October 24, 2012

New Hire Roundup: Mozzocci Goes to Cantor Fitzgerald

Edelstein adds CEO role at BondDesk; more

New Hires logoThis week in new hires, Cantor Fitzgerald Investment Advisors welcomed Theresa Mozzocci; BondDesk announced that Howard Edelstein would add the role of CEO to his position as chairman; Troy Glover went to New York Life; Warren Pfitzenmayer joined IEP Financial; Kevin Roche and Jeff Miller were welcomed at Janney Capital Markets; and Ken Rust and Eric Johansen were named to head PFM Group’s new Portland, Ore., office.

Also, Helge Kostka joined Research Affiliates Global Advisors (Europe); Neuberger Berman appointed Khalid Murgian managing director, head of MENA; Jason Berkowitz went to IRI; Patricia Stocke became CFO of fi360; and Wedbush Securities brought in Ian Winer.

Cantor Fitzgerald Investment Advisors Announces New Head of Sales

Cantor Fitzgerald Investment Advisors (CFIA), the advisory and asset management business of Cantor Fitzgerald & Co., recently announced that Theresa Mozzocci, formerly of Pluscios Management, has been named head of marketing and sales. She will manage CFIA’s marketing and business strategy and reports to Stephen Ardizzoni and John Trammell, CFIA co-heads.

Mozzocci has more than 20 years of experience in trading and business development in traditional and alternative investment products. She has served as a principal at Pluscios Management, focused on marketing and managing relationships with institutional clients, and as director of marketing at Crestline Investors.

BondDesk Chairman Howard Edelstein Adds CEO Role

The board of directors of BondDesk Group announced recently that Howard Edelstein will become the company’s CEO, effective immediately. Edelstein, an operating partner at Advent International Corp., will assume the CEO position while maintaining his current role as chairman. As CEO, he replaces Kim Bang, who will leave the company.

Edelstein’s expanded role at BondDesk is part of an overall realignment of the company’s operations around its two major business lines. BondDesk also announced that Craig Pfeiffer, a 30-year wealth management veteran and former vice chairman at Morgan Stanley Smith Barney, will lead the company’s efforts focused on the wealth management community. Pfeiffer’s appointment comes on the heels of the hiring of John Bagley, an industry veteran with more than 25 years of retail bond sales and trading experience at UBS, to direct the company’s Capital Markets/ATS business.

New York Life Names Troy Glover to Head Long-Term Care Operation

Troy GloverNew York Life recently announced the appointment of Troy Glover (left) as senior vice president in charge of the company’s long-term care insurance (LTCI) operation, based in Austin,Texas. He reports to Paul Pasteris, senior vice president and chief administrative officer of the company’s insurance group, and succeeds SVP Michael Gallo, who has led the operation since 2009. Mr. Gallo will remain in Austin for a transition period, then will return to the company’s home office in New York City.

 Glover joined New York Life as a director in the variable products service center in 2000, and held various positions of increasing responsibility before being named chief operating officer of the company’s LTCI operation in 2009 with oversight of information technology, marketing, actuarial, product development and financial accounting areas. Prior to joining New York Life, he held positions at Merrill Lynch and Prudential.

IEP Financial Adds to its Executive Team

IEP Financial announced Monday the hiring of Warren Pfitzenmayer as executive vice president–head of strategic relationships. He will be responsible for vendor relationships, product sponsors and strategic partnership and report directly to Keith Gregg, IEP Financial’s CEO.

With 25 years of financial services industry experience Pfitzenmayer most recently served as head of strategic relationships at Cetera Financial. Prior to that, he was vice president marketing and head of strategic relationships at ING Strategic Advisors (Network). He began his career in 1987 in the mutual fund industry, where from 1987 through 1995, in different capacities he worked for Dreyfus Service Corp., Royce Funds, Eaton Vance Distributors, Pilgrim Distribution Group and Alliance Fund Distribution. From 1995–1997, he was at Bear Stearns Asset Management, and from 1997–2000, he was at IFG Network Securities.

Janney Welcomes Roche and Miller

Janney Capital Markets announced the hire of Kevin Roche and Jeff Miller, managing directors, to lead the firm’s expansion into the certificates of deposit (CD) and structured product underwriting and origination businesses. Roche and Miller will be joined by their 10-person team from MPS Fixed Income, with whom they’ve worked since 2010.

The team will be integrated into Janney’s fixed income capital markets and focus on the origination and secondary market trading of CDs and structured products. They will be located in Philadelphia, Pa.; New York, N.Y.; Atlanta, Ga.; and Irvine, Calif., and report to Kevin Reed, managing director, taxable fixed income.

Ken Rust and Eric Johansen to Run New PFM Group Office

PFM Group announced Monday the opening of its 35th office in Portland, Ore., to be run by Ken Rust and Eric Johansen. Rust and Johansen both have joined Public Financial Management as directors, effective Oct. 19.

Rust served as chief administrative officer for the city of Portland until July 2011, with citywide responsibilities including direction of the office of management and finance and reporting directly to the mayor and city council. Prior to this, he was CFO and director of the bureau of financial services for the city. Earlier, he was a senior managing consultant at PFM. He began his professional career as an economist with CH2M HILL.

Johansen has over 30 years of experience as a debt issuer and advisor in public finance. He began at the city of Portland in 1993 and served as the city's debt manager from September 1997 to July 2010, when he became treasurer, a position he held until April 2012. Earlier, he worked as a financial advisor with PFM from 1989 to 1993 and as an investment banker for Shearson Lehman Brothers from 1983–1988.

Helge Kostka joins Research Affiliates Global Advisors (Europe)

Helge Kostka has joined Research Affiliates Global Advisors (Europe) as vice president, responsible for business development and partner and client support in the U.K.

Prior to joining, Kostka served as head of product management for equity and multi-asset solutions for Aviva Investors. Previously, he served in a number of roles for Deutsche Bank’s asset management entities, including as head of quantitative alpha selection and head of portfolio engineering.

Neuberger Berman Appoints Khalid Murgian

Neuberger Berman announced the appointment of Khalid Murgian as managing director, head of the Middle East and North Africa (MENA). In this role, he will be based in Dubai and report to Dik van Lomwel, managing director and head of Europe, the Middle East and Africa (EMEA) and Latin America. He will work closely with Bruce Crystal, who is based in the U.S. and has been covering the region for 16 years.

Murgian was previously head of MENA and new markets at Goldman Sachs Asset Management. Prior to this he was head of business development, Middle East at Threadneedle Asset Management.

IRI Welcomes Jason Berkowitz as VP of Regulatory Affairs and Compliance

The Insured Retirement Institute (IRI) announced that Jason Berkowitz has joined the association’s staff as its new vice president of regulatory affairs and compliance.

Berkowitz brings more than 10 years of experience and most recently was the counsel and director of regulatory affairs at Hartford Financial Services Group. Before joining Hartford Financial, he was an attorney in the insurance and reinsurance department at Edwards & Angell, LLP; he began his legal career in the New York office of Paul Hastings.

Patricia Stocke Joins fi360

fi360 announced Tuesday that Patricia Stocke has joined the company as CFO. She will oversee fi360’s long-term financial management activities and also serve as a key member of the company’s business strategy team.

Stocke has more than 20 years of financial management experience, with a focus on business development, acquisitions and transactional work. Most recently, she was the CFO of Management Science Associates, a multinational corporation at which she worked for the past 12 years. Prior to that, she worked for CoachUSA as controller.

Wedbush Securities Welcomes Director Ian Winer

Wedbush Securities announced the addition of Ian Winer to its equities division as director of equity trading. In this capacity, he will manage all aspects of trading for the equities division, including the management and supervision of all sales traders and position traders, and will be responsible for the management of capital commitment and risk controls. He is also charged with increasing the firm’s interactions with equity clients.

With more than 16 years of experience, Winer brings the sell-side and buy-side perspective to the firm’s equities team. He previously served as a managing director at Nomura Securities International.

Read the Oct. 17 New Hire Roundup at AdvisorOne.

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