliance Professionals (NSCP) and the Southern California Compliance Group (SCCG). In addition, Amy is also a member of the CFA Society of Orange County (CFAOC) where she serves on a committee for responsible for developing and implementing their mentor program.
Amy will be speaking at the Newport Beach seminar on Thursday, November 10, 2011.
After 13 years in marketing at a large regional accounting firm with investment advisor, broker-dealer and investment banking subsidiaries, Karen Kenyon started K2 Consulting to help financial services professionals learn the ins and outs of social media and successfully integrate social media into their overall sales and marketing strategies. She is intimately familiar with the many regulatory restrictions that apply to investment advisor and broker dealer communications and has helped many financial service professionals improve their online presence safely and effectively.
Karen will be speaking at the following seminars
Kristina B Mason is a Financial Services broker in Los Angeles, California with over 12 years of experience in the excess and surplus line insurance industry. Her areas of expertise include Professional liability and Cyber/Internet liability, and Executive and Management liability, including Directors & Officers liability, Employment Practices liability, Commercial Crime, Fiduciary liability. She specializes in placing liability coverage for risks ranging from Aardvark breeders to Zwinglian theologists, and every class of business in between.
Kristina will be speaking at the following seminars
Andy Prentiss has over 17 years of experience managing tax affairs in private industry.
Prentiss, a CPA, has a combined 35 years of experience in domestic and international taxation, as well as in public and private accounting, and has traveled extensively on six continents as the Manager, and later as the Director, of Taxation for a large international consulting engineering firm headquartered in Los Angeles. He was extensively involved in transforming that firm from a privately held partnership to a publicly held corporation listed on the NYSE.
Earlier, Andy held both audit and tax related positions at a ‘Big Eight’ accounting firm. He graduated from California State University Northridge and spent four years in the US Navy.
Professional / Civic Affiliations
Andy will be speaking at the following seminars
Thomas Rausch has been involved in the financial industry since 1987, initially as a CPA and then as a registered representative of a broker dealer. He earned the designation of CFP in 1991 and worked with individuals and business leaders consulting on a wide variety of financial issues. In 1999, he founded Compliance Consultants, an entity organized to assist investment advisors with regulatory registration and compliance issues as they relate to The Investment Advisers Act of 1940 and various state rules. In 2008, he earned the designation of Accredited Investment Fiduciary Analyst (AIFA) to examine and assess fiduciary’s performance of their duties. In 2008 he also founded Bravo Zulu, an organization created to assist financial fiduciaries recognize and comply with their fiduciary responsibilities to foundations, trusts and pension plans.
Tom has held the Series 6, 7, 22, 63, and 65 licenses, has been an investment advisor representative of his own investment advisor in Washington State, and was a registered representative of a FINRA Broker‐Dealer. He is also an arbitrator for FINRA Dispute Resolution.
Thomas will be speaking at the following seminars
Krista S. Zipfel, CFA is President and CEO of Advisor Solutions Group, Inc. (ASG), based in Newport Beach, California. ASG provides compliance and general business consulting services to small to mid-sized state and SEC registered investment advisers. Consulting services provided include assistance with registration, regulatory filings, development of compliance programs and written policies and procedures, mock audits and preparation for regulatory exams.
Ms. Zipfel founded ASG in 2003 after a decade of working for registered investment advisory firms ranging in size from $50 million to $5 billion in assets under management, serving both retail and institutional clients. She has worked in the areas of compliance, portfolio management, client service, marketing, research, portfolio administration, operations, trading, and accounting.
Ms. Zipfel graduated Summa Cum Laude with a BA in Management and Business Administration from Pacific Christian College. She holds an MBA with a Finance emphasis from California State University, Fullerton. She is a member with and holds the Chartered Financial Analyst (CFA) designation from the CFA Institute.
Ms. Zipfel is a member of the National Society of Compliance Professionals (NSCP) and President of the Southern California Compliance Group (SCCG). She has been a speaker on regulatory topics for NSCP, NAPFA, IA Week, and CFA Society of Orange County (CFAOC) events. She is an active member and a past president of the CFAOC and founder and former Chair of the society’s charitable foundation.
Krista will be speaking at the Newport Beach seminar on Thursday, November 10, 2011.