Unlocking annuity growth with stronger recommendation workflows

Upcoming Webinar: July 21, 1PM ET

Annuity demand is rising, and so is regulatory scrutiny over how recommendations are made, documented, supervised, and defended.

For wealth firms, this creates both a challenge and an opportunity.

The firms best positioned to grow will be those that help advisors identify suitable annuity opportunities, compare alternatives clearly, and document each recommendation with confidence.

Join InvestorCOM for a practical discussion on how to capture that opportunity while strengthening compliance, supervision, and best-interest documentation.

What this webinar will cover

• Why annuities are becoming a growth opportunity for wealth firms

Explore the market forces driving demand for retirement income solutions and how firms can support advisors in acting on those opportunities.

•  Why annuity recommendations are under greater scrutiny

Understand the regulatory expectations around product recommendations, client-specific rationale, and best-interest documentation.

• What makes annuity recommendations complex

From riders and surrender schedules to costs, liquidity, income needs, and product alternatives, annuities require a more structured recommendation process.

• The role of reasonably available alternatives

Learn why firms need a consistent way to compare options and document why one recommendation is in the client’s best interest.

• How firms can reduce compliance friction

See how technology can help advisors move faster with more confidence while giving compliance teams better visibility and oversight.

• What a scalable annuity recommendation process looks like

Understand the key elements firms should capture, review, and retain to support growth without increasing risk.

Who should attend

This webinar is designed for:

• Compliance leaders
• Supervision teams
• Wealth management executives
• Retirement strategy leaders
• Operations leaders
• Advisor platform and technology teams
• Legal and risk professionals

Why attend

Annuities can play an important role in retirement income planning, and a meaningful one in a firm’s growth.

But capturing that opportunity takes more than product availability.

Advisors need intuitive workflows, compliance teams need visibility, and the firm needs a repeatable process that produces consistent, defensible recommendations.

This session will help you spot where today’s workflows may be slowing advisors down, creating supervision gaps, or holding annuity sales back.

Register now

Save your seat to see how your firm can grow its annuity business while tightening compliance, consistency, and control.

Save Your Seat:

Issa Hanna, Partner, Eversheds Sutherland

Issa Hanna helps broker-dealers, investment advisers, investment funds, insurance companies and insurance distributors in navigating the regulatory requirements applicable to their businesses.

Brian Rubin, Co-Head of Securities Enforcement Practice and Chair, US Pro Bono Committee, Eversheds Sutherland

Brian Rubin is a Partner and Co-Head of Eversheds Sutherland’s Securities Enforcement and Regulatory Investigations practice, with more than 20 years of experience in federal securities law. A former Deputy Chief Counsel of Enforcement at NASD (now FINRA) and Senior Enforcement Counsel at the SEC, he brings a unique insider’s perspective to regulatory examinations, investigations, and enforcement matters. Brian represents broker-dealers, investment advisers, asset managers, public companies, and individuals in high-stakes proceedings before the SEC, FINRA, and state regulators. A nationally recognized thought leader, he is known for his FINRA sanctions study and is ranked by Chambers USA, Best Lawyers, and Super Lawyers.

Rob Dearman, CEO and Chief Innovation Officer, DCG Insight

Rob Dearman is on a mission to help financial advisory firms build and grow the next generation of client-obsessed, fiduciary-focused, technology-accelerated strategies and platforms.

Rob’s experience includes co-founding the country’s third-largest independent broker-dealer network, National Planning Holdings, where he served as CIO and Head of Wealth Management. He was a designer and CTO for Curian Capital, the first digital TAMP, and led the Office of Strategic Initiatives for Jackson National. He served as a regulatory liaison and held a position on FINRA’s FinTech Innovation Council and contributed to the SEC Reg BI and CRS regulation, DOL Fiduciary rule, NAIC Model Suitability rule, and several NASAA state fiduciaries efforts.

Tom Reeve, Product Lead, InvestorCOM

Tom Reeve is a Product Lead at InvestorCOM, where he leads product strategy for InvestorCOM’s Rollover Platform. Tom first joined InvestorCOM while pursuing a dual degree in Business (HBA) and Software Engineering at Western University, contributing to the RolloverAnalyzer product and key platform initiatives. He then spent three years as a Software Engineer at Amazon, building applications to drive operational efficiency across Amazon’s fulfillment network. Now back at InvestorCOM, Tom combines hands-on engineering depth with a sharp product instinct to build smarter, more impactful solutions for firms and their advisors.

Parham Nasseri, President, InvestorCOM

Parham Nasseri has spent his career translating complex regulatory requirements into technology solutions that improve investor and advisor outcomes. He has over 15 years of regulatory and wealth management experience, including senior roles in regulatory analytics, digital transformation, and investment analytics.

Parham currently serves as President at InvestorCOM, a leading software solutions provider for the financial services industry. He serves on several advisory boards including Ontario Securities Commission’s Investor Advisory Panel, CFA Societies’ Canadian Advocacy Council, The Canadian RegTech Association, and Junior Achievements of Central Ontario. He is also the host of the Wealth Compliance Leaders series.