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November 1, 2019 - Joseph J. Ochotny, Jr. wins the Five Star Wealth Manager award!

Joe once again received the Five Star Wealth Manager award, which will be included in the December issue of Philadelphia Magazine.  By earning this honor, Joe has demonstrated a commitment to clients.  Five Star Professional has recognized in the pages of Philadelphia Magazine an outstanding group of Philadelphia-area wealth managers.  Five Star Wealth Managers are named using an in-depth methodology that includes ten objective criteria.

The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 3,910 Philadelphia area wealth managers were considered for the award; 437 (11% of candidates) were named 2019 Five Star Wealth Managers. 2018: 3,721 considered, 439 winners; 2017: 3,022 considered, 437 winners; 2016: 2,671 considered, 660 winners; 2015: 4,696 considered, 805 winners; 2014: 4,438 considered, 856 winners; 2013: 3,354 considered, 934 winners; 2012: 2,847 considered, 773 winners.

June 10-14, 2019 - HD Vest CONNECT2019 Conference

Located in Seattle, WA, Joe attended this year's HD Vest annual national conference, CONNECT2019. The independent broker-dealer hosted more than 1,000 Advisors, exhibitors, and other partners for the June conference in Seattle, where HD Vest’s unique focus on integrating other services into wealth management was the highlight. 

CONNECT2019 gave Advisors a one-of-a-kind opportunity to network with industry thought leaders, participate in educational workshops, and attend breakout sessions to discuss how to elevate their clients’ experience.

“Our industry is constantly changing, and the ways in which our Advisors grow their businesses are just as dynamic,” said Enrique Vasquez, President of HD Vest. “We are excited to support our Advisors with the tools and services needed to provide their clients with the best advice as they expand and grow their business.”

Joe and Eleanor did have a little bit of time to see the sunset from the top of the Seattle Space Needle, too.



May 6-8, 2019 - HD Vest Field Leader's Conference

Being a Field Leader for HD Vest, Joe traveled once again to Dallas, TX for the 2019 Field Leaders Conference. The annual conference honors Chapter Directors and Mentors who guide other financial advisors as they grow in the industry. The Chapter Program offers a unique opportunity for HD Vest Advisors to network with other HD Vest Advisors and receive valuable training to grow their investment planning practices, guided by encouraging regional Chapter Directors, like Joe.  


Sept 15-19, 2018 - First Elite Accountability Team (FEAT) Retreat

Joe hosted this event and brought his accountability team to Philadelphia where they got to experience some great city highlights as well as investment presentations from some sponsors.  


June 25-28, 2018 - HD Vest CONNECT2018 Conference

Joe attended CONNECT2018, HD Vest's annual national conference for its advisors, located this year in New Orleans, LA.  There were over 1,600 participants and featured some excellent keynote speakers.  Joe participated in educational classes, keynote presentations, and networked with his colleagues & home office representatives.


May 7-9, 2018 - HD Vest Field Leader's Conference

Being a Field Leader for HD Vest, Joe traveled to Dallas, TX for the 2018 Field Leaders Conference. The annual conference honors Chapter Directors and Mentors who guide other financial advisors as they grow in the industry. The Chapter Program offers a unique opportunity for HD Vest Advisors to network with other HD Vest Advisors and receive valuable training to grow their investment planning practices, guided by encouraging regional Chapter Directors, like Joe.  This year, as in year's past, Joe was recognized with an award for his chapter's attendance record in the medium size chapters category with 52% attendance.  Congratulations, Joe! (Pictured below with Bob Oros, CEO of HD Vest)

May 2, 2018 - HD Vest Annuity Summit

Joe, Eleanor, and Jeanne attended the HD Vest Annuity Summit held at Lincoln Financial Field and sponsored by Lincoln Financial.  The Annuity Summit was an excellent way to get a home office update from our Annuity Specialist as well as specific annuity education and ideas.  We're excited to provide more resolutions for our clients' financial challenges.  After the Summit, we were led on a great tour of the facility; Home of the 2018 Super Bowl Champions, Philadelphia Eagles!


June 26-30, 2017 - HD Vest CONNECT2017 Conference


Joe attended CONNECT2017, HD Vest's annual national conference for its advisors.  There were over 1,600 participants at the conference, which took place in fabulous Las Vegas, NV, and featured HD Vest's unique focus on supporting independent advisors who integrate tax solutions with financial planning services.  Joe participated in educational classes, networked with his colleagues and home office representatives, and got to hear some impressive keynote speakers.  Although Emmi protested her owners leaving, she eventually let them go after copious amounts of treats and pets.


May 8-10, 2017 - 2017 Field Leaders Conference

Being a Field Leader for HD Vest, Joe had the opportunity to travel to Dallas, TX for the 2017 Field Leaders Conference. Headquartered in the Greater Dallas, TX, area, HD Vest is a leading independent broker-dealer empowering holistic tax and wealth management based financial advice through leading independent advisors across the country.

The annual conference honors Chapter Directors and Mentors who guide other financial advisors as they grow in the industry. The Chapter Program offers a unique opportunity for HD Vest Advisors to network with other HD Vest Advisors and receive valuable training to grow their investment planning practices, guided by encouraging regional Chapter Directors, like Joe.  As part of the annual Field Leaders Conference, Joe joined with other leading HD Vest Advisors in educational meetings and networking events. Joe also received an award for increased attendance at his Chapter Meetings during the 2016 season.


June 1-4, 2016 - HD Vest CONNECT2016 Conference

Joe attended CONNECT2016, HD Vest's annual national conference for its advisors.  CONNECT2016 included a thought-provoking line-up of speakers, highlighted by industry experts and noted commentators and provided one-of-a-kind opportunities to network with thought leaders from across the industry.  The event also included interactive educational workshops and breakout sessions, as well as the opportunity to meet with financial product firms and exhibitors to discuss some of the latest ideas encompassing a wide range of practice management and wealth management solutions.


May 4-6, 2016 - 2016 Field Leaders Conference

Once again, Joe was recognized as a Field Leader at the 2016 HD Vest Field Leaders Conference hosted at the Four Seasons in Las Colinas, TX.  Joe joined with 113 other Field Leaders to share ideas and celebrate the wonderful accomplishments of regional Chapter across the country.

The annual conference honors Chapter Directors and Mentors who guide other financial advisors as they grow in the industry.  The Chapter Program is a unique way for advisors to network with other advisors locally and receive valuable training & ideas to grow their practices.

In years past, Joe's chapter was given the honor of being awarded as the biggest attendance growth for small chapters.  This year, the chapter was honored as having the highest percentage of attendees of those individuals assigned to the chapter.  We applaud our lively, friendly chapter and recognize Joe for his zeal for education, idea sharing and networking as Chapter Director.  Congratulations!


November 9-12, 2015 - HD Vest Elite Retreat Conference

Joe attended the Elite Retreat conference hosted by HD Vest.  As a top Advisor, Joe qualified to attend the conference, which was held in Scottsdale, AZ with over 200 Advisor peers.  HD Vest Elite Retreat is a networking and learning event for premium top Advisors focused on peer-to-peer idea sharing.  Attendees participated in interactive shops, heard informative sessions led by the HD Vest executive leadership team and keynote speakers.  The goal of Elite Retreat is to explore ways to create a unique, indispensable and repeatable process to offer clients ongoing personalized financial services.  It is an honor to qualify for and attend HD Vest's Elite Retreat.

Roger Ochs, President & CEO of HD Vest, said, "We were pleased to host Joe at our 2015 Elite Retreat Conference in Scottsdale.  This is an event our top Advisors look forward to each year as they share a common commitment to providing their clients with top of the line service, starting with taxes, defining and prioritizing wealth management issues, creating a plan and then bringing that plan to life.  They have all sown enormous initiative in continuing to develop professionally, learn from others in our industry and share their own experiences to work toward a common goal."


June 15-19, 2015 - HD Vest CONNECT2015 Conference


Joe attended CONNECT2015, HD Vest's annual national conference for its advisors.  There were over 1,600 participants at the conference, which took place in Dallas, TX, and featured HD Vest's unique focus on supporting independent advisors who integrate tax solutions with financial planning services.

CONNECT2015 included a thought-provoking line-up of speakers, highlighted by industry experts and noted commentators, such as former President George W. Bush, and provided one-of-a-kind opportunities to network with thought leaders from across the industry.  The event also included interactive educational workshops and breakout sessions, as well as the opportunity to meet with 125 financial product firms and exhibitors to discuss some of the latest ideas encompassing a wide range of practice management and wealth management solutions.

"We thank all of our Advisors for their participation in our annual national conference.  It is extremely important to us at HD Vest that our affiliated Advisors have the opportunity to gather together on an annual basis to hear about industry-wide best practices, learn from one another, and stay breast of the latest industry developments.  At HD Vest, we've built a unique culture that is based on a like-minded community of Advisors who are there to help one another and share experiences.  Fundamentally, CONNECT2015 underscores our unique value proposition in empowering holistic financial and tax guidance for the sake of providing the best possible financial solutions to our independent Advisors' end clients," said Roger Ochs, President and CEO of HD Vest.


May 4-6, 2015 - 2015 Field Leaders Conference

Being a Field Leader for HD Vest, Joe had the opportunity to travel to Dallas, TX for the 2015 Field Leaders Conference. This year’s conference was hosted at the Four Seasons in Las Colinas.

Headquartered in the Greater Dallas, TX, area, HD Vest is a leading independent broker-dealer empowering holistic tax and wealth management based financial advice through leading independent advisors across the country.

The annual conference honors Chapter Directors and Mentors who guide other financial advisors as they grow in the industry. The Chapter Program offers a unique opportunity for HD Vest Advisors to network with other HD Vest Advisors and receive valuable training to grow their investment planning practices, guided by encouraging regional Chapter Directors, like Joe.

As part of the annual Field Leaders Conference, Joe joined with other leading HD Vest Advisors in educational meetings and networking events. Joe said, “It was an honor to attend the Field Leader Conference. I found the event to be a great resource for networking with peers from around the country and to meet firsthand with HD Vest executives, while also learning from industry experts in the field.” Joe also received an award for increased attendance at his Chapter Meetings during the 2014 season.

Roger Ochs, President and CEO of HD Vest, said, “Every year I look forward to our Field Leader Conference and the opportunity to meet with our most successful Advisors and personally congratulate them. Their ongoing commitment to their clients and to their profession truly sets them apart. Their excellence in client service is an inspiration for other Advisors in our firm and, indeed, throughout the financial industry.”