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.
Two New York residents are seeking retribution for the retail investment titan's failure to prevent an incident that exposed tens of thousands of its users' sensitive data.
The company has raised funds in both its Friends of Raymond James nonprofit and for community support, following Hurricanes Helene and Milton.
The asset management giant is looking to solidify its relationships with wealth platforms, broker-dealers and RIAs through a newly created global leadership role.
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The firm's definitive agreement to snap up a financial services firm and its subsidiaries will add 120 financial advisors to its network.
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