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New Hire Roundup: Rogers, Wolf Move Up at Gemini

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HandshakeThis 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.

Bergman comes from Palisades Hudson Financial Group, where he spent the last 15 years and most recently served as chief investment officer. TD Ameritrade Institutional Names Kate Healy Managing Director of Marketing

Kate Healy has been named the new managing director of marketing for TD Ameritrade Institutional. In this role, she replaces Paul Zettl, who was recently named managing director of retail and social media marketing for TD Ameritrade. In her new role, Healy is responsible for the development of marketing strategies and the execution of programs to help increase awareness and deepen relationships with more than 4,000 independent RIAs who custody with TD Ameritrade Institutional.

Healy joined TD Ameritrade in 2008, most recently serving as a director of marketing responsible for promoting the firm’s technology and investment products offerings, as well as supporting the firm’s advocacy and client loyalty efforts. Prior to joining, she served as vice president of IRA product strategy at Merrill Lynch. She has spent more than 20 years in a variety of roles supporting the program development and marketing of financial and estate planning services in the financial planning industry.

Spectrum Management Group Welcomes Tia Lee

Spectrum Management Group recently announced the appointment of Tia Lee as director of wealth planning. Lee brings over 22 years of wealth management experience, and most recently served as a senior wealth advisor and trust administrator at BMO Harris Private Bank inIndianapolis. She has concentrated her advisory work on HNW clientele and business owners.

The firm also announced that Doug Huber has joined the firm as director of operations and Stuart Cary joined as a portfolio associate.

Symetra Hires 3 for VA Wholesaling Team

Symetra Life Insurance Co. announced it has hired Dinah Bird, Jeffrey Jennings and James Maertz in the formation of a dedicated wholesaling team to represent its registered investment products.

Bird is Symetra’s senior investment specialist for Ohio, Michigan, Indiana and Kentucky. She has held sales leadership roles at several investment management firms and broker-dealers. From 2000–2007, she worked at Barclays Global Investors where she was one of the original wholesalers of iShares exchange-traded funds.

Jennings is Symetra’s senior investment specialist for northern California and the surrounding area. He most recently served as vice president, regional marketing director at Sun Life Financial in San Francisco, where he was responsible for traditional and fee-based annuity sales through independent broker-dealers. He previously held regional vice president and account management positions at Guardian Investor Services and Hartford Financial Services.

Maertz is Symetra’s senior investment specialist for southern Californiaand the surrounding area. He joins from Hartford Mutual Funds, where he was a regional vice president and served on its mutual funds advisory board from 2009–2011.


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