POWER Series: Tricia Rothschild, CFA

Trading vs. Investing and the Influence of Fintech
 
Please note that this event will be through Zoom. Login information will be provided in the reminder email closer to the event
 
Hosted by: CFA Women's Network

In today’s world, fintech is bridging the gap between trading and investing, enabling younger and previously underserved people to have more access to the markets and tools to help them invest based on their personal goals – and in a self-directed way. With the rise of younger investors’ engagement in their money and the drastically changing fintech landscape, what are the implications for the wealth management industry today and in the future? 
 
Tricia Rothschild, CFA, president of Apex Clearing, joins us to discuss the nuances of trading vs. investing, the influence and evolution of fintech, and where the industry is heading. She will discuss trends she has seen looking back on her 26-year tenure at Morningstar, a global investment research and data provider for asset managers, wealth managers and individual investors, as well as using her current vantage point at Apex Clearing, whose technology powers many of the popular fintech firms that helped fuel 2020’s retail investor fury.  
 
Additionally, Rothschild will reflect on her own personal career and the key lessons learned as she trailblazed her way to success in a traditionally male-dominated industry. In 2020, Rothschild was recognized in InvestmentNews’ Women to Watch program and was named one of the top 21 people who will change wealth management in 2021 by Financial Planning. She will be taking questions from the audience during a live Q&A so make sure to come prepared for an interactive event!
 

Fee*: 
Members - FREE 
Nonmembers - $20
WIM Groups - FREE through February 3rd at 7:00 PM CST (Please call your local society/organization to be registered).
(Member pricing underwritten by CFA Society Chicago)




Supportive Organization: This event is part of the Collaborative WIM Initiative 

CFA Institute Qualified Activity: Eligible for 1 credit hour

Registration: Online 
Zoom login information will be provided in the reminder email closer to the event. 
Registration closes at 5:00 PM on February 9, 2020.

Agenda:
4:00 PM - 5:00 PM CST: Program
Please log in a few minutes early to test your video and internet connections.

*Distribution of presentation slides is at the discretion of the speaker and may not be available for this event

Speaker Bio:

Tricia Rothschild, CFA, president of Apex Clearing, is responsible for the overall growth and development of the company and its three core business lines, which support direct-to-consumer financial-services disrupters, asset- and wealth-management incumbents, and institutional investors. Rothschild directly oversees internal and client-facing functions including product management, sales, and marketing. By delivering digital clearing and custody as it ought to be, Apex continues to create innovative and modern solutions that empower people to have more control over their financial lives.

Prior to joining Apex, Rothschild spent 26 years in a variety of roles at Morningstar, a global investment research and data provider for asset managers, wealth managers, and individual investors. An executive at the firm, Rothschild served as chief product officer and co-head of Global Markets, where she oversaw a team of more than 1,500 product developers, product managers, designers, and business leaders responsible for product strategy, innovation, technical development, and the overall commercial success of a multi-million-dollar P&L. Rothschild’s portfolio of businesses included software, data, research, and index solutions. Over the course of her career at the firm, she served as a securities analyst, developed the firm’s global equity research business, and led its advisor and wealth management strategy and solutions group.

Rothschild holds a bachelor’s degree from Northwestern University, and a master’s degree in Russian and Central European economics from Indiana University. She is a Chartered Financial Analyst® (CFA) and serves on the global Board of Governors for the CFA Institute. Rothschild is also an advisor and board director for two privately held Fintech companies, Magnifi and the Financial Fitness Group, and she served as a director for Y-Charts, which was successfully sold to a private-equity firm in late 2020.

In 2020, Rothschild was recognized in InvestmentNews’ Women to Watch program, and was named one of the top 21 people who will change wealth management in 2021 by Financial Planning. She was also featured as one of the Top Women in WealthTech by ThinkAdvisor.com in 2019. Rothschild founded and led a reverse-mentorship program at Morningstar and is also active in her local chapter of National Charity League, a mother-daughter philanthropy and leadership organization. 
 
Moderator Bio:

Jenifer Aronson, CFA, is managing partner with Mosaic Fi, LLC. Aronson has over 20 years of experience with some of Chicago’s most recognized investment firms, including Northern Trust and UBS Brinson Partners. Most recently, she worked with family offices and ultra-high net worth individuals advising them on their investment portfolios, tax and estate planning, and other financial related matters.

Aronson holds a Chartered Financial Analyst designation, is a member of CFA Institute and a member of CFA Society Chicago. She is a member of the Society’s CFA Women’s Network Advisory Group and previously served as a co-chair for the Society’s Professional Development Advisory Group. She received a B.S. degree in business administration from the University of Arizona and an M.B.A. in finance and economics from the University of Chicago.
 
*Special Notes Regarding Fees
This event is complimentary for members only. Credit card required to guarantee all nonmember reservations. Visa, MasterCard, American Express, Discover and Diners Club are accepted. Registration online is required and closes at 5:00 PM on February 9, 2021. Cancellations for refunds accepted until 5:00 PM, February 9, 2021.

Passport Program
Members of any CFA society may attend at the CFA Society Chicago member rate. Please call the CFA Society Chicago office at 312-251-1301 to register. If you are only a member of CFA Institute, you do not qualify for the Society member rate.

CFA Institute CE Qualified Activity
This program qualifies for credit under the guidelines for the CFA Institute Professional Development Program.
When
2/10/2021 4:00 PM - 5:00 PM
Where
Online

Sign In