As a veteran wealth management executive, Dan Overbey has served in the capacity as an industry authority on dealings within the wealth management space – specifically working in the financial institution channel. Key career milestones:
- Co-founder of the Washington D.C.-based Bank Insurance & Securities Association, the largest association of financial institutions engaged in wealth management. Over the past 20 years, he served as a BISA Board Member, Association President, and Emeritus Director. Honored with BISA’s Career Achievement Award, he led the Association to establish the Leadership Advisory Board, a consortium of investment product manufacturers, intermediaries, and research consultants that comprise the Association’s intellectual capital.
- Launched full-service broker dealer for First Horizon Bank, the Memphis-based bank with $80.0 billion in assets. In 2008, FHN was recognized as the Top Regional Bank by the Bank Insurance and Securities Association, and to this date enjoys industry accolades as a leading financial institution program in terms of advisor tenure, average advisor production, and introduction of key tactical initiatives tied to financial planning, exit planning for businesses, and advisor advocacy.
- Over the last 10 years, Dan has served as a FINRA Non-Public Arbitrator. While the paramount mission of the FINRA
arbitration process is rooted in the consumer protection Dan believes his calling to serve as an arbitrator was to ensure a balanced representation of advisors who’ve been excluded from fair representation by their own firms.
As an arbitrator, he has worked with attorneys, mediators, and broker dealers to affirm the rights of consumers to seek financial settlements resulting from questionable practices of firms and advisors. Working withing a regulatory agency has served to augment his work with wealth management firms and financial institutions.