This week in new hires, Christine Gaze joined TD Ameritrade Institutional, Robert Bernstein went to Windham Capital and Raymond James confirmed the appointment of John Carson as president of its financial board of directors. Also, Kathleen Stewart joined fi360.
TD Ameritrade Institutional Names Christine Gaze Director of Practice Management
TD Ameritrade Institutional, a division of TD Ameritrade, announced Monday that Christine Gaze (right) has been named its new director of practice management. In this role, she will be responsible for developing and executing the strategic direction of all advisor practice management and business consulting services.
Gaze has more than 15 years of experience in the financial services industry working in the areas of human capital development, sales strategy and wealth management. Prior to joining, she helped build the practice management consulting group for Wachovia Securities. She has also held a variety of sales and leadership roles at firms including Merrill Lynch, Prudential and AllianceBernstein. Most recently, she served as executive director at Morgan Stanley Private Bank.
Robert Bernstein Joins Windham Capital as Managing Director for Institutional Sales
Independent investment firm Windham Capital announced on April 18 the appointment of Robert Bernstein as managing director for institutional sales. He brings more than 20 years of experience to the firm.
Prior to joining Windham Capital, Bernstein served as head of business development and managing director of BNP Paribas Investment Partners in Boston. Earlier, he was head of institutional sales and managing director at AG Asset Management in Boston and a senior vice president for GE Asset Management in San Francisco.
Raymond James Names John Carson President, Confirms Executive Committee
The Raymond James Financial board of directors recently made the official announcement that it has named Morgan Keegan CEO John Carson president. The news was previously announced in January. Carson will also oversee fixed income and public finance.
The full roster of the firm’s executive committee now includes Paul Reilly, CEO, Raymond James Financial; Dennis Zank, chief operating officer, Raymond James Financial and CEO, Raymond James & Associates; Jeffrey P. Julien, chief financial officer, executive vice president of finance, and treasurer, Raymond James Financial; Chet Helck, EVP, Raymond James Financial and CEO, global private client group; John Carson, president, Raymond James Financial and CEO and executive managing director, Morgan Keegan & Co.; Paul Allison, chairman, president and CEO, Raymond James Ltd.; Jeffrey E. Trocin, EVP, equity capital markets, Raymond James & Associates; Bella Loykhter Allaire, EVP, technology & operations, Raymond James & Associates; Steve Raney, president and CEO, Raymond James Bank; and Jeff Dowdle, president, asset management services and SVP, Raymond James & Associates.
fi360 Appoints Kathleen Stewart as Subject Matter Expert
fi360 announced on April 19 that Kathleen Stewart has joined as a subject matter expert. In that role, she will contribute to professional training programs on legal, regulatory and financial subjects and serve as a resource for clients and the fiduciary community. In addition, she will also track legislative and regulatory developments impacting investment fiduciaries, prepare news alerts regarding these developments, and draft comments for submission to legislative and regulatory bodies.
Prior to joining, Stewart worked as a trust and fiduciary specialist at Wells Fargo Private Bank. Earlier, she was a senior wealth counselor at Waldron Wealth Management. She began her fiduciary career as an in-house attorney for the Ayco Company, a Goldman Sachs financial advisory company.