GARY GOLDBERG PLANNING SERVICES, INC.
|
|
|
- Byron Hodge
- 5 years ago
- Views:
Transcription
1 GARY GOLDBERG PLANNING SERVICES, INC. BROCHURE SUPPLEMENT JULY 30, 2013 FORM ADV PART 2B This brochure supplement provides information about the named individuals that supplements the Gary Goldberg Planning Services, Inc. brochure. You should have received a copy of that brochure. If you did not receive the brochure or if you have any questions about the contents of this supplement, please contact us at: Gary Goldberg Planning Services, Inc. 75 Montebello Road Suffern, NY info@garygoldberg.com (845) For additional information visit our web Site: Investment Committee Members: Gary M. Goldberg, CEO/Chairman/Investment Committee Oliver Pursche, President/Investment Committee/Director William J. Krivicich, CFA, Vice President/Chief Investment Officer/Investment Committee Richard T. Kersting, Senior Vice President/Investment Committee Peter J.D. Dedel, Vice President/Portfolio Manager/ROSFP/Investment Committee Investment Consultants: Amit Chopra, Senior Investment Consultant Thomas I. Cortese, Investment Consultant Christopher R. Hanly, Investment Consultant James V. Loehle, Vice President/Senior Investment Consultant Tyler J. Palumbo, Associate Investment Consultant Heidi Scali, Associate Investment Consultant William Raymond Stine, Vice President, Investment Consultant Michael Valenti, Associate Investment Consultant The information in this brochure has not been approved or verified by the United States Securities and Exchange Commission or by any state securities authority. The use of the term Registered Investment Advisor does not imply a certain level of skill or training. Additional information about Gary Goldberg Planning Services, Inc. also is available on the SEC s website at
2 Page 2 Year of Birth 1940 Gary M. Goldberg CEO/Chairman/Investment Committee Education BA Liberal Arts, Bard College Attended Brooklyn Law School Business Background Gary Goldberg Financial Services 1972 to Present Gary Goldberg & Co., Inc. (GGCo) member FINRA & SIPC CEO, Chairman, Founder Montebello Partners, LLC, (MPLLC) a Registered Investment Advisory Firm Member. MPLLC manages a mutual fund knows as the GMG Defensive Beta Fund (MPDAX) which is used in most or all Gary Goldberg Planning Services programs. Clients will pay and MPLLC will receive, a separate management fee from GMG Defensive Beta Fund and this professional will be entitled to payment therefrom.
3 Page 3 Year of Birth 1970 Oliver Pursche President/Investment Committee/Director Education BA in Business Communications from Bentley College Attended the Wharton School of Business at the University of Pennsylvania Business Background Gary Goldberg Financial Services 2005 to Present Gary Goldberg & Co., Inc. member FINRA & SIPC President Montebello Partners, LLC, a Registered Investment Advisory Firm Managing Member MPLLC manages a mutual fund knows as the GMG Defensive Beta Fund (MPDAX) which is used in most or all Gary Goldberg Planning Services programs. Clients will pay and MPLLC will receive, a separate management fee from GMG Defensive Beta Fund and this professional will be entitled to payment therefrom. This professional is supervised by Gary M. Goldberg, CEO. He can be reached at
4 Page 4 Year of Birth 1968 William J. Krivicich, CFA Vice President/Chief Investment Officer/Investment Committee Education BS in Finance from SUNY New Paltz Business Background Gary Goldberg Financial Services 1997 to Present Gary Goldberg & Co., Inc. member FINRA & SIPC Vice President Montebello Partners, LLC, a Registered Investment Advisory Firm Member MPLLC manages a mutual fund knows as the GMG Defensive Beta Fund (MPDAX) which is used in most or all Gary Goldberg Planning Services programs. Clients will pay and MPLLC will receive, a separate management fee from GMG Defensive Beta Fund and this professional will be entitled to payment therefrom.
5 Page 5 Year of Birth 1965 Richard T. Kersting Senior Vice President/Investment Committee Education BS in Finance and Economics from SUNY Albany Business Background Gary Goldberg Financial Services 2005 to Present Gary Goldberg & Co., Inc. member FINRA & SIPC Senior Vice President Montebello Partners, LLC, a Registered Investment Advisory Firm Member MPLLC manages a mutual fund knows as the GMG Defensive Beta Fund (MPDAX) which is used in most or all Gary Goldberg Planning Services programs. Clients will pay and MPLLC will receive, a separate management fee from GMG Defensive Beta Fund and this professional will be entitled to payment therefrom.
6 Page 6 Peter J.D. Dedel Vice President/Portfolio Manager/ROSFP/Investment Committee Year of Birth 1948 Education Bachelor degree from Lehigh University Attended Wesleyan University Earned two graduate degrees from Columbia University. Business Background Gary Goldberg Financial Services 1979 to Present Gary Goldberg & Co., Inc. member FINRA & SIPC Head Trader
7 Page 7 Year of Birth 1985 Amit Chopra Investment Consultant Education Attended SUNY Plattsburgh Business Background Gary Goldberg Financial Services 2006 Present
8 Page 8 Thomas I. Cortese Senior Investment Consultant Year of Birth 1947 Education BS in Business Administration from Bethel College MBA from Fairleigh Dickinson University Business Background Gary Goldberg Financial Services 2003 to Present
9 Page 9 Year of Birth 1985 Christopher R. Hanly Associate Investment Consultant Education Attended Fordham University BA in Business Administration from the Frank G. Zarb School of Business at Hofstra University Business Background Citigroup Derivative Intern 2006 to 2007 Wells Fargo Credit Manager 2008 to 2009 Kollins Communications Client Service Rep 2009 to 2010 Law Firm of Kevin Hanly Paralegal 2009 to 2010 Gary Goldberg Financial Services 2010 to Present
10 Page 10 James V. Loehle Vice President/Senior Investment Consultant Year of Birth 1957 Education Attended Adelphi University Business Administration AA in Criminal Justice from Nassau Community College Business Background Gary Goldberg Financial Services 2007 to Present
11 Page 11 Year of Birth 1985 Tyler J. Palumbo Associate Investment Consultant Education B.S.B.A. degreed from Bucknell University, Business Management Major/Economics Minor Business Background Susquahanna International Group, LLP Operations Associate Stock loan/equity financing desk 2007 to 2010 Gary Goldberg Financial Services Investment Consultant 2010 to Present
12 Page 12 Year of Birth 1967 Heidi Scali Associate Investment Consultant Education BS in Finance from Syracuse University Business Background Gary Goldberg Financial Services, Associate Investment Consultant 2013 to Present
13 Page 13 William Raymond Stine Vice President, Investment Consultant Year of Birth 1923 Education BS in Architectural Engineering from Ohio University Attended University of Virginia Executive Management Program Served as a navigator on B-17 Bomber during WWII Business Background Gary Goldberg Financial Services 1988 to Present
14 Page 14 Year of Birth 1977 Michael Valenti Associate Investment Consultant Education BA in Economics from Vassar College Business Background Gary Goldberg Financial Services, Associate Investment Consultant 2013 to Present
Form 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
Part 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
Additional 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,
GRAY EQUITY MANAGEMENT LLC 150 ROYALL STREET, SUITE 102 CANTON, MA (781) (781)
GRAY EQUITY MANAGEMENT LLC 150 ROYALL STREET, SUITE 102 CANTON, MA 02021 (781) 407-0303 www.grayequitymanagement.com This brochure provides information about Daniel Romano, Paul Gerry, Jr., James Branch
Form 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
Taxable 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
Seth 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
Dean 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
Experienced. 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.
* 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,
Supplement 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
Springfield Office 910 E. St. Louis St., Suite 200 P.O. Box 2202 Springfield MO,
October 1, 2013 Springfield Office 910 E. St. Louis St., Suite 200 P.O. Box 2202 Springfield MO, 65801-2202 www.bkdwa.com Advisors presented in this supplement: Rhonda Christopher Michael Blumreich Leia
BROCHURE 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
Ask 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
Spencer McGowan. McGowan Group Asset Management, Inc. 200 Crescent Court, Suite #657 Dallas, TX 75201
Item 1: Cover Page for Part 2B of Form ADV: Brochure Supplement March 2014 Spencer McGowan McGowan Group Asset Management, Inc. 200 Crescent Court, Suite #657 Dallas, TX 75201 Firm Contact: Bobby D. Boyce,
The 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
Trevor Holsinger Aspen Wealth Management, Inc.
Item 1- Cover Page Trevor Holsinger Aspen Wealth Management, Inc. 7300 College Blvd, Suite 306 Overland Park, KS 66210 (913) 491-0500 This brochure supplement provides information about Trevor Holsinger
Form 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
Form 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
Our 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,
Additional information about Christopher Wootton is available on the SEC s Web site at
Christopher Wootton ChFC CRD #5428911 Common Wealth Centre 2040 North Loop 336W, Suite 125 Conroe, TX 77304 This Brochure Supplement provides information about Christopher Wootton that supplements the
First 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
The 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
Form 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
Stellar 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
9200 Indian Creek Parkway Building 9 Suite 600 Overland Park, Kansas ADV PART II B
9200 Indian Creek Parkway Building 9 Suite 600 Overland Park, Kansas 66210 913-451-2254 ADV PART II B This brochure supplement contains information about the members named on this page. You have received
Emerging FinTech Trends (FinTech Track) Tuesday, May 22 10:00 a.m. 11:00 a.m.
Emerging FinTech Trends (FinTech Track) Tuesday, May 22 10:00 a.m. 11:00 a.m. Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are
Understanding the Basics of the Examination Process (B2BC) Tuesday, May 16 11:15 a.m. 12:15 p.m.
Understanding the Basics of the Examination Process (B2BC) Tuesday, May 16 11:15 a.m. 12:15 p.m. This Back to Basics Compliance session focuses on what you can expect during a FINRA cycle examination.
Revenue 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,
FORM 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
Early life:
Early life: 1935-1952 Frank Gustave Zarb was born in Brooklyn, NY, on February 17, 1935, to parents Gustave and Rosemary Zarb. Photograph of his parents c. 1933. Frank with his sister, his mother, and
Steve 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.
Rebecca 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
Form 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
David Vurgait. StateTrust Capital, LLC. 800 Brickell Avenue, Suite 100 Miami, Florida
David Vurgait StateTrust Capital, LLC 800 Brickell Avenue, Suite 100 Miami, Florida 33131 305-921-8100 February 8, 2018 This Brochure Supplement provides information about David Vurgait that supplements
The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit Monday, May 21 3:00 p.m. 4:00 p.m.
The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit Monday, May 21 3:00 p.m. 4:00 p.m. Compliance and business supervision roles are becoming difficult to differentiate.
THE 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
Candidate Profile Form District Committee Election Kelly Anderson
Kelly Anderson Compliance Director RBC Capital Marke Kelly Anderson is Compliance Director at RBC Wealth Management, a division of RBC Capital Markets, LLC. Since 2004 she has been responsible for the
Morowitz Gaming Advisors, LLC presents GAMES. Gaming Management Executive Series
Morowitz Gaming Advisors, LLC presents GAMES Gaming Management Executive Series Detailed Instructor Biographies September 2008 through June 2009 Instructors for Morowitz Gaming Advisors, LLC Cory Morowitz,
The 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
PART 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
Case Document 326 Filed in TXSB on 04/03/17 Page 1 of 5
Case 17-30262 Document 326 Filed in TXSB on 04/03/17 Page 1 of 5 IN THE UNITED STATES BANKRUPTCY COURT FOR THE SOUTHERN DISTRICT OF TEXAS HOUSTON DIVISION In re: Chapter 11 MEMORIAL PRODUCTION Case No.
Zak Investment Management Company, LLC. Brochure Supplement Dated April 26, 2011
Item 1 Cover Page A. William Nathan Zak Zak Investment Management Company, LLC Brochure Supplement Dated April 26, 2011 B. Contact: William Nathan Zak, Chief Compliance Officer 229 West Bute Street, Suite
Revenue 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,
Cynthia 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
PI Strategic Investment Research Group
PI Strategic Investment Research Group Investment Research James G. Russell, CFA, Senior Vice President and Director, Strategic Investment Research Group Mr. Russell joined Prudential Investments in January
Management Bios. Michael P. Norcio, Chairman and CEO
Michael P. Norcio, Chairman and CEO Michael P. Norcio is the Chairman and Chief Executive Officer of MAR, Incorporated (MAR), headquartered in Rockville, Maryland. MAR, Incorporated is a professional services
The 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
The 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
Our 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.
Lessons Learned by Experienced CEOs of Broker-Dealers Thursday, November 12 10:15 a.m. 11:15 a.m.
Lessons Learned by Experienced CEOs of Broker-Dealers Thursday, November 12 10:15 a.m. 11:15 a.m. During this session, FINRA moderates a discussion with seasoned small firm business owners about the common
Form ADV Part 2B Individual Disclosure Brochure. Alyssa Rakovich AIF
This brochure supplement provides information about Alyssa Rakovich that supplements the NAMCOA- Naples Asset Management Co., LLC brochure. You should have received a copy of that brochure. Please contact
Ask FINRA Staff Wednesday, December 2 4:30 p.m. 5:30 p.m.
Ask FINRA Staff Wednesday, December 2 4:30 p.m. 5:30 p.m. FINRA senior staff provides updates on regulatory key issues, enforcement and hot topics facing the industry. They address questions relating to
Emerging FinTech Trends (FinTech Track) Monday, May 21 3:00 p.m. 4:00 p.m.
Emerging FinTech Trends (FinTech Track) Monday, May 21 3:00 p.m. 4:00 p.m. Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are disrupting
David R. Bell. Edward C. Bernard. Barbara Bittick. Jerome A. Clark, CFA
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
The Kaser Mechling Group at Morgan Stanley Smith Barney
The Kaser Mechling Group at Morgan Stanley Smith Barney 7311 Crossleigh Court Suite 106, Toledo, OH 43617 419-842-6557 / MAIN 877-834-3669 / TOLL-FREE 419-754-2507 / FAX www.morganstanley.com/fa/theka
Additional information about Thomas Peter Limberger is available on the SEC s website at
Form ADV Part 2B Item 1 Cover Page A. Thomas Peter Limberger CRD # 6803183 SilverArrow Capital Americas, LLC ADV Part 2B, Brochure Supplement Dated: August 27, 2018 Contact: Robert Schimanko, Chief Compliance
Supervision of Outside Business Activities (OBAs) and Private Securities Transactions Wednesday, November 9 3:30 p.m. 4:30 p.m.
Supervision of Outside Business Activities (OBAs) and Private Securities Transactions Wednesday, November 9 3:30 p.m. 4:30 p.m. Outside business activities (OBAs) and private securities transactions (PSTs)
Design Thinking Workshop Friday, October 6 11:00 a.m. 12:00 p.m.
Design Thinking Workshop Friday, October 6 11:00 a.m. 12:00 p.m. Christine Wheatley, Design Strategist at Fidelity Labs, leads this dynamic session on using design thinking principles to create more effective
The 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
Fixed 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
CUMBERLAND ADVISORS ADV PART 2 B Revised 3/1/2017 Table of Contents
CUMBERLAND ADVISORS Revised 3/1/2017 Table of Contents Page # David R. Kotok 2 John R. Mousseau 4 Robert Eisenbeis 6 William Witherell 8 Michael McNiven 10 Matthew C. McAleer 12 Robert R. Malvenda 14 Shaun
Membership Application Program (MAP) Wednesday, May 23 9:45 a.m. 10:45 a.m.
Membership Application Program (MAP) Wednesday, May 23 9:45 a.m. 10:45 a.m. Attend this session to learn about FINRA s Membership Application Program (MAP). Discussions include an overview of the application
Mark-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,
Outside 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
The Sanborn Group at Morgan Stanley
The Sanborn Group at Morgan Stanley 5051 Westheimer Rd. Suite 2100 Houston, TX 77056 713-966-2159 / MAIN 800-666-6069 / TOLL-FREE 713-966-6808 / FAX www.morganstanleyfa.com/thesanborngroup richard.h.sanborn@ms.com
UNIVEST CORPORATION OF PENNSYLVANIA (Exact name of registrant as specified in its charter)
Section 1: 425 (8-K) 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
The Princi Group at Morgan Stanley
The Princi Group at Morgan Stanley 53 State Street 39th Floor, Boston, MA 02109 617-589-3229 / MAIN 617-830-9782 / FAX www.morganstanleyfa.com/ theprincigroup peter.b.princi@morganstanley.com Our practice
DISCLOSURE 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
PROGRAM ANNOUNCEMENT
The Advocacy Institute Is Pleased to Present PROGRAM ANNOUNCEMENT 2018 NEW JERSEY BRIDGE THE GAP SYMPOSIUM October 24, 2018 8:45 a.m. to 5:15 p.m. 1 Richard J. Hughes Justice Complex Fourth Floor Conference
LISA ROTH MONAHAN & ROTH, LLC 630 FIRST AVENUE SAN DIEGO, CA 92101
LISA ROTH MONAHAN & ROTH, LLC 630 FIRST AVENUE SAN DIEGO, CA 92101 BACKGROUND Lisa Roth is the of Monahan & Roth, LLC, a regulatory compliance company providing services including professional consultations,
Graystone Consulting. Michael L. Engel, CFA, CIMA Institutional Consulting Director 1050 Connecticut Avenue, N.W. Suite 800 Washington, DC 20036
Graystone Consulting Elaina S. Spilove, CIMA Institutional Consulting Director 1650 Market Street, 42 nd Floor Philadelphia, PA 19103 Michael L. Engel, CFA, CIMA Institutional Consulting Director 1050
Blake 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
PRESENTERS >>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>
PRESENTERS >>>>>>>>>> Paula Rosput Reynolds President and Chief Executive Officer Mike Hughes Executive Vice President Insurance Operations Paula Rosput Reynolds is president and chief executive officer
MAY 2017 WGI EMERGING MARKETS
MAY 2017 WGI EMERGING MARKETS THE WESTWOOD ADVANTAGE Westwood Global Investments ( WGI ) was established with the purpose of providing attractive long-term returns in emerging markets. Through patient,
Plenary 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
Success 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
Expert Panel. Moderator. Global Managing Partner, Supply Chain & Operations Officers Practice. Senior Manager, Payment Solutions Operations.
Expert Panel Brad Berke Manisha Dhakad Marc Hochman Heidrick & Struggles Global Managing Partner, Supply Chain & Operations Officers Practice Google Senior Manager, Payment Solutions Operations A.T. Kearney
The Promise and Prospect of a new Fiduciary Environment
YOUR GUIDE TO GLOBAL FIDUCIARY INSIGHTS The Promise and Prospect of a new Fiduciary Environment Blaine Aikin & Kristina Fausti Topics Proposals for a fiduciary standard Proposals for regulatory oversight
Partner. Stanford Law Review, Notes
david.siegal@haynesboone.com PRACTICES: Litigation, Government Enforcement and Litigation, SEC Enforcement, Investment Management, Regulatory Compliance, Securities and Shareholder Litigation, Foreign
Part 2B of Form ADV Brochure Supplement
Item 1 Cover Page Part 2B of Form ADV Brochure Supplement Joshua J. Honeycutt March 9, 2018 MAR VISTA INVESTMENT PARTNERS, LLC 11150 Santa Monica Boulevard, Suite 320 Los Angeles, CA 90025 (310) 917-2800
WILSON 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
FORM ADV PART 2B BROCHURE SUPPLEMENT JULY 1, 2018 JOHN HEILNER
FORM ADV PART 2B BROCHURE SUPPLEMENT JULY 1, 2018 JOHN HEILNER CHIEF INVESTMENT OFFICER INVESTMENT ADVISOR REPRESENTATIVE Phone: (800) 825-0616 Email: jheilner@wtwealthmanagement.com Address: 7161 E. Rancho
Huffman - Weber Group at Morgan Stanley Smith Barney. Success on your Terms Personalized Financial Strategies
Huffman - Weber Group at Morgan Stanley Smith Barney Success on your Terms Personalized Financial Strategies 700 Corporate Park Drive Suite 500, Clayton, MO 63105 314-889-9802 / MAIN 866-646-4644 / TOLL-FREE
The TPC Group at Morgan Stanley Smith Barney
The TPC Group at Morgan Stanley Smith Barney 53 State Street Exchange Place, 39th Floor, Boston, Massachusetts 02109 800-752-2678 / Main 617-227-9070 / fax fa.morganstanleyindividual.com/tpcgroup robert.m.panessiti@mssb.com
THE 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 MONDAY, FEBRUARY 14,
The Princi Group at Morgan Stanley
The Princi Group at Morgan Stanley 53 State Street 39th Floor, Boston, MA 02109 617-589-3500 / MAIN 800-752-2678 / TOLL-FREE 617-227-9070 / FAX peter.b.princi@morganstanley.com Our practice offers the
Smith 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
The Rast Group at Morgan Stanley Smith Barney. Principle Driven Wealth Management
The Rast Group at Morgan Stanley Smith Barney Principle Driven Wealth Management 1501 Main Street Suite 715, Columbia, SC 29201 803-251-3300 / MAIN 800-786-7866 / TOLL-FREE www.therastgroup.com ben.rast@mssb.com
Brookfield 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
Candidate 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
Procurement Summit Connecting Minority Business Enterprises to Opportunities
Philadelphia Economic Recovery Procurement Summit Connecting Minority Business Enterprises to Opportunities Presented by: The Enterprise Center Pennsylvania Minority Business Enterprise Center In partnership
The 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
Join 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
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
SMRG Bios and Senior Management
Bios and Senior Management As your Market Research partner, we will carry the knowledge of how you prefer to work as well as what you expect from a research partner through to building on our learnings
The Haas Group at Morgan Stanley Smith Barney
The Haas Group at Morgan Stanley Smith Barney FLORIDA: 595 South Federal Highway 31099 Chagrin Boulevard Suite 400, Boca Raton, Florida 33432 3rd Floor, Pepper Pike, Ohio 44124 OHIO: 561-393-1561 / main
FORM ADV PART 2B BROCHURE SUPPLEMENT FOR THE EXECUTIVE OFFICERS OF WEALTHCARE CAPITAL MANAGEMENT, INC.
FORM ADV PART 2B BROCHURE SUPPLEMENT FOR THE EXECUTIVE OFFICERS OF WEALTHCARE CAPITAL MANAGEMENT, INC. David Loeper, CIMA, CIMC Robert Wilson Karen Nelson Perry Chesney, CFP, CIMA Brandy N. Weiberg AND
Peter 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
Introduction to Financial Architects
Introduction to Financial Architects We are a registered investment advisory firm providing financial planning and wealth management services to private clients in metro-atlanta, across the United States,