2019 FINRA Diversity Summit Agenda

Courageous Inclusion: Leading Through Conversation, Innovation and Accountability

April 2, 2019
8:00 a.m. - 4:30 p.m.
New York, NY


8:00 a.m. – 9:00 a.m.

Registration & Continental Breakfast

9:00 a.m. – 9:15 a.m.

Welcome Remarks
Cindy Foster, Vice President and Ombudsman and Diversity Leadership Council Chairperson, FINRA

9:15 a.m. – 10:00 a.m.

Courageous Inclusion: Leading Through Conversation, Innovation and Accountability

FINRA President and CEO Robert Cook talks with Mindblown Labs Co-founder and CEO Jason Young about the progress of diversity and inclusion in the financial services industry and challenges in the workplace. They also discuss how organizations can better engage with millennials and the need to have courageous conversations to attract and retain diverse talent.


  • Robert W. Cook, President and CEO, FINRA
  • Jason Young, Co-founder and CEO, Mindblown Labs

10:00 a.m. – 11:00 a.m.

Difficult Conversations

Dr. Katherine Phillips provides insight on the importance of being intentional about developing authentic relationships in today’s multicultural workplace.


  • Dr. Katherine Phillips, Reuben Mark Professor of Organizational Character and the Director of the Sanford C. Bernstein & Co. Center for Leadership and Ethics, Columbia University
  • Peter Gonzalez, Principal Examiner, FINRA

11:00 a.m. – 11:15 a.m.

Networking Break

11:15 a.m. – 12:15 p.m.

Learning Exchange

Engage in facilitated group discussions on topics that align with the summit theme and provide opportunities for lively discussions and identifying creative solutions.

12:15 p.m. – 12:30 p.m.

Networking Break

12:30 p.m. – 1:15 p.m.

Lunch and Learn

Enjoy lunch while representatives from disability, youth and veteran workforce inclusion programs share innovative approaches for building inclusive talent pipelines.


  • Mike Lynch, Director, Business Support Services, FINRA


  • Liz Taub, Executive Vice President of Programs, Disabilities:IN
  • John Galante, Executive Director, Year Up
  • Crystal Cochran, Deputy Director, Corporate Fellowship Program, Hiring Our Heroes

1:15 p.m. – 1:30 p.m.

Networking Break

1:30 p.m. – 2:15 p.m.

Financial Capabilities

Speakers explore demographic differences in the financial capability of U.S. adults and discuss the impact of underrepresentation in the investment industry, including among holders of the CFP® mark.


  • LaTricia Henderson, 2019 Diversity Summit Chairperson and Associate Director, Registration and Disclosure, FINRA


  • Gerri Walsh, FINRA Foundation President, Senior Vice President, Investor Education, FINRA
  • Marilyn Mohrman-Gillis, Executive Director, CFP Board Center for Financial Planning

2:15 p.m. – 3:00 p.m.

Diversity and Inclusion Leadership Panel

As a follow-up to the learning exchange session, facilitators discuss their group’s input and provide perspectives on the identified challenges and proposed solutions. Speakers also draw on their own professional experiences and provide actionable steps attendees can take to advance diversity and inclusion in the workplace.


  • Audria Lee, Director, HR Diversity and Worklife, FINRA


  • Lorrie Lykins, Managing Editor, Vice President of Research Institute of Corporate Productivity (i4cp)
  • Vinay Kapoor, Americas Head of Diversity and Inclusion, BNP Paribas
  • Emily Pitts, Principal, Inclusion & Diversity, Edward Jones

3:00 p.m. – 3:15 p.m.

Closing Remarks

  • LaTricia Henderson, 2019 Diversity Summit Chairperson and Associate Director, Registration and Disclosure, FINRA

3:15 p.m. – 4:30 p.m.

Networking Reception

Enjoy light snacks and beverages while sharing ideas and networking with colleagues, regulators and speakers.