Six Financial Advisers Join Capital Investment Team
Capital Investment Companies has added Charles Pendergraft II, John Zachary Carnes, Cort Meinelschmidt, Chelsea Miller, J. Marshall Culp III and James Beam as advisers.
Deals & People
SEC Names Officer in Compliance Inspections and Examinations
The Securities and Exchange Commission (SEC) hired Paula Drake as an associate director in its Office of Compliance Inspections and Examinations (OCIE).
Mutual of Omaha Adds Sales Managers to Retirement Plans Division
Mutual of Omaha Retirement Plans Division named two regional sales managers in key markets.
Tactical Allocation Group Hires Sales Director
Tactical Allocation Group LLC (TAG) appointed Paul C. Wharf regional managing director and continued its expansion with a new...
Callan Names VP for New Jersey Office
Callan Associates hired Yosangel G. Haddad as vice president.
SEC Names Norm Champ Director of Division of Investment Management
The Securities and Exchange Commission (SEC) named Norm Champ director of the agency’s Division of Investment Management.
SEC Names N.Y. Division Head for Investment Exam Program
The Securities and Exchange Commission (SEC) appointed Ken C. Joseph to lead the Investment Adviser/Investment Company Examination Program in the agency’s New York office.
ING Names Regional VP of Sales
ING’s U.S. Retirement business hired Dan Kretz as regional vice president of sales for the company’s small to midsize corporate retirement plan markets.
Pentegra Hires National Director
Pentegra Retirement Services appointed Pete D’Angio national director in nonprofit markets.
ABG-Pentegra Names Regional Director
Alliance Benefit Group-Pentegra hired Esta Park as a regional director.
Savant, Monitor Group Finalize to Become National RIA
The company, Savant Capital LLC, will provide strategic advantages and efficiencies, and have nearly $2.7B assets under management.
Performance Trust Names Caisse Senior Portfolio Manager
Bryan P. Caisse, whose background is in mortgage-backed and fixed-income portfolio management, joined Performance Trust Investment Advisors LLC (PTIA) as senior portfolio manager.
FINRA’s Top PR, Lobbying Exec Resigns
Howard Schloss, head of corporate communications for the Financial Industry Regulatory Authority (FINRA), said he will step down in...
BMO Hires Director of Retirement Sales and Strategy
BMO Retirement Services appointed Matt Smith as director of retirement sales and strategy.
Raymond James Adds MSSB Team of Advisers
A team of advisers from Morgan Stanley Smith Barney (MSSB) left the brokerage to open their own firm with Raymond James Financial Inc.’s independent broker/dealer in Ohio.
Putnam Hires Three to Sales and Client Relations
Putnam Investments filled three senior positions in defined contribution (DC) sales and client relations.
National Planning Appoints VP of Practice Management
National Planning Corporation Inc. (NPC) named Randy Miller first vice president and director of practice management.
Sentinel Strengthens Sales Management and Hires Wholesaler
Sentinel Investments expanded the roles of two sales team members and hired a wholesaler.
The Newport Group Adds Senior Client Relationship Manager
The Newport Group hired Eric Kleindienst as a senior client relationship manager.