Securities Industry Symposium 2023 

Donald Danforth Plant Science Center, 975 N Warson Rd, St. Louis, MO 63132
November 15, 2023

We look forward to seeing you for the annual Securities Industry Symposium, an afternoon of highly informative discussions and networking opportunities with other securities professionals. The symposium is co-hosted by the Bar Association of Metropolitan St. Louis and Greensfelder.


Wednesday, November 15, 2023

  • 12:30 p.m.: Registration
  • 1:00 to 5:00 p.m.: Program
  • 5:00 to 6:30 p.m.: Reception

Location: Donald Danforth Plant Science Center
975 North Warson Road, St. Louis, MO 63132 

The symposium is accredited for 3.8 MO CLE hours.

Below is our current list of interviews and speakers:

Welcome and Opening Remarks

  • Judge Kendra Howard – President, Bar Association of Metropolitan St. Louis

Compliance Roundtable featuring:

  • Moderator: Jesy LeBlanc – Founder/Managing Partner, TRADEliance
  • Steven Farmer – Confluence, Chief Compliance Officer

  • Jason Habermeyer – Associate General Counsel, Edward Jones

  • Kelly Zigaitis – Brokerage Chief Compliance Officer, Robinhood

Interview with James Nix

Acting Director of the Illinois Securities Department

  • Interviewer: A. Valerie Mirko – Partner and Co-Leader, Securities Regulation and Litigation, Armstrong Teasdale 

Examining Artificial Intelligence featuring:

  • Speakers: Patrick Cox – Expert Witness and Compliance Consultant, Bates Group

  • George Rosenthal – President, ThrottleNet

Interview with Michael Solomon

Senior VP Examination FINRA

  • Interviewer: James Ferrick – Officer, Greensfelder, Hemker & Gale, P.C.

View Event Material(s):

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