David R. Bell. Edward C. Bernard. Barbara Bittick. Jerome A. Clark, CFA
|
|
- Scott Richards
- 5 years ago
- Views:
Transcription
1 David R. Bell Dave Bell is a vice president of T. Rowe Price Group, Inc., and a vice president and senior retirement sales executive for T. Rowe Price Retirement Plan Services, Inc. Dave is responsible for large-market defined contribution sales. Prior to joining the firm in 1995 and becoming a senior retirement sales executive, he was a retirement plan specialist in our national plan market. He earned a B.A. in political science from McDaniel College and an M.B.A. in investment management from Johns Hopkins University. Dave is a Series 7 and 63 registered representative. Edward C. Bernard Ed Bernard is vice chairman of the Board of Directors of T. Rowe Price Group, Inc., a member of the firm s Management Committee, and chairman of the T. Rowe Price Mutual Funds. He oversees the firm s distribution, client service, technology, and communications activities. Ed serves on the Board of Governors and the Executive Committee of the Investment Company Institute, the national trade association for the mutual fund industry. Ed earned his B.A. from Brown University and M.B.A. from New York University. Barbara Bittick Barbara Bittick is a client administrator for T. Rowe Price Retirement Plan Services, Inc. She has been with T. Rowe Price for over two years. Prior to joining the Client team in 2009, Barbara was a transaction representative responsible for national accounts. She earned a B.A. in media marketing and administration from the University of Maryland, Baltimore County. Jerome A. Clark, CFA Jerome Clark is a vice president of T. Rowe Price Group, Inc., T. Rowe Price Associates, Inc., and a portfolio manager in the Asset Allocation Group. He manages the Program for Charitable Giving portfolios, College Savings Plan portfolios, and the T. Rowe Price Retirement Funds. Jerome is a vice president of the Personal Strategy Funds and an Investment Advisory Committee member of the Spectrum Funds. He is also a member of the Asset
2 Allocation Committee. Prior to joining the firm in 1992, Jerome was a Captain in the United States Marine Corps and spent three years as a mathematics instructor at the U.S. Naval Academy. He earned a B.S. in mathematics from the U.S. Naval Academy, an M.S. in operations research from the Naval Postgraduate School, and an M.B.A. in finance from Johns Hopkins University. Jerome has also achieved the Chartered Financial Analyst accreditation. Kevin L. Collins Kevin Collins is head of client services in T. Rowe Price Retirement Plan Services, Inc., and is also a vice president of T. Rowe Price Group, Inc. Prior to assuming his current position in 2008, he was chief administrative officer for T. Rowe Price Global Investment Services, the division responsible for the firm s institutional business worldwide, and T. Rowe Price Global Asset Management, the investment management organization responsible for assets sourced in Japan. Kevin earned a B.S. in accounting from the University of Scranton and an M.B.A. from the University of Maryland. Adam Crowley Adam Crowley is a retirement plan coordinator in the Client Administration division of T. Rowe Price Retirement Plan Services. Prior to his current position, Adam worked in the Retail Investment Services department working with individual shareholders. Adam has a B.A. in business economics from SUNY Oneonta University. Adam is a Series 6 and 63 registered representative. Adam joined T. Rowe Price in Cynthia Egan Cynthia Egan is president of T. Rowe Price Retirement Plan Services, Inc. Prior to joining the firm, Cynthia was executive vice president at Fidelity Investments, where she led corporate initiatives to evaluate and address the firm s global retirement service practices, in addition to recent efforts focusing on innovation. She comes to T. Rowe Price with broad experience as a general manager and senior leader, as well as deep experience in retirement services. After joining Fidelity in 1989, Cynthia served in a number of leadership roles as Fidelity built its defined contribution business during the 1990s. From 1998 to 2003, she was president of the Fidelity Charitable Gift Fund, which, under her leadership, became the nation s second largest public charity. She then returned to the retirement arena to lead company-wide initiatives focused on employee and retiree savings strategies, including Fidelity Retirement Income Advantage. The launch of this service earned her Institutional Investor s Fund Marketer of the Year for Cynthia s experience prior to Fidelity includes retirement services at Banker s Trust and the financial services consulting practice of KPMG. She is a graduate and now a trustee of Boston College.
3 Jean L. Fisher Jean Fisher is an assistant vice president and relationship manager of T. Rowe Price Retirement Plan Services, Inc. Jean joined the firm in 1990 as a shareholder services representative, moved on to serve as a client administration manager, and then as a group manager in T. Rowe Price Retirement Plan Services, Inc. She earned her degree from the University of Maryland, College Park. She is a Series 6, 7, and 63 registered representative and successfully passed the American Society of Pension Professionals & Actuaries (ASPPA) Pension Administration Exam. Susan M. Fritz Susan Fritz is an assistant vice president of T. Rowe Price Retirement Plan Services, Inc., and T. Rowe Price Trust Company. She is a new business account lead manager in the New Business Development Group. Prior to joining the firm in 1996, she worked for NationsBank in their Employee Benefits Department for seven years. She earned a B.S. in business administration/finance from Clarion University of Pennsylvania. John A. Galateria John Galateria is a vice president of T. Rowe Price Group, Inc., and T. Rowe Price Retirement Plan Services, Inc. He is head of Retirement Plan Sales with responsibility for defined contribution plan business development. Prior to joining the firm in 1992, John was a regional vice president for Great-West Life in their 457/403(b) markets. John has 20 years of experience in the defined contribution plan industry. He earned a B.A. from the University of Richmond. Howard P. Heller Howard Heller is a senior ERISA compliance analyst in Compliance Services for T. Rowe Price Retirement Plan Services, Inc. Howard s responsibilities include performing nondiscrimination testing, consulting with clients concerning legislative and regulatory plan compliance, and analyzing effects of new legislation and regulation on plan design and operation. Prior to joining the firm in 1998, Howard worked for the Securities and Exchange Commission in the Division of Enforcement. He earned a B.A. in economics from the University of Southern California and a J.D. from the Tulane University School of Law. Howard is a member of the Bar in the District of Columbia and Connecticut. He also has attained the professional designation of Qualified 401(k) Administrator (QKA).
4 Terence P. Howard Terry Howard is a vice president of T. Rowe Price Group, Inc., and a vice president and regional sales manager for T. Rowe Price Retirement Plan Services, Inc. Prior to his current position, he was a client manager in the Personal Services Group working with our high net worth clients. Terry joined the firm in He earned a B.S. in marketing from Messiah College and an M.B.A. from Loyola College of Baltimore, Maryland. In addition to obtaining the Chartered Mutual Funds Counselor designation, he is a Series 6, 7, and 63 registered representative and a Series 65 registered investment advisor. Matthew D. Johnson Matt Johnson is an assistant vice president and communications manager for T. Rowe Price Retirement Plan Services, Inc. His primary role is to work with plan sponsors as a strategic partner to develop goals and effective solutions for educating employees on their employersponsored retirement plan. He also manages a team of communication consultants. Matt joined the firm in Matt graduated from Villa Julie College with a B.S. in business communications and received his M.B.A. in management from Loyola College of Maryland. He is a Series 6 registered representative. Wyatt A. Lee, CFA Wyatt Lee is a vice president of T. Rowe Price Associates, Inc. and is an investment analyst in the Asset Allocation Group. Previously, Wyatt was based in T. Rowe Price s London office and was responsible for developing a portfolio and performance analysis function to focus on non-u.s. equity strategies. He has also managed a team of investment performance analysts in the Equity Division. Prior to joining the firm in 1999, he was a research analyst for Summit Strategies Group, an institutional investment consultant. He earned a B.Sc. in mathematics and political science, cum laude, from Vanderbilt University and an M.B.A. in finance from the Olin School of Business at Washington University, where he was a Charles F. Knight Scholar. Wyatt has also achieved the Chartered Financial Analyst accreditation. Francisco J. Negrón Francisco Negrón is a vice president of T. Rowe Price Group, Inc., and T. Rowe Price Trust Company, and a vice president and regional relationship manager of T. Rowe Price Retirement Plan Services, Inc. Francisco joined the firm in Prior to working in Client Services, he was a business unit manager in Client Administration. Francisco earned a B.S. in business administration from Houghton College and is a Series 6 registered representative.
5 Kimberly O Connor Kimberly O Connor is a vice president of T. Rowe Price Retirement Plan Services and is currently the director of Retirement Plan Services Control and Service Support. She joined the firm in Kimberly earned a B.S. in business administration from Villa Julie College and is a Series 7 registered representative. Kimberly has successfully passed the American Society of Pension Actuaries (ASPA) Pension Administration Exam. Kimberly also received the Management Excellence Award from T. Rowe Price in 2002 and 2003, as well as the Service Excellence Achievement Award in 2004, 2005, and Lucas Schroeder Luke is a client administration manager for T. Rowe Price Retirement Plan Services, Inc. He joined the firm in August 2000, and during his five years as a plan coordinator, he served as the primary contact for several employer-sponsored qualified and nonqualified retirement plans. In February 2006, Luke was promoted to a supervisor position in the T. Rowe Price Participant Service Center and was later promoted to client administration manager in March Luke graduated with a B.A. in business administration from Elon University. He is a Series 7 registered representative. David W. Streissguth David Streissguth is a senior compliance analyst in Compliance Services for T. Rowe Price Retirement Plan Services, Inc. His responsibilities include performing nondiscrimination testing, consulting with clients concerning legislative and regulatory plan compliance, and analyzing the effects of new legislation on plan design and operation. Dave joined the firm in Prior to joining Compliance Services in 2003, he was a plan coordinator in RPS Operations. Dave earned a B.B.A. in finance from James Madison University. He has attained the Certified Pension Consultant (CPC), the Qualified 401(k) Administrator (QKA), and the Qualified Pension Administrator (QPA) designations from the American Society of Pension Professionals and Actuaries. Daniel Vaira Dan Vaira is a retirement plan coordinator for T. Rowe Price Retirement Plan Services, Inc., and has been with T. Rowe Price since April He is familiar with all aspects of plan administration within T. Rowe Price and has worked in the retirement plan administration area during his entire tenure with the firm. Dan has been a primary or secondary contact for a number of national plans and has worked with the Smurfit-Stone Container Corporation Savings Plan since April Prior to joining the firm, he worked for The Community Bank
6 of Tri-County in Waldorf, Maryland, for one year in the Customer Service department. Dan earned a B.A. in economics from the University of Maryland in 2004 and is currently pursuing an M.B.A. in finance from Loyola College in Maryland. Theresa M. Vondersmith Theresa Vondersmith is a vice president of T. Rowe Price Trust Company and T. Rowe Price Retirement Plan Services, Inc. She is the transactions director for RPS Operations. Theresa joined the firm in She earned a B.A. in business administration and marketing from Towson State University. Carol E. Waddell Carol Waddell is a vice president of T. Rowe Price Group, Inc., and a vice president and director of Product Development & Marketing Technology for T. Rowe Price Retirement Plan Services, Inc. In this role, she is responsible for participant research and development initiatives, including automated solutions, financial literacy and education, technology, personalization, investment advice, retirement income initiatives, and rollovers. She also serves on the T. Rowe Price Community Relations Board and is president of the Board of The Children s Home, a nonprofit serving Maryland s abused, neglected, and abandoned children. Prior to joining the firm in 1994, Carol was an assistant vice president of Marketing at Citibank. Carol earned a B.S. from Towson University and an M.B.A. from Loyola College in Baltimore, Maryland. Carol is a series 63 registered representative
David R. Bell. Adam D. Brown. Nathan M. Brown. Aaron T. Cincotta
David R. Bell Dave Bell is a vice president of T. Rowe Price Group, Inc. and a vice president and senior retirement sales executive for T. Rowe Price Retirement Plan Services, Inc. Dave is responsible
More informationSPEAKERS A S H A B A N G A L O R E
SPEAKERS ASHA BANGALORE Vice President Economist Asha has been an economist with Northern Trust since 1994. Prior to joining Northern Trust, she was a consultant to savings and loan institutions and commercial
More informationSupplement to Form ADV Part 2 Form ADV Part 2B
Item 1- Cover Page Supplement to Form ADV Part 2 Form ADV Part 2B (for each of the Supervised Persons Listed in Item 2 below) Lazard Wealth Management LLC 30 Rockefeller Plaza New York, New York 10112
More informationDean A. Connor. President & Chief Executive Officer, Sun Life Financial
Dean A. Connor President & Chief Executive Officer, Sun Life Financial Dean A. Connor was appointed President & Chief Executive Officer, Sun Life Financial on December 1, 2011, and is a member of the company
More informationSmith A. Brownlie III, CPA
Brownlie & Braden, LLC, provides services specifically addressing the needs of individuals and families that have accumulated significant wealth. Our approach to providing these services is sensitive to
More informationSmith A. Brownlie III, CPA
Brownlie & Braden, LLC, provides services specifically addressing the needs of individuals and families that have accumulated significant wealth. Our approach to providing these services is sensitive to
More informationDISCLOSURE BROCHURE & ADV PART 2: PART 2B: BROCHURE SUPPLEMENT
DISCLOSURE BROCHURE & ADV PART 2: PART 2B: BROCHURE SUPPLEMENT MARCH 28, 2019 SCHULTZ COLLINS, INC. INVESTMENT COUNSEL 455 Market Street, Suite 1250 San Francisco, California 94105 TELEPHONE: 415.291.3000
More informationRAYMOND JAMES INVESTMENT STRATEGY COMMITTEE
RAYMOND JAMES INVESTMENT STRATEGY COMMITTEE Providing Raymond James financial advisors and their clients with actionable market commentary and investment guidance. PUBLICATIONS The advice and recommendations
More informationBuilding Wealth and Prosperity in the Communities We Call Home
Building Wealth and Prosperity in the Communities We Call Home Executive Summary EDA exclusively represents the equity capital market interests for the retail and institutional operations of middle market
More informationFORM ADV PART 2B BROCHURE SUPPLEMENT. South Texas Money Management, Ltd.
FORM ADV PART 2B BROCHURE SUPPLEMENT South Texas Money Management, Ltd. 700 N. St. Mary s Street, Suite 100 San Antonio, Texas 78205 (210) 824-8916 (210) 824-8718 (Fax) www.stmmltd.com March 29, 2019 This
More informationThe Apollo Group at Morgan Stanley
The Apollo Group at Morgan Stanley A wealth advisory practice that provides clients with the financial planning and investment management services they require and deserve. Private Wealth Management: The
More informationWHO WE SERVE. Regulators Business and Law Schools. Executives and Staff Job Seekers & Students
RCA MISSION Protect investors and financial markets as the exclusive authority for compliance education, training, accreditation, certification, skills assessment, and employee development. 1 WHO WE SERVE
More informationThe Hanover Group at Morgan Stanley Smith Barney
The Hanover Group at Morgan Stanley Smith Barney 203 Heater Road Lebanon, New Hampshire 03766 603-442-7900 / Main 800-829-5232 / Toll-Free 603-442-7988 / fax www.fa.smithbarney.com/ hanovergroup thehanovergroup@mssb.com
More informationThe Fortress Group at Morgan Stanley
The Fortress Group at Morgan Stanley 1 PENN PLAZA, 43RD FL NEW YORK, NY 10119 212-643-5781 / MAIN 800-223-4565 / TOLL-FREE 212-714-2546 / FAX http://www.morganstanleyfa.com/thefortressgroup lane.h.katz@ms.com
More informationOur Mission. About Morgan Stanley Wealth Management
Our Mission Our Approach About Morgan Stanley Wealth Management As an affluent investor, you seek greater simplicity, customized strategies and a high level of service. As your committed financial advisors,
More informationThe Berkheimer Group at Morgan Stanley
The Berkheimer Group at Morgan Stanley 30 West Patrick Street 7th Floor, Frederick, MD 21701 301-663-8833 / MAIN 800-634-0072 / TOLL-FREE 301-663-4798 / FAX theberkheimergroup@morganstanley.com Managing
More informationPRINCIPAL FINANCIAL GROUP, INC. (Exact name of registrant as specified in its charter)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event
More informationDue Diligence and Research Team
Due Diligence and Research Team Dianna Zentner, CIMA Ron Chaez, CFA Qualitatie Analysis Bryan Judkins, CIMA Institutional Serices John Parsons, CIMA Quantitatie Analysis Carolyn Snodgrass Risk Management
More information* Robert G. Smith, III AIF & CIMC * Mark C. MacQueen * Thomas H. Urano, CFA * Jeffery S. Timlin, CFA, CMT * Robert D.
Part 2B of Form ADV: Brochure Supplement Item 1 Cover Page Part 2B of Form ADV: Brochure Supplement * Robert G. Smith, III AIF & CIMC * Mark C. MacQueen * Thomas H. Urano, CFA * Jeffery S. Timlin, CFA,
More informationPart 2B of Form ADV: Brochure Supplement. Mariko O. Gordon, CFA Founder, Chief Executive Officer and Chief Investment Officer
Item 1 - Cover Page Part 2B of Form ADV: Brochure Supplement Mariko O. Gordon, CFA Founder, Chief Executive Officer and Chief Investment Officer Daruma Asset Management, Inc. 80 West 40 th Street 9 th
More informationBROCHURE SUPPLEMENTS (ADV PART 2B)
BROCHURE SUPPLEMENTS 2018470 1 BROCHURE SUPPLEMENT BRADFORD A. EVANS This brochure supplement provides information about Bradford A. Evans that supplements the Heartland Advisors, Inc. Brochure (ADV Part
More informationSuccess on Your Terms. How We Help You Achieve Your Financial Goals
Success on Your Terms How We Help You Achieve Your Financial Goals One PPG Place, Suite 1300 Pittsburgh, PA 15222 Visit Our Team Website: www.morganstanleyfa.com/thestonegroup Bohdan W. Stone, CIMA Executive
More informationTaxable Fixed Income Leadership Team
PNC Capital Advisors LLC PNC Harbor Place One East Pratt Street Fifth Floor - East Baltimore, MD 21202 410-237-5683 www.pnccapitaladvisors.com Form ADV Part 2B March 16, 2018 Taxable Fixed Income Leadership
More informationRebecca L. Burke VICE PRESIDENT, NATIONAL ETF SALES
Rebecca L. Burke VICE PRESIDENT, NATIONAL ETF SALES Rebecca L. Burke joined American Beacon Advisors in November 2016 as a vice president, National ETF Sales. Ms. Burke works in partnership with the American
More informationAsk the Regulator and Industry Experts Thursday, September 14 3:30 p.m. 4:30 p.m.
Ask the Regulator and Industry Experts Thursday, September 14 3:30 p.m. 4:30 p.m. During this session, panelists answer your questions related to the fixed income regulatory landscape. Panelists also address
More informationOur Team Advisory Personnel
Our Team Advisory Personnel Brochure Supplement Douglas A. Neimann President and Chief Investment Officer Eric L. Pirkl Investment Manager Deborah D. Weiss Managing Director, Okabena Advisors Thomas B.
More informationThe Abbott Group at Morgan Stanley We Provide Solutions
The Abbott Group at Morgan Stanley We Provide Solutions From left to right: Chris Jensen, Kelly Hesselein, James Matthew Bopp, Russell Abbott, Kristen Dinsbach and Josh Hagel-Thaler 1478 Stone Point Drive
More informationPersonnel. Internal Staff. Scott MacKillop CHIEF EXECUTIVE OFFICER. First Ascent Asset Management
First Ascent Asset Management Personnel Internal Staff Scott MacKillop CHIEF EXECUTIVE OFFICER Scott has worked in the financial services industry for 40 years. He began his career in 1976 as a lawyer
More informationKenneth L. Bachman, Jr.
Kenneth L. Bachman, Jr. Partner, Washington Office Kenneth L. Bachman is a partner based in the Washington, D.C. office. Mr. Bachman's practice focuses on financial institution and economic sanctions matters,
More informationSEI Appendix A Team Biographies
SEI Appendix A Team Biographies TEAM BIOGRAPHIES Mark T. Morgan, CFA Client Portfolio Manager Institutional Group Client Portfolio Management Team (Chicago, Illinois) Mark Morgan serves as a Client Portfolio
More informationPlenary Session III: Dispelling Myths around the FINRA Board Monday, May 21 4:15 p.m. 5:15 p.m.
Plenary Session III: Dispelling Myths around the FINRA Board Monday, May 21 4:15 p.m. 5:15 p.m. During this session, panelists discuss what goes on at a FINRA Board meeting. Moderator: Panelist: Marcia
More informationExperienced. Focused. Reliable.
Experienced. Focused. Reliable. Trusted advice during uncertain times. Argus Capital Partners LLC is an independent merchant banking firm focused on providing flexible and creative private equity solutions.
More informationthepeaceriverteam
www.morganstanleyfa.com/ thepeaceriverteam For our team, retirement planning means more than providing our clients with investment advice. It means helping them maintain the financial independence they
More informationThe Williams Benson Group at Morgan Stanley Smith Barney
The Williams Benson Group at Morgan Stanley Smith Barney Our Mission We strive to bring a boutique level of service to our clients by operating as a firm within the firm. We believe this is best achieved
More informationThe Tribeca Group at Morgan Stanley Smith Barney
The Tribeca Group at Morgan Stanley Smith Barney November, 2011 Morgan Stanley Smith Barney LLC One Penn Plaza, 43rd Floor New York, NY 10119 212-643-5713 Scott McCoy Director Portfolio Manager Yunjin
More informationthepeaceriverteam
www.morganstanleyfa.com/ thepeaceriverteam We Are All About You Selecting the right financial advisor is an important first step to securing your family s financial future. You want an advisor with experience
More informationForm ADV Part 2B: Supplemental Information for. Donald P. Gould. March 23, 2011
Item 1 Cover Page Gould Asset Management LLC 341 West First Street, Suite 200 Claremont, CA 91711 (909) 445-1291 www.gouldasset.com Form ADV Part 2B: Supplemental Information for Donald P. Gould March
More informationBrookfield Investment Partners, LLC 330 South Executive Drive #307 Brookfield, WI July 29, 2011
Item 1- Cover Page Michael J. Steppe William H. Bergner Lora J. Olenchek Brookfield Investment Partners, LLC 330 South Executive Drive #307 Brookfield, WI 53005 262-785-6751 July 29, 2011 This Brochure
More informationFixed Income Sales and Trading: Current Issues Tuesday, May 22 11:15 a.m. 12:15 p.m.
Fixed Income Sales and Trading: Current Issues Tuesday, May 22 11:15 a.m. 12:15 p.m. This session discusses the current trends in, and their potential implications for, the fixed income markets and how
More informationCynthia Axelrod - Assistant Professor of Practice, Finance Department, Fox School of Business Temple University
Cynthia Axelrod - Assistant Professor of Practice, Finance Department, Fox School of Business Temple University Cindy Axelrod recently joined the Fox School of Business as an Assistant Professor in the
More informationPART 2B FORM ADV. Updated November 4, 2015 LASALLE INVESTMENT MANAGEMENT, INC. 333 WEST WACKER DRIVE, SUITE 2300 CHICAGO, ILLINOIS 60606
PART 2B FORM ADV Updated November 4, 2015 LASALLE INVESTMENT MANAGEMENT, INC. 333 WEST WACKER DRIVE, SUITE 2300 CHICAGO, ILLINOIS 60606 +1 (312) 897-4000 www.lasalle.com This brochure provides information
More informationCFA Society Cleveland Mock Exam
Page 1 of 6 April 17, 2014 Join us for many exciting events coming up at The City Club... April 23rd, Joe Becker, Invesco Powershares, Fixed Income Market Strategy April 30th, Robert Doll, Nuveen Asset
More informationStellar Capital Management, LLC
Stellar Capital Management, LLC 2200 East Camelback Road, Suite 130 Phoenix, Arizona 85016 602.778.0307 Form ADV Part 2B The Brochure Supplement March 30, 2017 This Brochure Supplement provides information
More informationForm ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team
Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team Team Members: C. Troy Shaver, Jr. Peter G. Gerry III James Haley, CFP Alan E. Johnson, CFP
More informationForm ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team
Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team Team Members: C. Troy Shaver, Jr. John C. Cheshire III Peter G. Gerry III James Haley, CFP
More informationUNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C FORM 8-K
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date
More informationOutside Business Activities Reviews, Approval and Monitoring Wednesday, November 11 3:30 p.m. 4:30 p.m.
Outside Business Activities Reviews, Approval and Monitoring Wednesday, November 11 3:30 p.m. 4:30 p.m. Join industry practitioners and FINRA staff as they cover the key requirements of the outside business
More informationNASP-ATLANTA Chapter Officer Candidates
OFFICIAL BALLOT NASP ATLANTA 2017-2019 CHAPTER OFFICERS ELECTION Voting for the NASP-Atlanta 2017-2019 Chapter Officers will be done completely on-line. Online ballot forms are due by 11:00 a.m. on November
More informationForm ADV Part 2B. Brochure Supplement. James B. Lebenthal. 521 Fifth Ave., 15 th Floor. New York, NY
Form ADV Part 2B Brochure Supplement Alexandra Lebenthal 212 490 1682 James B. Lebenthal 212 490 1947 Michelle M. Smith 212 697 3689 John B. Carey 212 490 1970 Gregory W. Serbe 212 697 3659 Corinne Smith
More informationSpeaker. Norihiro Takahashi. Daisuke Hamaguchi. Philippe Desfossés
Speaker Norihiro Takahashi President, Government Pension Investment Fund Mr. Norihiro Takahashi is President of Government Pension Investment Fund (GPIF) since April 2016. Prior to his role at GPIF, he
More informationThe Texas Capitol Group at Morgan Stanley Smith Barney. When the Details Matter
The Texas Capitol Group at Morgan Stanley Smith Barney When the Details Matter The Texas Capitol Group at Morgan Stanley Smith Barney will be the wealth advisory group of choice recognized for its exceptional
More informationSeth Eric Shalov. MAI Capital Management, LLC. Form ADV, Part 2B Brochure Supplement
Seth Eric Shalov MAI Capital Management, LLC 1360 East 9th St, Ste 1100 Cleveland, OH 44114-1782 (216) 920-4800 Form ADV, Part 2B Brochure Supplement January 1, 2016 This brochure supplement provides information
More informationThe Clark McKinney Tramontana Group at Morgan Stanley. Smart Solutions. Lasting Relationships.
The Clark McKinney Tramontana Group at Morgan Stanley Smart Solutions. Lasting Relationships. Some Things Are Meant to Last We believe something as important as wealth management should be a positive,
More informationDean Capital Management, LLC
Dean Capital Management, LLC 7400 West 130th St., Suite 350 Overland Park, KS 66213 Telephone: (913) 944-4444 Web Address: www.deancapmgmt.com March 6, 2017 Part 2B of Form ADV: Firm Brochure Supplement
More informationBrief Bios Candidates for Vice President for Administration and Finance
Brief Bios Candidates for Vice President for Administration and Finance Phyllis Carter, MBA, CPA Phyllis Carter is a seasoned executive with a professional legacy of dynamic leadership, strategic partnerships
More informationBlake Baird Chairman & Chief Executive Officer Terreno Realty Corp
Blake Baird Chairman & Chief Executive Officer Terreno Realty Corp Prior to co-founding Terreno Realty Corporation, Blake was President and a Director of AMB Property Corporation and Chairman of its Investment
More informationForm ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team
Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team Team Members: C. Troy Shaver, Jr. John C. Cheshire, III Peter G. Gerry, III James Haley, CFP
More informationEBRI-ERF POLICY FORUM
EBRI-ERF POLICY FORUM #83 20 F Street, NW Conference Center 20 F Street, NW Suite 1000 Washington, DC 20001 Thursday, May 10, 2018 8:30 a.m. 12:00 p.m. Breakfast at 8:00 a.m. Speakers & Discussants: Retirement,
More informationCandidate Profile Form District Committee Election Joel Glasco
Candidate Profile Form District Committee Election Joel Glasco Candidate Name: Title: Managing Director - Market Manager Firm: Wells Fargo Adviso Candidate Biography and Personal Statement Candidate Biography
More informationThe Yates Group at Morgan Stanley
The Yates Group at Morgan Stanley 100 N. Main St. Ste. 2500 Winston Salem, NC 27101 800-334-4401 / MAIN 800-334-4401 / TOLL-FREE 336-721-4940 / FAX www.morganstanleyfa.com/theyatesgroup The Yates Group
More informationSmith A. Brownlie III, CPA
Brownlie & Braden, LLC, provides services specifically addressing the needs of individuals and families that have accumulated significant wealth. Our approach to providing these services is sensitive to
More informationABOUT THE SPEAKER. J. Roderick Heller, III
ABOUT THE SPEAKER J. Roderick Heller, III J. Roderick Heller, III, is President and Chief Executive Officer of the National Corporation for Housing Partnerships, a Congressionally authorized entity created
More informationBAIRD S INTERNSHIP PROGRAM Start in Good Company
BAIRD S INTERNSHIP PROGRAM Start in Good Company Start here. Baird s Internship Program is designed to foster skills that help prepare interns for success. In addition to a mentoring program, which allows
More informationBAIRD S INTERNSHIP PROGRAM. Start in Good Company
BAIRD S INTERNSHIP PROGRAM Start in Good Company Start here. Baird s Internship Program is designed to foster skills that help prepare interns for success. In addition to a mentoring program, which allows
More informationEY s ninth annual Mutual Fund Seminar
EY s ninth annual Mutual Fund Seminar Advancing insight 15 June 2017 ey.com/mutualfundseminar Program and presentation Welcome to EY s Mutual Fund Seminar Advancing insight We are delighted to welcome
More informationFirst Southern Securities, LLC Credentials
First Southern Securities, LLC Credentials Table of Contents SECTION A SECTION B SECTION C SECTION D Overview of First Southern Securities, LLC......3 Services Offered...6 Trading Volume by Credit 1. Municipal...11
More informationThe Fortress Group at Morgan Stanley
The Fortress Group at Morgan Stanley 1 Penn Plaza 43rd Floor, New York, NY 10119 212-643-5781 / Main 800-223-4565 / Toll-Free 212-714-2546 / fax www.morganstanleyfa.com/thefortressgroup lane.h.katz@ms.com
More informationSpeaker Biographies. Carol Bergeron President, Bergeron Associates
Speaker Biographies Carol Bergeron President, Bergeron Associates Carol is a human resources and organizational performance consultant, trainer and coach. She has 25+ years of experience in the creation
More informationPeter B. Loring, CFA. Gilbert M. Roddy, Jr., CFA
Peter B. Loring, CFA Prior to joining the office in 1973, Peter Loring had six years of experience managing investment portfolios for a securities brokerage firm. He is a graduate of the Darden School
More informationThe Patterson Group at Morgan Stanley Smith Barney
The Patterson Group at Morgan Stanley Smith Barney 1241 JOHN Q HAMMONS DRIVE MADISON, WI 53717 608-829-4338 / MAIN As the financial world becomes more complex and investment choices multiply, careful planning
More informationThe Market Street Group at Morgan Stanley
The Market Street Group at Morgan Stanley 505 Market Street Suite 300, West Des Moines, IA 50266 515-224-5529 / MAIN 515-224-5559 / FAX www.morganstanleyfa.com/ marketstreetgroup/ For our team, retirement
More informationThe Complexities of Mixed Use
The Complexities of Mixed Use 2:30 pm 5:00 pm Thursday, October 15, 2015 Piper Auditorium, Gund Hall MDes Real Estate & the Built Environment Harvard University Graduate School of Design 48 Quincy Street,
More informationThe Wood Group at Morgan Stanley. Understanding Your Vision, Earning Your Trust
The Wood Group at Morgan Stanley Understanding Your Vision, Earning Your Trust WHY THE WOOD GROUP The Culture of Family is in Our DNA Our Team was formed to provide our Clients and their Families with
More informationSouth Carolina Independent Colleges and Universities Board of Trustees Class of 2020 September 1, 2017 to August 31, 2020
LaJoia Broughton Director of External Communications Retirement System Investment Committee Columbia LaJoia was recently named Director of External Communications for South Carolina Retirement System Investment
More informationORANGE COUNTY EMPLOYEES RETIREMENT SYSTEM MEMORANDUM
ORANGE COUNTY EMPLOYEES RETIREMENT SYSTEM MEMORANDUM DATE: July 8, 2015 TO: Members, Board of Retirement FROM: Steve Delaney, Chief Executive Officer SUBJECT: STRATEGIC PLANNING WORKSHOP AGENDA FISCAL
More informationWall Street Women s Alliance
Wall Street Women s Alliance Negotiation: Is it a Man s Game? Sponsored by Guest Speaker: Natalie Reynolds, Founder of advantagespring Monday, February 23, 2015 Agenda One Wall Street 49th Floor 4:00 4:15
More informationAdditional information about Turner Investments, L.P. is available on the SEC s website at
Form ADV Part 2B Brochure Supplement John P. Fraunces, Jr. Christopher K. McHugh Peter J. Niedland, CFA Jason D. Schrotberger, CFA Scott C. Swickard, CFA Mark D. Turner Robert E. Turner, CFA Turner Investments,
More informationTHE REGIONAL ECONOMIC BRIEFING FEDERAL RESERVE BANK OF NEW YORK SPEAKERS BIOGRAPHIES AT THE 33 LIBERTY STREET NEW YORK, NY
THE REGIONAL ECONOMIC BRIEFING AT THE FEDERAL RESERVE BANK OF NEW YORK SPEAKERS BIOGRAPHIES FEDERAL RESERVE BANK OF NEW YORK 33 LIBERTY STREET NEW YORK, NY 10045 WWW.NEWYORKFED.ORG THURSDAY, JULY 22, 2010
More informationMr. Smith Chairman, President, and Chief Executive Officer Southern Bank
Mr. Smith has been chairman, president, and chief executive officer of Southern Bank since 1992. Mr. Smith has 38 years of banking experience and served as president of Alabama Bank from 1980 to 1991.
More informationRonald Blue & Co., Thrivent Trust Co. join and expand as nationwide trust company
FOR IMMEDIATE RELEASE FOR MORE INFORMATION CONTACT: August 2, 2017 Ty Mays @ (770) 256-8710 tmays@paragoncommunications.net Ronald Blue & Co., Thrivent Trust Co. join and expand as nationwide trust company
More informationElections to the Board of Directors
Elections to the Board of Directors CV of Mr Hugh Scott-Barrett Hugh Scott-Barrett has been a member of the Board of Directors of GAM Holding AG since 2009 and was appointed chairman of the Board of Directors
More informationJoin us for many exciting events coming up at The City Club...
Page 1 of 5 March 31st, 2014 Join us for many exciting events coming up at The City Club... April 9th, Elizabeth Allen, Federal Express, Company Update April 16th, Joe Miskel, F-Squared April 23rd, Joe
More informationOur Mission. About Morgan Stanley Wealth Management
Our Mission Our Approach About Morgan Stanley Wealth Management As an affluent investor, you seek greater simplicity, customized strategies and a high level of service. As your committed financial advisors,
More informationSteve Hamilton, J.D., CLU, ChFC Director, Advanced Consulting Group Nationwide
Steve Hamilton, J.D., CLU, ChFC Director, Advanced Consulting Group Nationwide Email: hamils25@nationwide.com Direct: 614.249.0935 Steve has over 30 years of experience in the financial services industry.
More informationSPONSORED BY WORLD GOLD TRUST SERVICES, LLC
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event
More informationThe Century Group at Morgan Stanley Smith Barney
The Century Group at Morgan Stanley Smith Barney 2121 Avenue of the Stars Los Angeles, CA 90067 310-551-9400 / MAIN 800-451-6533 / TOLL-FREE fa.morganstanleyindividual.com/thecenturygroup The Century Group
More informationDARRELL BEAVERS Housing Development Team Leader, Oklahoma Housing Finance Agency (405)
DARRELL BEAVERS Housing Development Team Leader, Oklahoma Housing Finance Agency (405)419-8261 darrell.beavers@ohfa.org Darrell Beavers has administrative responsibility for 8 of the agency s 9 affordable
More informationEnayat Qasimi. Partner. Experience M Street, NW Suite 450N Washington, DC Phone: Fax:
2018 Whiteford, Taylor & Preston LLP Enayat Qasimi Partner 1800 M Street, NW Suite 450N Washington, DC 20036 Phone: 202.659.6792 Fax: 202.327.6174 Email: eqasimi@wtplaw.com Experience Mr. Qasimi?s practice
More informationWILSON SONSINI GOODRICH & ROSATI
WILSON SONSINI GOODRICH & ROSATI IS PLEASED TO ANNOUNCE THAT THE FOLLOWING ATTORNEYS HAVE BECOME PARTNERS AT THE FIRM. Troy Foster Corporate & Securities, Palo Alto Jessica L. Margolis Litigation, New
More informationCHC Advisory Board. Commonwealth Honors College Advisory Board. Published on Commonwealth Honors College (
Published on Commonwealth Honors College (https://www.honors.umass.edu) Home > Printer-friendly PDF > Alumni Advisory Board CHC Advisory Board The Commonwealth Honors College Advisory Board is composed
More informationThe Rock Group at Morgan Stanley Smith Barney. Managing Your Wealth, Growing Our Relationship
The Rock Group at Morgan Stanley Smith Barney Managing Your Wealth, Growing Our Relationship Change is the law of life. And those who look only to the past or present are certain to miss the future. John
More informationThe Spectrum Group at Morgan Stanley
The Spectrum Group at Morgan Stanley 20807 Biscayne Blvd 6th Floor, Aventura, FL 33180 305-937-7100 / MAIN 800-736-4554 / TOLL-FREE 305-937-7136 / FAX www.morganstanleyfa.com/thespectrumgroup The Spectrum
More informationBiographies THEO A. KOLOKOTRONES JOEL P. FRIED ALFRED W. MORDECAI M. MOHSIN ANSARI
THEO A. KOLOKOTRONES Chairman, Director, and Portfolio Manager, Co-Chief Executive Officer and Portfolio Manager, Mr. Kolokotrones co-founded in September 1983. He spent six years at Capital Research Company,
More informationLEVI STRAUSS & CO. (Exact name of registrant as specified in its charter)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event
More informationThe dos Santos Group at Morgan Stanley
The dos Santos Group at Morgan Stanley 399 Park Avenue 12th Floor, New York, NY 10022 212-893-6310 / MAIN 800-646-6301 / TOLL-FREE 646-862-9748 / FAX www.morganstanleyfa.com/dossantosgroupsb dossantosgroup@morganstanley.com
More informationMark-Up Disclosure Requirements Thursday, September 14 2:15 p.m. 3:15 p.m.
Mark-Up Disclosure Requirements Thursday, September 14 2:15 p.m. 3:15 p.m. This session focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the new rule,
More informationKBB Wealth Management at Morgan Stanley Smith Barney
KBB Wealth Management at Morgan Stanley Smith Barney 601 Union Street Suite 5200, Seattle, Washington 98101 206-628-4862 / Main 800-426-7837 / Toll-Free 206-628-4425 / fax fa.morganstanleyindividual.com/
More informationRevenue of $100 million to $1 billion and EBITDA in excess of $20 million
NEWSTONE CAPITAL PARTNERS, LLC invests in mezzanine securities of larger middle-market companies involved in leveraged buyouts, recapitalizations, and later-stage growth financings. For the last 20 years,
More informationForm ADV Part 2B November 21, 2018
PNC Capital Advisors LLC PNC Harbor Place One East Pratt Street Fifth Floor - East Baltimore, MD 21202 www.pnccapitaladvisors.com Form ADV Part 2B November 21, 2018 Municipal Fixed Income Management Team
More informationDeloitte s 2017 Real Estate Industry Update Optimizing opportunity in an ever-changing environment
Deloitte s 2017 Real Estate Industry Update Optimizing opportunity in an ever-changing environment Chicago, IL October 3, 2017 Welcome to Deloitte s 2017 Real Estate Industry Update The pace of disruption
More information