FinTech Series — FinTech: The State of The State

Thursday, 4:00 pm - 6:00 pm

Zoom Meeting


John Jacobs — Executive Director, Georgetown Center for Financial Markets & Policy

David Easthope, CFA — Senior Analyst, Coalition Greenwich
Joseph Sanberg — Co-Founder,
Jeff Thomas — Senior Vice President and Head of Western US Listings & Capital Markets, Nasdaq

Time: 4:00 pm - 4:45 pm: Virtual Panel Discussion
4:45 pm - 6:00 pm: Virtual Meeting/Networking
Add to Calendar 7/15/2021 4:00 PM 7/15/2021 6:00 PM America/Los_Angeles FinTech: The State of The State FinTech: The State of The State CFALA false MM/DD/YYYY
A FinTech Group Sponsored Event


Join us as we evaluate the current state of FinTech. Our panel of experts have extensive knowledge and a broad experience set across FinTech disciplines. We will explore new opportunities, acknowledge some of the challenges that still exist and see what the future holds for FinTech companies. Share your experiences and network with everyone in breakout panels immediately following the presentation.


John Jacobs | John Jacobs is a New York City/Washington, D.C. based senior business leader and the former EVP and CMO of Nasdaq, an S&P 500 company. Mr. Jacobs currently serves as Chairman of Alerian, Founder and CEO of Q3 Advisors, LLC, as Board member of ProCure Funds, and US Bank LiFT Board, and tZERO. He serves as the Executive Director of the Center for Financial Markets and Policy, and Adjunct Professor of Finance at the McDonough School of Business at Georgetown University. He most recently served as Senior Advisor and principal consultant to Nasdaq’s CEO and President. In this role, he was responsible for reviewing potential opportunities in the index and data business, and supporting product and business development efforts.

Mr. Jacobs comes from a strong leadership background and has served Nasdaq in a variety of positions, starting his career with the firm in 1983. Most recently, John worked as the EVP of Global Information Services from 2013 to 2015. Previously, John served as Nasdaq’s Chief Marketing Officer and EVP for the Global Marketing Group from 2003 to 2013, and the EVP of the Global Index Group from 2002 to 2013. He established and built the Global Index Group from the ground up, and created one of the largest ETF fund families in the world with the launch of Nasdaq’s Fund business, built on his creation of QQQ – the ETF tracking the Nasdaq-100 Index.

As CMO, he led all aspects of the company’s brand, from strategy to execution, and carried out a transformation of the company’s image from a national brand in U.S. stocks, to a global leader for diversified financial services.

Mr. Jacobs is a Certified Public Accountant, earned an MBA in Finance from Loyola University of Maryland, and received a B.S. in Accounting from the University of Maryland, College Park. Outside of his professional life, John has supported causes that include the Ernst & Young Entrepreneur of the Year Award Program, the University of Maryland’s MBA Competition, coaching youth baseball and soccer, and serving as a mentor for young professionals. He enjoys spending time with his wife and three adult children, works in the restoration of antiques and is an avid fitness participant. Back To Top ^^


David Easthope, CFA | David Easthope is a senior analyst and heads up fintech research on the Market Structure and Technology team at Coalition Greenwich and has over 20 years of experience in the capital markets sector.

Prior to joining the Firm, he led Celent’s (a division of Oliver Wyman, Inc.) Capital Markets practice, where he focused on technology and operations in the sector. His expertise includes digital transformation, innovation, SaaS, data and analytics, crypto and digital assets, and other emerging technologies.

He regularly advises financial institutions, technology firms and strategic investors on strategy, growth, digital, vendor selection, and investments. Prior to Celent, he was a director of Corporate Strategy at Charles Schwab, Inc. where he advised on cross-firm initiatives.

David has been widely referenced in the press, including Bloomberg, Financial Times and CNBC and is a regular speaker at industry events (ISITC, SIBOS, SIFMA Ops, InvestOps, DerivOps, and TradeTech). He is a Chartered Financial analyst. Back To Top ^^

Joseph Sanberg | Joe is the co-founder of, a socially conscious online financial company that enables customers to choose their own fee levels on checking and investment accounts, and offers managed funds that are 100% fossil-fuel-free. The Los Angeles–based company, which deems itself a platform for automated ESG impact services for individuals and organizations, features a “Plant Your Change” service that rounds up debit-card purchases to the nearest dollar and uses the change to plant trees. To date, Aspiration has planted more than 10 million trees.

Joe Sanberg is a progressive entrepreneur on a mission to end poverty. As a steward of the movement to pass the Earned Income Tax Credit for low-income families in California, Joe founded CalEITC4Me, which helps millions of low-income California families claim the state and federal Earned Income Tax Credits, putting more than $10 billion back in their pockets. Most recently, he successfully advocated for the passage of new legislation that extends access to the credits to low-wage immigrant workers.

He also manages Working Hero PAC, a people-powered political organization dedicated to electing candidates who have a plan to end America’s outrageous levels of income inequality. Joe was raised by his mom in Southern California. He started his career at Blackstone and Tiger Global. Back To Top ^^

Jeff Thomas | Jeff Thomas is Senior Vice President and Head of Western US Listings & Capital Markets at Nasdaq. Based in San Francisco, Mr. Thomas oversees Nasdaq’s new listings and capital markets businesses. He also oversees business development and relationship management for Nasdaq’s listed companies and Investor Relations Solutions’ clients in the Western United States.

Previously, Mr. Thomas served as President of Liquidity Solutions at Nasdaq Private Market, where he worked closely with private companies to help them provide shareholder liquidity prior to an IPO.

Prior to joining Nasdaq in 2014, Mr. Thomas held senior positions at SecondMarket, Gerson Lehrman Group and Altera Corp. Mr. Thomas holds a bachelor degree in Electrical & Computer Engineering from Carnegie Mellon University in Pittsburgh, PA. He is also Chairman of the Board of Directors at the Nasdaq Entrepreneurial Center, sits on the Board of Directors of the Silicon Valley Leadership Group and is the President of the California Chapter Advisory Board of Directors for the Parkinson’s Foundation. Back To Top ^^

Registration Fees
$5 (Members) | $20 (Non-Members)

Payment Information
We accept the following:

If you prefer to pay by check please email and request to pay by check. Your registration will be completed manually and you will receive an email confirmation.

Mail Check To:
CFA Society of Los Angeles
13400 Riverside Drive, Ste. 215
Sherman Oaks, CA 91423

*Credit card payments will only be accepted through the secure online registration, and not by phone or email.

Cancellations must be received in writing by 9:00 am the day prior to the event to receive a refund. No phone cancellations are accepted. Please e-mail
Cynthia Harrington, CFA
Karyn Williams, PhD
As a participant in the CFA Institute Approved-Provider Program, the CFA Society of Los Angeles has determined that this program qualifies for 1 credit hour. If you are a CFA Institute member, CE credit for your participation in this program will be automatically recorded in your CE Diary.
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