This 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