Are You Prepared for the Recent PTE 2020-02 Changes?

William A. Nelson is associate general counsel at the IAA. Previously, he was assistant general counsel and public policy counsel at CFP Board and chief compliance officer for Mercer Advisors. He has also held roles as an attorney with both the U.S. Departments of Justice and Veterans Affairs. Nelson has served as an adjunct professor at the University of Denver Sturm College of Law and George Washington University Law School. He received his undergraduate degree from the University of Tulsa, his J.D. with Honors from the University of Tulsa College of Law, and his LL.M. from the George Washington University Law School.  

John Faustino is head of retirement products at Broadridge. In this role, he leads a team charged with helping financial intermediaries profitably implement solutions that drive their clients’ retirement goal achievement. Faustino also leads Broadridge’s Retirement Income Consortium. Prior to Broadridge, he spent over 14 years at Morningstar, where he led global teams responsible for technology-based wealth and retirement plan solutions. Early in his career, Faustino worked for Brinson Partners as portfolio administrator for large wealth and retirement accounts and served as an officer on a closed-end bond fund. He holds a B.S. in Finance from the University of Illinois, an M.S. in Decision Sciences from the London School of Economics, an MBA from the University of Chicago’s Booth School of Business, and MSIT from Northwestern University.