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Investment Advisor
July 2007 |
Changes Shawn Dreffein, president of National Planning Corporation has retired... American Century Investments appointed Barry Fink... etc.   |
Investment Advisor
September 2008 |
Changes Walt Bettinger will succeed the company's founder and chairman, Charles Schwab, as CEO of the company... The Board of Vanguard Group has elected F. William McNabb as CEO... AARP announces the appointment of Richard Hisey as the new president... etc. |
Investment Advisor
March 2009
Kara P. Stapleton |
Changes People on the move. |
Investment Advisor
April 2007
James J. Green |
A President For Schwab Walt Bettinger, a longtime Schwab executive, has been named president and COO of the company, effective immediately, raising speculation that he will succeed founder Charles Schwab as CEO. |
Financial Planning
September 1, 2008 |
On the Job American College hires Craig W. Lemoine to serve as assistant professor of financial planning... Fidelity Investments names Joseph A. Giordano executive vice president of relationship management... LPL Financial in San Diego has appointed Mark Helliker managing director... etc. |
Financial Planning
July 1, 2007
Marshall Eckblad |
On The Job Lincoln Financial Group in Philadelphia has promoted Terry Mullen to president... National Financial Partners in New York has appointed James Gelder... etc. |
Registered Rep.
November 18, 2008
Brooke Southall |
Schwab Re-Org Combines RIAs With Retirement Biz Schwab Institutional had an awesome year in 2008, but it isn't resting on it's laurels. Schwab is reorganizing, removing a well-respected executive, and combining the RIA unit with the retirement and corporate services unit. |
Investment Advisor
December 2007 |
Changes The Financial Planning Association announced that Richard Salmen of GTrust Financial Partners... New York Life Investment Management appointed David Bedard as senior managing director... etc. |
Registered Rep.
August 26, 2011
Jerry Gleeson |
Schwab Apologizes Over Sales Pitch to Advisor Clients Schwab found itself apologizing for violating its own policy of pitching portfolio products to retirement plan sponsors who were clients of retail financial advisors and turnkey asset management programs that have custodial relations with the firm. |
Investment Advisor
February 2007
Savita Iyer |
Buying Access to the Big Plans For Schwab, The 401(k) Company complements the company's retirement business strategy and increases its ability to meet the needs of retirement plans of all sizes -- in particular the mega ones. |
Investment Advisor
April 2007 |
Changes-April 2007 New York Life Insurance Company announced that Christopher Blunt was appointed senior VP and COO... Jonathan Spector, vice dean of The Wharton School at the University of Pennsylvania, was named president and CEO of The Conference Board... etc. |
Insurance & Technology
January 7, 2010
Nathan Conz |
AXA Equitable Appoints Four Execs AXA Equitable Life Insurance Company has announced four new executive appointments to support its customer-centric product design, delivery and service strategy. |
CRM
September 2010
Lauren McKay |
Retired and Retried A unit of Prudential Financial invests in Salesforce.com to revive a lethargic sales and customer retention program. |
Financial Planning
November 1, 2005 |
On the Job William L. Anthes, former president and CEO of the National Endowment for Financial Education, will begin a three-year term on the Financial Planning Standards Board... AIG Advisor Group has named Brett A. Ishler director of investment products and research... etc. |
Investment Advisor
January 2008 |
Back Office Deal A strategic deal between Charles Schwab and a back-office consulting firm will afford RIAs more outsourcing options. |
Investment Advisor
April 2008
Melanie Waddell |
Taking the Helm William McNabb will take cues from his predecessor, John Brennan, as he assumes top spot at Vanguard as president and director. |
Investment Advisor
August 2008 |
Changes Mark Schlafly named president and CEO of FSC Securities and Advantage Capital Corp... Jeff Auld named president and CEO of AIG Financial Advisors... Ted Mathas is now the CEO of New York Life Insurance Company... Three new SEC commissioner nominees... |
Investment Advisor
November 2007 |
News & Products Second wave of products help address the retirement income conundrum... Fidelity Investments has unveiled a group of retirement income products... etc. |
Investment Advisor
March 2008 |
News & Products, March 2008 News: Employee Benefit Research Institute study finds that ERISA is working... Center for Due Diligence launches a new website... AXA Equitable Life Insurance launches a new distribution channel... Jackson National Life Insurance Company promotes John Koehler... |
Investment Advisor
January 2009
James J. Green |
Schwab Reorganizes; Fidelity Hires; Pershing Provides The three major custodians of RIA assets announce big executive changes and a new practice management program. |
BusinessWeek
October 3, 2005
Amy Barrett |
Vanguard Gets Personal Vanguard is shifting its strategy as customers demand more hand-holding |
Registered Rep.
November 25, 2008 |
Fido Poaches Schwab RIA Executive Fidelity Investments negotiates a contract with the former head of Schwab's advisor business. |
Financial Planning
April 1, 2008
Stacy Schultz |
People on the Move Lizabeth Zlatkus... John Walters... John Walters... Jay Vinson... Karen Novak... Patricia Cox... William McNabb II... |
Investment Advisor
December 2005
James J. Green |
Talk to Chuck Schwab the company began as a transaction service, then moved into mutual funds, but Schwab the man believes his greatest legacy was his ability to democratize investing, and to support the notion that people could get their advice from someone who did not have a conflict of interest. |
Registered Rep.
May 21, 2007
Halah Touryalai |
Schwab Institutional President "Retires" Deborah McWhinney, president of Schwab Institutional, retired this morning at the age of 52, something communicated to the firm's advisors and employees via e-mail. |
Insurance & Technology
February 17, 2009
Anthony O'Donnell |
Vincent Cohan Named AXA Tech SVP, CTO One of three new senior vice president appointments by AXA, Vincent Cohan will be responsible for defining and implementing AXA Tech's information systems. |
Investment Advisor
March 2007 |
March 2007 UBS announced the appointment of Michael Roberts as managing director... T. Rowe Price named Steven Huber as a senior portfolio specialist... etc. |
Financial Planning
August 1, 2007
Marshall Eckblad |
On The Job AXA Advisors has promoted Andrew McMahon to chairman... Boston-based Fidelity Investments has hired Jylanne Dunne... etc. |
Financial Planning
July 1, 2006
Marshall Eckblad |
On the Job Here's a rundown of the latest executive appointments: Allianz Life Insurance has named Douglas Reynolds as the company's president... James Dennis has joined AXA Equitable... etc. |
Investment Advisor
August 2006 |
Upgrades The Fidelity Charitable Gift Fund announced the Charitable Investment Advisor Program... Dan Skiles, chief of technology for Schwab Institutional, said that as of May 1, more than 500 Schwab-affiliated advisory firms... etc. |
The Motley Fool
May 31, 2005
Stephen D. Simpson |
Prudential: A Prudent Purchase? Prudential is growing strongly, but has valuation already caught up? |
Financial Planning
July 1, 2005
Jennifer A. Liptow |
On The Job New York Life Insurance Co. has promoted Scott L. Berlin to... James Bowman has been elected senior vice president and appointed head of the new Life Division of... Federated Investors in Pittsburgh has appointed Curtis R. Gross director of ... etc. |
Registered Rep.
April 16, 2012
Jerry Gleeson |
Schwab RIA Unit Sees "Consistent" Growth Schwab Advisor Services is signing up advisor assets at a pace that tracks its historical average. |
Investment Advisor
September 2008
Kara P. Stapleton |
Preparing for Gen Y A recent study found that members of Generation Y, those currently between the ages of 21 and 31, are more likely to say they will need to use their own financial resources for retirement. How can advisors prepare to help this group? |
Investment Advisor
July 2008
James J. Green |
Schwab Smoothes the Road to Independence Schwab Institutional announces a multipronged platform -- with some existing planks, and some newly laid ones -- to ease the transition process for its brokers who wish to become registered independent advisors. |
The Motley Fool
May 19, 2011
Dan Caplinger |
Schwab Joins the 401(k) Wars The discount broker jumps in with an index-only retirement plan. |
Investment Advisor
April 2010
James J. Green |
Navigator For years, Dan Skiles has steered advisors through the tech rocks to business safe harbors. As IA's new technology coach, he'll be your guide to the future. |
Registered Rep.
March 1, 2005
Will Leitch |
Don't Fear the Reaper Investors are happy to think about retiring but are reluctant to contemplate what comes next. |
Registered Rep.
March 1, 2008 |
The Baby Boomer's Inner 800-Pound Gorilla AXA's Super Bowl ads. |
Investment Advisor
March 2010
Robert F. Keane |
Changes at the Top for RIA Units at Fidelity and Schwab At a time when growth in the RIA channel has been robust to say the least, the two largest custodians have announced executive changes and restructuring of their units serving RIAs. |
The Motley Fool
December 19, 2008
Dan Caplinger |
Don't Repeat This 2008 Mistake Target funds got billed as the perfect way to save for retirement or other long-term goals. Yet judging from their performance this year, investors who relied on target funds to get their allocations right got a nasty surprise. |
On Wall Street
July 1, 2010
John Papadopulos |
The Harsh Reality Of The 30-Year Retirement Many people just don't think about longevity risk and income planning, and some never even consider the risk that the money they save for retirement might not be enough to sustain them for the rest of their lives. |
Investment Advisor
April 2008 |
Catching up with...Patricia Cox Patricia Cox, chief operating officer of Schwab Institutional, discusses her new role and focus. |
Financial Advisor
March 2012
Juliette Fairley |
More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans. |
The Motley Fool
March 25, 2008
Chuck Saletta |
The World's Easiest Retirement Plan Doing anything -- anything at all! -- to prepare for retirement, is better than doing nothing. Read on for our simple plan. |
Registered Rep.
November 14, 2003
Will Leitch |
Charles Schwab's Image Gets a Smudge In the wake of Friday morning's news that late-trading and market-timing had been occurring in one of Schwab's funds, through its U.S. Trust subsidiary, Schwab senior executives on Friday back-pedaled a bit from their assurance that the firm would not be implicated in mutual fund improprieties. |
Bank Technology News
September 2006
John Adams |
Retirement Planning: When Social Security, Pensions Retire... Social Security is waning, and employers are getting out of the pension game. That leaves an open retirement market for brokerages, particularly the Web-savvy. |
Investment Advisor
March 2009
Melanie Waddell |
Cover Story: Patience In the quest to generate retirement income for their clients, many advisors relied on their investing-for-accumulation roots, and therefore were not focused on retirement income planning. |
Investment Advisor
September 2008 |
Retirement News & Products Women continue to be less prepared for retirement than men... New York Life Insurance and Annuity Corporation launches a fixed deferred annuity product... AXA Equitable Life Insurance Company launches a Web site -- My Retirement Shop... Stephen Mitchell named COO of the RIIA... |
Financial Advisor
September 2010 |
Advisor Emporium Advisor Emporium: Schwab Offers Integrated Technology Platform... National Planning Holdings Launches WealthOne... BlackRock Increases ETF Offerings... Goldman Sachs Adds Fund... more... |
