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Practice Management > Building Your Business

New Hire Roundup: Wells Fargo Advisors Names 3 to Key Roles

By Marlene Y. Satter

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New Hire Roundup logoThis week in new hires, Wells Fargo filled three leadership positions; Gail Graham and Stephanie Bogan joined United Capital; Jonathan Morris went to Dynasty Financial Partners; and IRI announced changes to its board of directors.

Also, ING announced changes in executives and responsibilities; Baker Tilly welcomed Justin Goldstein; CLS Investments announced three new appointments; Deutsche Bank made executive committee announcements; and Don Concannon joined Mediant Communications.

Wells Fargo Advisors Names Queen, Gabriel and McCarthy to Key Positions 

Wells Fargo Advisors announced Sept. 12 three senior leadership appointments.

Eduardo (“Eddie”) Queen has been named strategy director for Wells Fargo Advisors. In this role, he will be based in St. Louis and will oversee efforts to refine and develop business strategies.

Queen spent the last seven years at Citi and Smith Barney, working on new strategies and ventures for the high-net-worth and mass affluent markets. Previously, he worked for three years as a consultant at the Boston Consulting Group in Sao Paulo and Toronto, mainly in the financial services sector.

Diane Gabriel, former managing director of Wells Fargo Advisors Financial Network’s branch network, has been named to lead the WellsTrade business. In that capacity, she will be responsible for the strategic direction and management of the brokerage firm’s online trading platform.

Gabriel, a former financial advisor and branch manager, was with Wells Fargo Advisors Financial Network since 2002. There she played a key leadership role.

Bob McCarthy has been named director of regulatory policy, a newly created position. He will also be responsible for ensuring that brokerage regulatory policy is consistent with the policies and strategic direction of Wells Fargo’s Wealth Brokerage Retirement group, the broader organizational unit with which Wells Fargo Advisors is aligned within Wells Fargo & Co. He will have oversight responsibility for policy management and will work closely with the new rules implementation teams across the organization. 

McCarthy is a 25-year veteran of the industry. His most recent role as director of regulatory compliance includes the exam program as well as advertising review and policy management.

Graham and Bogan Join United Capital

United Capital Financial Advisers announced Sept. 12 that Gail Graham and Stephanie Bogan have joined the firm.

Graham, formerly executive vice president of marketing and business development at Fidelity Institutional Wealth Services, as head of strategy and execution will be working with CEO Joe Duran to develop a national consumer brand, enhance business execution and assist in the deployment of the firm’s capital over the next several years.

Bogan, formerly CEO of Quantuvis Consulting and member of Genworth Financial Wealth Management’s executive team after the sale of her firm to Genworth in 2008, as head of business model development, will work to refine and improve the firm’s business model.

Dynasty Financial Partners Names Jonathan Morris

Dynasty Financial Partners announced Sept. 12 that Jonathan R. Morris has been named chief legal and governance officer and will be managing all legal and compliance issues. He will report directly to Shirl Penney, president and CEO. In addition, Morris will act as liaison to outside counsel, negotiating contracts and representing Dynasty on all legal matters arising from its business. He will also be responsible for developing and maintaining compliance programs in accordance with applicable rules and regulations.

Morris has more than 30 years of legal experience. He joins from Day Pitney, where he was co-head of the firm’s broker-dealer, Investment Adviser Practice Group. Prior to Day Pitney, he was a managing director, general counsel and head of governance for Barclays Wealth, where he supported the expansion of Barclays into the private wealth management business in the Americas. Prior to Barclays, he was a managing director and the senior attorney for Lehman Brothers’ investment management division. He began his career at Seward & Kissel in New York.

IRI Names Advisor Group President and CEO Larry Roth Chairman of the Board

The Insured Retirement Institute (IRI) recently announced that Larry Roth, president and CEO of Advisor Group, was elected IRI’s new chairman of the board of directors. He will succeed Lynne Ford, executive vice president for Calvert Distributors, whose tenure as chairman concluded at the board meeting in San Diego. She now holds the position of past chairman and has been reelected to serve another term as a member of the board. That term will expire in 2015.

Cindy Vogl, executive director of defined contribution and retirement solutions for UBS Global Asset Management (Americas), also was re-elected to serve a full term, expiring in 2015, as a member of the board. Three members who filled vacancies during the past year were elected to full terms that will expire in 2015. They are Robert DeChellis, president of Allianz Life Financial Services; Elizabeth Forget, senior vice president of MetLife Retail Annuity Products; and Nick Lane, senior executive vice president and president of retirement savings for AXA Equitable.

Seven new board members were elected to serve terms that will expire in 2015. They are Maliz Beams, CEO of ING U.S. Retirement; Michael Falcon, managing director and head of retirement for J.P. Morgan Asset Management; Bruce Ferris, EVP of sales and distribution for Prudential Annuities; Drew Lawton, EVP and head of retirement solutions for New York Life Investments; Bill Lowe, president of Sammons Retirement Solutions; Robert Moore, president and chief operating officer of LPL Financial; and Paula Nelson, president of Forethought Distributors.

IRI also announced that three members of the board were elected to officer positions. John Carter, president of Nationwide Financial Distributors, was elected vice chairman; Thomas Streiff, EVP and retirement product manager for PIMCO, was reelected secretary; and LPL’s Moore was elected treasurer. ING CEO to Oversee Retirement Business

Expanded roles and responsibilities for some members of the executive team were announced Monday by ING U.S. Inc. Rodney Martin Jr., CEO, will provide oversight responsibility for ING U.S.’s core retirement and insurance businesses, while continuing his current direct management responsibilities as CEO. Martin, who has more than 35 years of financial services experience, assumes the duties effective immediately.

Alain Karaoglan, EVP, has been promoted to COO and will assume oversight responsibility for the firm’s core investment management business, brand marketing, operations and information technology, in addition to continuing his responsibilities for strategy and corporate development and investor relations. He has more than 25 years of experience in financial services.

Ewout Steenbergen, EVP and chief financial officer, will now assume oversight responsibility for ING U.S.’s treasury and capital management activities. He will continue to lead the finance function in the areas of actuarial, tax, controllership, financial reporting, insurance investments and procurement. Steenbergen has more than 22 years of financial services experience.

ING U.S. Hires Jamie Ohl as President of Tax-Exempt Retirement Plan Markets

ING U.S.’s retirement business announced that it has hired Jamie Ohl as president of tax-exempt markets for the company’s institutional retirement operations. In this role, she will be responsible for all aspects of the business, including developing and executing strategic direction and maximizing growth potential and profitability. She will be based in the Windsor, Conn., office, and will report to Maliz Beams, CEO of ING U.S. retirement. Her appointment is effective Oct. 1.

Ohl has more than 20 years of experience, and for the past two years was president of Wilshire Funds Management, the global investment management business unit of Wilshire Associates. In that position, she was responsible for guiding the company’s strategic investment, operations and growth efforts. Previously, she served as head of the retirement division for The Hartford Financial Services Group, where she spearheaded that company’s entry into the 403(b) market. She has also served in various management and consulting roles at VALIC and Hewitt Associates.

Baker Tilly Investment Advisors Adds Justin Goldstein to Wisconsin Office

Justin Goldstein has joined Baker Tilly Investment Advisors as a senior advisor in the firm’s individual wealth management practice.

He is located in the Madison, Wis., office and has more than three years of experience in financial services and investment advisory work. CLS Names Clarke CEO

CLS Investments announced Tuesday that it has promoted Todd Clarke to the position of CEO. He most recently served as the firm’s president. In addition, CLS has appointed Ryan Beach as its new president and John Russel “Rusty” Vanneman as its new CIO.

Beach most recently served as associate general counsel of NorthStar Financial Services Group, the parent company of CLS, where he oversaw legal matters affecting NorthStar, CLS and their affiliates. Prior to NorthStar, he was engaged in private practice with a boutique securities firm where he advised clients on SEC and FINRA requirements as well as other corporate financial and investment matters, and represented private equity firms in connection with portfolio acquisitions and raising capital.

Vanneman will lead the firm’s portfolio management and investment research teams and sit on the investment committee. He has more than 20 years’ experience in the financial services industry, most recently as CIO and portfolio manager for a large investment adviser in the Boston metropolitan area.

Deutsche Bank Announces Executive Committee for Wealth Management Unit

Deutsche Bank announced Monday the executive committee for its integrated asset and wealth management (AWM) division. Michele Faissola, head of asset and wealth management, will chair the committee and Jon Eilbeck will be COO.

Representing the main investment platforms and functions within AWM are Reinhard Bellet, head of passive investments; Randy Brown, co-CIO of asset management; Pierre Cherki, head of alternative investments (internal managers); Mark Cullen, head of operating platform and reengineering; Stephane Farouze, head of alternative investments (third-party managers); Kevin Lecocq, CIO of wealth management; Wolfgang Matis, head of active investments; Balaji Prasanna, head of loans/deposits and asset and liability management; and Asoka Woehrmann, co-CIO of asset management.

Representing client coverage within AWM are Marco Bizzozero, head of wealth management EMEA; Thomas Bowers, head of wealth management Americas; Joachim Haeger, head of wealth management Germany (Deutsche Bank); Wilhelm von Haller, head of wealth management Germany (Sal. Oppenheim); Ravi Raju, head of wealth management Asia Pacific; and Dario Schiraldi, head of distribution.

Regional AWM management committees and their executive committee member chairmen are Wolfgang Matis, Germany; Ravi Raju, Asia Pacific; and Dario Schiraldi, EMEA. The chairman for the Americas will be announced later.

Dan Concannon Joins Mediant Communications

Mediant Communications announced Tuesday the appointment of Dan Concannon as global head of sales. He will oversee sales expansion in broker, corporate and fund-company services.

Previously, Concannon was head of worldwide sales for Institutional Shareholder Services. More recently, he was at WealthEngine.

Read the Sept. 12 New Hire Roundup at AdvisorOne. 

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