October 31, 2022
Penny Pennington Elected to FINRA Board of GovernorsFrom the enforcement of Reg BI to the implementation of new CE requirements, it's a busy time for FINRA.
October 03, 2022
BlackRock Taps U.S. Wealth Chief as Next CFOMartin Small will become the asset manager's next chief financial officer in March as part of a wave of senior management changes.
October 03, 2022
State Street Global Advisors Names Next CEOYie-Hsin Hung will succeed Cyrus Taraporevala as the chief executive of State Street's asset management business.
September 27, 2022
LPL Picks Up Veteran Exec From AltruistPete Dorsey has joined LPL as executive vice president of Institution Services, replacing Shawn Mihal.
September 09, 2022
Former E-Trade CEO Tapped to Lead VestmarkKarl Roessner replaces Mike Blundin, who is now president and COO.
September 07, 2022
Orion Realigns OperationsThe company is placing a greater focus on its Advisor Tech, OCIO and TAMP segments, it says.
September 07, 2022
SIFMA Picks NYSE Exec as General CounselSaima Ahmed, director of NYSE Regulation, will replace Ira Hammerman, who is retiring.
September 06, 2022
TCW Hires Goldman Veteran as CEOKatie Koch joins the $220 billion asset manager after 20 years at Goldman, where she rose to become partner.
September 01, 2022
Commonwealth Recruits New Chief Privacy Officer From LPLMichelle Kelley has also been named deputy general counsel and senior vice president.
August 18, 2022
Commonwealth Adds $1.4B TeamThe group used to work with Principal Securities; it includes seven advisors and is based in Cedar Rapids, Iowa.