1st Global Press Room - Executives

Stephen A. "Tony" Batman, CPA, CFA®, CFP®
Chief Executive Officer

Stephen A. "Tony" Batman is a visionary entrepreneur whose accomplishments have profoundly impacted the accounting and financial services professions. The AICPA has identified Tony as a "trail blazer" for his vision and entrepreneurial spirit concerning the future of the accounting profession. For 13 years in a row - 1996 through 2008 - he was voted as one of the most influential accountants in America by Accounting Today magazine. In 2005 and 2006, he was also named by Investment Advisor magazine as one of the most influential people in the financial services industry. A true leader in the industry, Tony has established a successful financial services business development and resource partner to leading wealth management firms and is a frequent speaker to professional groups on a variety of financial services topics.

Tony is chairman, chief executive officer and co-founder of 1st Global, a diversified financial services firm that is the business development and resource partner to leading tax, accounting and law firms. 1st Global works with these firms to provide comprehensive wealth management services to emerging affluent and affluent families, businesses, foundations, and other institutions. Through 1st Global, he has created innovative educational programs, advanced support services and cutting-edge technology tools that cater to the wealth management advisor.

Tony is a Certified Public Accountant, Chartered Financial Analyst and CERTIFIED FINANCIAL PLANNER™. His professional memberships include the American Institute of Certified Public Accountants, the Texas Society of CPAs, the Institute of Certified Financial Planners, the Financial Planning Association, the Investment Management Consultants Associations, the Institute of Chartered Financial Analysts, the International Society of Financial Analysts, and the Association of Investment Management and Research. For 2004 and 2005, Tony served as Chairman of the Financial Services Institute. The Financial Services Institute is a membership association of broker/dealers and Registered Investment Adviser firms that serve registered representatives who are independent contractors. The FSI works for the success of its members through regulatory advocacy, conferences and education, peer networking and research. For 2006, Tony served on the board of directors of the FSI and served as chairman of its political action committee.

Tony is a graduate of the University of Kansas and serves on the board of advisors to both its School of Business and its Accounting and Information Systems program. He is also an instrument-rated private pilot. Tony resides in Dallas, Texas with his wife of 26 years, Vicki.

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Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame logo), which it awards to individuals who successfully complete initial and ongoing certification requirements.

David Knoch, CIMA®
President, Chief Operating Officer

1st Global's president and chief operating officer David Knoch is responsible for the leadership of all sales support functions as well as operational processing. David is charged with the development, design and execution of all new and ongoing services for 1st Global's three main business entities: 1st Global Advisors Inc., a federally registered investment adviser; 1st Global Capital Corp., a FINRA-registered broker/dealer; and 1st Global Insurance Services, Inc., an insurance general agency.

David's role as president gives him the strategic perspective to coordinate and drive all 1st Global wealth management initiatives through our professional staff. David's daily charge is that all 1st Global strategies and resources are timely, coordinated and focused on delivering world-class wealth management capabilities to the specially selected firms that affiliate with us. Whether those capabilities come from Wealth Management Services, 1st Global Capital Markets or Operations, our firms can be confident that David's commitment to excellence, innovation and success is unwavering.

David maintains active, professional memberships in the Financial Services Institute (FSI), Investment Adviser Association, Money Management Institute and Investment Management Consultants Association. He serves as the vice chair of FSI's Marketing & Investment Advisory Council and is a member of the Money Management Institute's Sponsor Council. David is also a part of the Investment Management Consultants Association's Performance Reporting Standards Task Force.

David graduated from the University of Massachusetts, Amherst and is a Certified Investment Management Analyst (CIMA®) professional. He is a registered representative who holds FINRA Series 7, 24, 53 and 66 licenses.

Lynne L. Mabry, CPA/PFS, CFP®, MBA
Executive Vice President

Lynne Mabry is executive vice president at 1st Global leading strategic planning, administration, business development, new firm transitions, and human resources.

Lynne began her career with Deloitte & Touche, serving as audit manager for mid-sized private and publicly-held companies as well as coordinating campus recruiting efforts and implementing training programs. She became executive vice president and chief financial officer of TM Century, Inc., a publicly-held radio broadcast services company serving radio stations world-wide. Her scope of responsibilities included financial reporting, investor relations, contracts, legal issues, administration, planning and human resources. Prior to joining 1st Global in 1998, Lynne served as vice president of Finance and Operations of Lyrick Studios, which produces Barney & Friends and Wishbone. Her role included the financial and business planning for and execution of sales, marketing, and distribution strategies for retail products.

Lynne graduated Magna Cum Laude from Texas A&M University with a Bachelor of Business Administration in Accounting and served as president of Beta Alpha Psi. She earned her Master of Business Administration from The University of Texas at Dallas in 1997. Lynne is a Certified Public Accountant and AICPA Personal Financial Specialist, a CERTIFIED FINANCIAL PLANNER™ professional and has passed the FINRA Series 7, 24, 27 and 66 examinations.

Brian Finnigan
Vice President, Chief Marketing Officer

Vice President, Chief Marketing Officer Brian Finnigan leads 1st Global’s strategic marketing efforts. His responsibilities include the creation of all sales support materials, campaigns, client marketing collateral and advisor communications. As 1st Global’s brand champion, Brian is charged with integrating the firm’s unique value proposition into all public communications. Brian also provides strategic direction for all Wealth Management Academy® programs, including National Conference, Financial Advantage Series, MATRIX™ Workshops, WIN Teams and more.

Brian has spent his career directing marketing programs for independent financial advisors, RIAs and investment product companies. He has a passion for holistic wealth management and understands the value true wealth managers bring to their clients, having engineered marketing plans for some of the nation’s most successful financial advisors.

Before joining 1st Global, Brian was vice president, director of Channel Marketing for Waddell & Reed Financial Advisors, where he oversaw marketing and the creation of communications for product and recruitment. In addition, Brian was responsible for supporting all Waddell & Reed Financial Advisors, regional sales consultants and field management. Previously, he was the vice president of Marketing for LPL Financial where he managed marketing for recruitment, wealth management, financial planning, insurance and advisory. Before joining LPL Financial, Brian held marketing management positions at Russell Investments, WM Group of Funds and Informed Investors, Inc. He began his career as a financial advisor for Edward Jones.

A native of Idaho, Brian has degrees in Music and Public Communications from Ambassador University and the University of Idaho. He is a registered representative who has passed the FINRA Series 6 and 26 examinations, and he is studying to obtain his Chartered Financial Consultant (ChFC®) and Chartered Life Underwriter (CLU®) designations.

Michael Pagano, JD, CRCP
Executive Vice President, Chief Compliance Officer

Michael Pagano serves as executive vice president and chief compliance officer at 1st Global. As such, Michael works with the company and its affiliated financial advisors to provide regulatory compliance oversight, strategies and management. Included in his responsibilities is the supervision of both the licensing and compliance departments' staff, performing due diligence, handling regulatory audits and maintaining overall corporate quality assurance.

A lawyer and Certified Regulatory and Compliance Professional, Michael has extensive experience in FINRA, SEC and insurance industry regulation. He has worked inside three national financial services entities, ranging in size from 325 representatives to 2100 representatives, catering to financial planners and insurance professionals. Prior to joining 1st Global, Michael worked for a prominent financial services broker/dealer where he served as chief compliance officer, promoting and enforcing compliance for field and home office business practices.

Michael received his Juris Doctor from The University of Miami School of Law. He also holds a Bachelor of Science degree in Business Administration and Marketing from the University of Connecticut. In addition, Michael is a registered representative and has passed the FINRA Series 4, 7, 24, 53, 63 and 65 examinations.

Al Prentice
Vice President, Business Management Services

Al Prentice is the vice president in charge of 1st Global's Business Management Services (BMS) group. His responsibilities include overseeing the development of sales and marketing plans for BMS Advisors and affiliated firms, as well as overall strategies for financial planning, changes in product mix and considerations for varying economic conditions. He is also in charge of providing leadership for 1st Global's Business Affiliate Services (BAS) and Business Partnership Services (BPS) platforms, and sales across all channels for direct participation programs.

Al has worked with hundreds of tax and accounting professionals to introduce financial services and develop successful wealth management practices. In doing so, he has developed an expertise in the unique structural and entity setup options for tax and accounting firms, compensation strategies, succession planning and quantification models for valuing financial services firms. Prior to joining 1st Global, Al earned his Master of Business Administration in finance from Neeley Business School at Texas Christian University. While studying at TCU, he served as analyst and administrator for the William C. Connor Foundation's Educational Investment Fund. Additionally, Al has worked both as an Internet analyst for a Fort Worth hedge fund and as a REIT analyst for a Dallas asset management company. Al's previous experience includes 12 years in the telecommunication industry working for Motorola and five years in the domestic oil and gas industry.

In addition to his Master of Business Administration, Al earned a Bachelor of Arts and Master of Education from the University of Louisiana at Lafayette. Al is a registered representative who has passed the FINRA Series 7, 24 and 66 examinations. He has also successfully completed Level I of the Chartered Financial Analyst Program. Al is also a member of the Financial Planning Association (FPA) and the Investment Management Consultants Association (IMCA).

Paul Stewart, CPA
Vice President, Chief Financial Officer

Paul Stewart is the chief financial officer responsible for the financial management and internal controls for 1st Global's financial processes, including: securities brokerage operations (introducing broker/dealer clearing through National Financial Services LLC); fee-based asset management operations (SEC registered RIA); insurance operations (MGIA); 401(k) operations; advisor compensation; strategic business and financial relationships; and corporate financial planning, reporting and budgeting.

Paul has more than 17 years of industry experience in accounting and operations, primarily with Investors Financial Group (now part of the ING Network). Most recently, Paul served as senior director, Finance, at ING Advisors Network and as chief financial officer of Multi-Financial Securities Corp.

Paul graduated from Baylor University with a Bachelor of Business Administration in Accounting and Finance. Paul is a Certified Public Accountant and registered representative who has passed the FINRA Series 7, 24, 27, 63 and 65 examinations.