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Securities and Exchange Commissioner Annette Nazareth announced October 2 her intention to leave the Commission to return to the private sector. With Nazareth’s departure, the SEC will now need to replace two of its commissioners, as Roel Campos left the Commission in September to join the law firm of Cooley Godward Kronish.

The CFP Board appointed Carol Lee Roberts to the position of managing director of Examinations and Education, effective November 5. For the last six years, Roberts has been program manager for DePaul University’s Financial Planning Certificate Program

Derek Bruton has joined LPL Financial Services as CEO of the LPL Affiliated Broker/Dealers, including Mutual Service Corp., Waterstone Financial Group, and The Associated Financial Group. Those B/Ds’ CEOs will report to Bruton, who will report to LPL Independent Advisor Services President Bill Dwyer. Most recently, Bruton served as managing director and national sales manager for TD Ameritrade Institutional.

The Securities Industry and Financial Markets Association (SIFMA) appointed Diana Preston as managing director and associate general counsel in its Washington, D.C. office.

Offit Capital Advisors LLC, Morris Offit’s new firm, has named Todd Petzel as the firm’s CIO. Most recently, Petzel served as CIO of Azimuth Trust Management.

Matthews International Capital Management, advisor to the Matthews Asian Funds, said Mark Headley has been appointed CIO.


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