Focus Financial Annual Summit

Claire McCarthy is Senior Vice President, Advisor Engagement, Relationship Executive and Strategic Engagement Solutions leader in the Independent Channel Leader at Osaic, one of the nation’s largest providers of wealth management solutions. With a career deeply rooted in wealth management, Claire’s current role at Osaic focuses on elevating the engagement experience for enterprises and financial professionals and helping them create enterprise value. By aligning strategic initiatives with swift execution, Claire’s team enhances client lifecycles and empowers professionals’ success. In collaboration with a dedicated group, Claire is focused on leveraging collective strengths to foster development and engagement, ensuring our 11,000+ financial experts are well-supported and thriving.

Claire also highly involved in Osaic advisor councils and boards, including in her role as the relationship executive over the Osaic Enterprise Council, which helps define the evolving partnership model and needs of Enterprises and their financial professionals. Claire is a proven change agent and strategic builder who is also responsible for creating a cohesive engagement experience across the firm.

Career Summary

Claire has over 27 years of experience in wealth management, change management, sales management, recruiting, relationship management, and compliance. Prior to joining Osaic, Claire was responsible for the leadership of the relationship consulting teams assigned to strategic enterprise and financial institution client relationships. Before joining LPL she served in several roles at M&T Securities, a subsidiary of M&T Bank, where she held positions as ranging from financial consultant to leadership roles in regulatory compliance, principal review, and sales management of over 500 financial professionals and registered dual employees.

Background

Claire is a graduate of Canisius University and holds a Bachelor of Arts in Modern Languages, specializing in Spanish. She also obtained her CERTIFIED FINANCIAL PLANNER designation and is Series 6, 7, 24, 53, 63, 65, and 79 registered.

Melissa is currently a Regional Vice President under Advisor Engagement at Osaic. The role serves as a dedicated in-person liaison with the mission of partnering with financial professionals and support staff as a partner and business leader. She provides advice, showcases internal and external resources, and provides solutions across the organization to help with growth and the achievement of business goals.

As an RVP, responsibilities include conveying relevant information about Osaic, the industry, and our firm partners. She serves as an advocate to ensure voices are represented and feedback is provided to achieve business ambitions. She connects advisors with subject matter experts and industry leaders. Facilitates group events, regional and national meetings, fosters connections with Osaic communities, provides succession and acquisition best practices, and helps maximize technology within the business. Lastly, the role helps advisors and their teams create, maintain, and grow their business through tje expertise and experience of the RVP.

Melissa began her career in 2003 at Alliance Bernstein where she supported institutional clients on the asset management side across a variety of investment strategies. She took an opportunity in 2005 to work at Morgan Stanley in New York as an internal associate on the Investment Advisory desk supporting over 3000 advisors and regional consultants to drive IA sales. In 2008, she was promoted out West and worked her way up to being a Regional Vice President running her own territory in California and Nevada. In this capacity, she served the private client, private wealth, and institutional space where she drove sales initiatives, assisted with portfolio construction, educated Financial Advisors on Investment Advisory Products and Platforms, and presented to HNW clients and institutions on the capital markets and investment strategies unique to their situation.

Melissa has a B.S. in Finance from Virginia Tech. She currently holds her Certified Investment Management Analyst designation (CIMA®) from UPenn, her Certified Private Wealth Advisor designation (CPWA®) from the University of Chicago and recently obtained her Behavioral Finance Advisor designation (BFA®). Securities licenses include the Series 7 and Series 66. In her spare time she enjoying hiking, traveling, fishing and giving back to her local community.