Comings & Goings: January 2013

Three officials from the Securities and Exchange Commission announced plans to leave the agency after former Chairman Mary Schapiro said she was on her way out. Robert Cook, director of the division of trading and markets, Meredith Cross, head of the division of corporation finance, and General Counsel Mark Cahn will leave the agency.

Independent broker/dealer LPL Financial has tapped Victor Fetter (pictured) as its new chief information officer and managing director of its Business Technology Services unit. Fetter, previously a vice president and chief information officer of Dell online, is taking over for Chris Feeney, who will retire after five years with the firm.

The Financial Services Institute has elected three new directors to its board for 2013: David Stringer (pictured), president of Prospera Financial Services; Stephen Chipman, president and CEO of Foothill Securities; and Dick Lampen, president and CEO of Ladenburg Thalmann Financial Services. Larry Roth, CEO of Advisor Group, was also elected as the new chair of the board.

Please or Register to post comments.

Latest poll

Absolute Perfection

This flawless, 101.7-carat, pear-shaped diamond—one of the world’s largest —will go up for auction at Christie’s “Magnificent Jewels” sale in Geneva on May 15, 2013. How much will it sell for? Choose the correct answer and registered site users will be eligible to win a one-year subscription to Christie's Geneva Jewelry sales catalogue, courtesy of Christie's. 

Image courtesy of  Christie’s Images Ltd. 2013

Latest Forums Topics

http://wealthmanagement.com/site-files/wealthmanagement.com/files/uploads/2013/02/forums-graphic.jpg

"Do firms check U5's when hiring?"

Read More

More Topics

Life after wirehouse? 1

After 18 months in the industry, all at WFA, I will be leaving the firm. I have not had great success at a wirehouse. It started well in the apprentice period and the first 6 months, but I missed my hurdle at the 9 month mark and have been scraping by ever since. After taking a further look at the requirements for the next 3 years, I realize that my head is going to be on the chopping block for most of that time barring someone in my network hitting the Powerball. I take full responsibility for this, but I will add that my firm has offered me little, if any, support at the local level....More
Retirement Planning Snapshot

The Numbers Behind Social Security

Most Recent Blogs & Columns
May 17, 2013
blog

Walnut Street Team Turns Down Cetera Deal to Join Boutique IBD

A $145 million AUM team from Walnut Street Securities has turned down a retention deal from Cetera to join SCF Securities....More

Browse Blogs Browse Columns
Market Data

Market index values delayed 15 min

Newsletter Signup