This week in new hires, Andrew Rogers and Kevin Wolf moved up in the management ranks at Gemini; John Sullivan went to Dynasty Financial Partners; and Jonathan Bergman joined TAG Associates.
Also, Kate Healy moved up at TD Ameritrade and Symetra added three for a dedicated wholesaling team.
Gemini Promotes Andrew Rogers to CEO and Kevin Wolf to President
Gemini Fund Services announced key management promotions on Tuesday, as well as relocation of its two offices. Andrew Rogers was appointed chief executive officer and Kevin Wolf was named president; the moves were effective in Q2 2012. Rogers, who previously served as president, will continue to lead the company but with a major focus on new business development. Wolf, who previously served as executive vice president, will oversee operations in fund accounting, fund administration, legal administration, tax and compliance, technology and transfer agency.
Gemini also is relocating its offices in Hauppauge, N.Y., and Omaha, Neb. As of Oct. 1, the firm’s headquarters, also housing subsidiaries Northern Lights Compliance Services and Gemcom, will be at 80 Arkay Drivein Hauppauge. Effective Wednesday, Northern Lights Distributors and Gemini’s transfer agency department have moved to 17605 Wright St. in Omaha.
The firm also announced several team management appointments. Kara Baird was named senior vice president of transfer agent; Jim Colantino, SVP of fund administration; Michael McDermott, SVP of fund accounting; Wendy Wang, SVP of tax and compliance; James Ash, SVP of legal administration; Chris Baird, associate VP of dealer services; Susan Hansen, VP of client services; and Larie Lydick, SVP of technology.
Dynasty Financial Partners Adds John Sullivan as SVP, RIA & Transition Services
Dynasty Financial Partners recently announced that it hired John Sullivan as SVP, RIA and transition services. He will be based in Chicago and New York. His responsibilities will include supporting divisions focused on the transition of new advisor teams and ongoing practice development of existing network firms.
Sullivan spent more than 20 years at Morgan Stanley Smith Barney/Citigroup in numerous high-net-worth wealth management roles. Most recently, he was director of wealth planning centers, a national role geared toward helping financial advisors provide their clients with comprehensive wealth management solutions. Previously, he was divisional director of private wealth management in the Midwest. He also spent several years as a credit and lending specialist.
Jonathan Bergman Joins TAG Associates as Managing Director
TAG Associates announced Monday that Jonathan Bergman has joined as a managing director, reporting to David Basner, CEO. In this position, his primary responsibilities will be to serve as portfolio manager to client accounts and conduct investment manager diligence. He will also join the investment committee, which directs firm-wide investment strategy.