February 8, 2012

New Hire Roundup: Mitchell Goes to Leuthold; Hoffman Joins Franklin Square

Fiserv welcomes Fiorella; Johnson goes to Curian; new team joins AAM; SEC names Franzel

This week in new hires, the Leuthold Group named Ben Mitchell managing director; Robert Hoffman joined Franklin Square; Hilary Fiorella was welcomed at Fiserv and Keith Johnson joined Curian Capital.

Also, Advisors Asset Management brought in a new team and the Securities and Exchange Commission named Jeanette Franzel to the PCAOB.

 Leuthold Group Names Ben Mitchell as Managing Director

Ben MitchellThe Leuthold Group announced Friday that it has named Ben Mitchell (right) as a managing director. In this capacity, he will primarily focus on relationships with brokerage houses in addition to working with independent advisors and other intermediaries on a more limited basis.

Previously, Mitchell served as vice president and regional wealth management Consultant at RBC, covering the southern and mid-Atlantic regions. Past experience also includes long tenures at Morgan Stanley and then Smith Barney, where he was senior vice president and national sales director for Smith Barney Consulting Group, based in New York.

Franklin Square Hires Loan Market Specialist Robert Hoffman From Nomura

Franklin Square Capital Partners announced Jan. 30 that it has hired Robert Hoffman as a product specialist. He will join the portfolio management team, which oversees its nontraded business development company product line, including FS Investment Corp., FS Energy & Power Fund and future offerings.

Hoffman joins with more than a decade of experience in the leveraged loan asset class. Most recently, he was an executive director with Nomura Corporate Research and Asset Management Inc., where he was responsible for loan portfolio management and trading. Before becoming a portfolio manager, he was a senior credit analyst focusing primarily on first and second lien corporate loan issuers. He covered a range of sectors including energy and gas, utilities, healthcare, chemicals, technology, autos and industrials.

Fiserv Makes Key Leadership Appointment

Fiserv Inc. announced Monday that Hilary Fiorella has joined the company as vice president of business development and consulting services for investment services. In this role, she will join the investment services leadership team and work with clients to head a new advisory board program to identify opportunities in wealth management and technology innovations to address them. She will also lead a new professional services team to work with investment services clients on best practices including marketing and communications programs.

Previously, Fiorella was on the leadership team of the Money Management Institute for four years, most recently serving as vice president of marketing and communications. Prior to that, she led marketing for CheckFree Investment Services, which was acquired by Fiserv in December 2007. She began her career at AT&T in various product and business development roles.

Curian Capital Appoints Keith Johnson as Vice President of Practice Management

Curian Capital announced Feb. 1 that Keith Johnson has joined the firm as vice president of practice management. In this role, he will be responsible for leading the practice management group and working closely with financial advisors. He will also work with the strategic accounts team. He will be based in Denver and report to Mark Schoenbeck, senior vice president of marketing.

Johnson joins from Aloha Retirement Services, a financial planning and investment advisory firm, where he served as president. Prior to this, he founded My Power Unleashed, where he provided consulting and coaching for independent business owners in the financial services industry. He also served as vice president for AIG Advisor Group in Phoenix and as senior vice president of VIST Bank in Pennsylvania.

Advisors Asset Management Adds Certificate of Deposit Underwriting Team

Advisors Asset Management Inc. announced Feb. 2 the expansion of its capital markets group with the addition of a certificate of deposit underwriting team. The team will join Robbe Uhrhammer on AAM’s new CD underwriting and trading desk. The team is comprised of Tim Balint, Erik Smith and Jeff Johnson, former principals of Cert Direct.

Balint has over 20 years of experience in the CD industry. He started his career at San Clemente Securities in 1991, where he sold various types of CDs directly to credit unions and other nonprofit organizations.

Johnson has over 10 years of experience with fixed income, specializing in CDs, annuities and other insurance products. Prior to joining AAM, he served as vice president of CD underwriting at CDS, ran the daily operations of the underwriting department and assisted in dealer sales on the CD trading desk.

Smith has been a fixed income trader for 18 years. Prior to his role as owner and CEO of CDS in 2006, he worked at the trading desks of Quick and Reilly, FLEET and Bank of America.

SEC Names Jeanette Franzel to Public Company Accounting Oversight Board

The SEC announced Friday that it has named Jeanette Franzel to be a member of the Public Company Accounting Oversight Board. Currently a managing director of the U.S. Government Accountability Office with over 20 years of public service, Franzel will replace Daniel Goelzer, one of the founding members and a former interim chairman of the five-member board.

The Sarbanes-Oxley Act of 2002 created the PCAOB to provide independent oversight of audits of public companies and broker-dealers. It is responsible for setting audit standards and for registering, inspecting and disciplining public accounting firms. The SEC oversees the PCAOB and appoints its members.

Franzel currently leads all aspects of GAO’s financial audit oversight of the U.S. federal government. She heads a team of approximately 250 staff that focuses on financial and performance audits, proper use of federal funds, internal control, financial systems, and federal audit and financial management policy.

Western & Southern CEO John Barrett Joins FSR Board

John Barrett, Western & Southern Financial Group chairman, president and CEO has joined the 2012 board of directors for The Financial Services Roundtable in Washington, D.C., effective Feb. 6, 2012.

Barrett’s appointment accompanied several others, including Ajay Banga, MasterCard Worldwide; Gary C. Bhojwani, Allianz Life Insurance Co. of North America; Mark Casady, LPL Financial Corp.; Irene M. Dorner, HSBC USA; D. Bryan Jordan, First Horizon National Corp.; Kevin T. Kabat, Fifth Third Bancorp; Theodore A. Mathas, New York Life Insurance Co.; and Manuel Sanchez, BBVA Compass.

Read the Feb. 2 New Hire Roundup at AdvisorOne.com.

http://www.advisorone.com/2012/02/02/new-hire-roundup-oliner-kleinke-join-aei-bozek-adv

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