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Wall Street & Technology
October 20, 2006
Ivy Schmerken |
Kase Lands at TradeTrek Securities Deborah Kase, a sell-side expert in covering the buy side, joined Newark, N.J.-based broker-dealer TradeTrek Securities as managing director of institutional electronic execution services.   |
Wall Street & Technology
November 29, 2004
Maria Santos |
People & Careers Witney to Head IT at Barclays Capital... SunGard Names Cinquina SVP... Morris Joins Penson From Pershing... etc. |
Financial Advisor
August 2005
Joel P. Bruckenstein |
Pershing Pushing For RIA Business Pershing LLC is aggressively pursuing opportunities in the registered investment advisor (RIA) market segment, and has renamed its key advisor support group as part this new push, company officials said. |
Wall Street & Technology
November 30, 2006 |
Keeping Tabs Nicholas Colas joined BNY ConvergEx Group... Jeffrey Smith joined ADP Brokerage Services Group... Marianne Brown has been named president and CEO of trade processing solutions vendor Omgeo... etc. |
Financial Planning
June 1, 2005
Jennifer A. Liptow |
On the Job George L. Divel III has joined the Baltimore branch of GunnAllen Financial... The Investment Company Institute in Washington has appointed Peter J. Gunas III... etc. |
Investment Advisor
April 2008
James J. Green |
New COO for PAS Pershing Advisor Solutions conducted a nationwide search for the job of chief operating officer, and found the top candidate in the office next door, naming Karen Novak, former managing director and chief operations manager, as COO. |
Investment Advisor
July 2008
James J. Green |
Strength From Weakness The author argues that globalization has now come to the provision of investment advice. |
Financial Advisor
September 2004 |
Pershing Offering Research, Trust Services Jersey City, N.J.-based Pershing LLC is offering new independent research and trust services... Russell/Nomura: Prime Index Unveiled... SSgA Funds Takes Control: Of Two ETFs... Fidelity Launches Bond Fund... etc. |
Registered Rep.
March 1, 2008
Christina Mucciolo |
What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm. |
Investment Advisor
March 1, 2011
James J. Green |
Human Capitalist At Pershing Advisor Solutions, the emphasis is on putting the right people in the right spots to serve high-end advisors |
Registered Rep.
November 1, 2006 |
The Biggest Indie Platforms There are literally thousands of broker/dealers. Here is a list of the 20 largest: Linsco/Private Ledger... HD Vest Financial Services... Raymond James Financial Services... etc. |
Financial Planning
November 1, 2007
Elizabeth O'Brien |
A Visionary Move An interview with Mark Tibergien, a well-known and respected consultant at Moss Adams, as he takes the helm at Pershing Advisor Solutions. |
Wall Street & Technology
October 12, 2007
Melanie Rodier |
Bank of New York Mellon's Pershing Advisor Solutions Hires Mark Tibergien as new CEO Tibergien previously was a principal at accounting and consulting firm Moss Adams. |
Registered Rep.
November 1, 2007 |
The Top 20 Biggest Indies A list of the biggest independent broker/dealer firms, ranked by the number of reps working for them. |
Financial Advisor
February 2005 |
Advisor Emporium Securities America Offers New Portfolio Management Service... Principal Financial Adds Options to Health Savings Account (HSA) Plan... Pareto Systems Offers Customized CRM Platform... etc. |
Financial Advisor
July 2007
Tracey Longo |
The Big Picture Clearing firms stake their future on helping financial advisors' businesses grow. |
Registered Rep.
March 6, 2006
Halah Touryalai |
The Independents There are literally thousands of independent broker/dealers. Here's a list of some of the largest by rep count: Linsco/Private Ledger... HD Vest Financial Services... Raymond James Financial Services... etc. |
Financial Advisor
November 2007 |
Advisor Emporium Pershing Offers New Analytical Tools... Restricted Stock... Partnership Provides Retirement Income Plans... Document Firm Digitalizes Handwriting... etc. |
Investment Advisor
October 2007
James J. Green |
Mark Tibergien Named CEO of Pershing Advisor Group Tibergien, currently a principal and partner in charge of the securities niche at the accounting and consulting firm Moss Adams, will take on his new duties at the Bank of New York Mellon subsidiary on October 1. |
Wall Street & Technology
September 23, 2005 |
Keeping Tabs David Kornblau joined Merrill Lynch as head of regulatory affairs... Northern Trust appointed former SVP Connie Lindsey group head of the public entities and institutions market segment ... etc. |
Investment Advisor
July 2008 |
Upgrades Pershing LLC has added American Funds, JennisonDryden, OppenheimerFunds, and Van Eck Global to FundVest... Advanced Equities Financial Corp. launched Venture Gateway... Direxion Funds has launched the Dollar Bull 2.5x Fund... |
Investment Advisor
July 2010
James J. Green |
RBC Is Not Pershing Key differences between RBC and PAS philosophies. |
Wall Street & Technology
September 19, 2006
Tim Clark |
The Quiet Market Explosion While most of the industry has been focusing on exotic investment products and emerging markets, the securities lending market has boomed into a $16 trillion business. But with rapid growth comes substantial risk. |
Registered Rep.
October 15, 2010
Jerry Gleeson |
Fewer, But Bigger Breakaway Brokers Joining RIAs With markets stabilizing and bank-brokerage merger integrations progressing, fewer brokers are fleeing the big Wall Street wirehouse firms for the RIAs and independent b/ds in 2010. |
Financial Advisor
November 2006
LeBlanc & Brounes |
Embracing The Future Financial advisory affiliates Pershing and Lockwood get the thumbs-up for their vision, a smooth transition and high client satisfaction. |
Financial Planning
January 1, 2006
Robert Hertzberg |
Pershing's Moment of Truth As fees shrink and clients consolidate, the nation's No. 1 clearing firm has to sell new services to maintain its margins. |
Financial Planning
January 1, 2010
Donna Mitchell |
Questions Welcome Mark Tibergien is probably the most important practice management thinker in the financial planning industry -- and he has built his following over decades. |
Financial Advisor
September 2004
Dorothy Hinchcliff |
Here Come The Big Boys Fidelity and Pershing are competing for advisors' trust business. |
CRM
January 2011
Lauren McKay |
Collecting Feedback Makes Cents A financial services firm invigorates its VOC program to better understand its business -- and its customers |
