Apex Clearing has named Tricia Rothschild its president. The 26-year veteran of Morningstar Inc. resigned last November as the company’s chief product officer and co-head of global markets.
Apex has not had anyone in the role of president for several years, a spokesperson said.
Dallas-based Apex also said that Tom Valverde, an RIA sales and custody veteran who previously held executive leadership roles at Fidelity Institutional and BNY Mellon’s Pershing, has been appointed general manager of advisory, which is a new position at the company.
Blue Anchor Capital Management and Pickett also purchased “highly aggressive and volatile” securities, according to the order.
Reshuffle provides strong indication of where the regulator's priorities now lie.
Goldman Sachs Asset Management report reveals sharpened focus on annuities.
Ahead of Father's Day, InvestmentNews speaks with Andrew Crowell.
Cerulli research finds nearly two-thirds of active retirement plan participants are unadvised, opening a potential engagement opportunity.
Barely a decade old, registered index-linked annuities have quickly surged in popularity, thanks to their unique blend of protection and growth potential—an appealing option for investors looking to chart a steadier course through today’s choppy market waters, says Myles Lambert, Brighthouse Financial.
How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
