Sentinel Financial Services Co. Inc. in Montpelier, Vt., has hired Russell Phillips, 56, as chief marketing officer.
He was national director of product development for Lincoln Financial Advisors Corp. of Fort Wayne, Ind.
National Planning Holdings Inc. in Santa Monica, Calif., has appointed new chief compliance officers for three of its independent-broker-dealer firms.
Sean Haley, 32, was promoted to CCO, from head of oversight for the sales supervision, surveillance and dispute resolution units. David Loasby, 46, has joined Appleton, Wis.-based SII Investments Inc. and will serve as first vice president/CCO for SII and Bismarck, N.D.-based Investment Centers of America.
He was vice president and director of compliance for Fifth Third Securities Inc. in Cincinnati.
Mr. Haley and Mr. Loasby will be responsible for overseeing the supervision of their firms' registered representatives' sales activities, including advertising review, branch-office examinations, advisory services, compliance support services, licensing and registration, money laundering prevention, and sales review.
Ryan Beck & Co. in Florham Park, N.J., has added two executives for its private-client business.
David Crawford, 66, joins the firm's Osterville, Mass., office as a producing manager. He was a financial consultant with RBC Dain Rauscher in Minneapolis.
Allen Wilson, 36, joins the private-client group as senior vice president in Florham Park. He was a financial consultant with Parsippany, N.J.-based J.B. Hanauer & Co.
Ryan Beck also has announced the opening of an office in Camp Hill, Pa. It will be staffed by three veterans of Baltimore-based Legg Mason Inc. - G. David Bias, 47, Henry J. Pofi, 44, and Brett N. Holland, 34.
Babson Capital Management LLC in Boston and Springfield, Mass., has hired Howard B. Hill, 54, as a managing director in the quantitative-management group. He will be joining the portfolio management team, where he will initially be responsible for creating new vehicles to attract third-party money for real estate- and mortgage-related investment management. Mr. Hill will also be involved in enhancing the firm's proprietary credit analytics.
He was a member of the U.S. structured-products investment team of NIB Capital NV of The Hague, Netherlands.
Energy Investors Funds in New York has hired Keith Derman, 33, and Shawn Saint, 29, as senior associates.
Mr. Derman held various positions with PSEG Power and PSEG Global, units of Public Service Enterprise Group in Newark, N.J., where he was responsible for originating, analyzing, structuring and closing new fund investments, as well as portfolio company management.
Mr. Saint will assist with the asset management of closed investments, as well as analyzing, structuring and closing new fund investments. He was an associate with General Electric Co.'s Energy Financial Services unit in Stamford, Conn.
William Blair & Co. LLC in Chicago has hired David C. Fording, 38, as a portfolio manager with the all-cap-growth team.
A 10-year veteran of the investment industry, he has extensive experience in a bottom-up fundamental-research environment and across a range of market capitalizations in growth equity portfolio management. A chartered financial analyst, Mr. Fording was a portfolio manager with TIAA-CREF Investment Management Inc. in New York.
RF Lafferty & Co. Inc. in New York has hired Fred A. Froewiss, 60, and Gregory O'Connor, 41, as vice presidents of institutional sales.
With over 30 years' investment experience, Mr. Froewiss has been a portfolio manager and an institutional salesman at a number of firms, including Kinetics Asset Management Inc. of White Plains, N.Y.
With more than 25 years' experience in equity trading, Mr. O'Connor was a founder and senior director of Princeton Financial Group LLC in North Brunswick, N.J.
Fiserv Investment Support Services Inc. in Denver has named Sean Gultig, 37, head of its adviser services area and John Newman, 42, vice president of institutional plan services. Both will oversee strategic planning and daily operations for their areas.
Mr. Gultig previously headed the institutional-retirement-plan-services business.
With more than 20 years' experience in the retirement plan industry through Fiserv ISS' predecessor companies, Mr. Newman has been responsible for managing large Wall Street brokerage relationships, analyzing business acquisitions in the trust industry and developing new products.
Heritage Family of Funds in St. Petersburg, Fla., has hired Fred Huber, 31, as vice president, institutional investments. In his new role, he will be responsible for the distribution of the firm's mutual funds among retirement service providers, qualified plan consultants, plan sponsors, foundations/endowments and bank trusts.
Mr. Huber was a director of institutional investment products at The Hartford Financial Services Group Inc. in Connecticut.
Steve Ravenna, 45, has also joined the Heritage sales team, as a regional sales consultant. He will represent the firm's mutual funds across multiple channels and will initiate, manage and support client development and relationship management efforts.
He comes to Heritage from RP Consulting Group Inc. in Pinellas Park, Fla., where he worked in marketing and client development.
Touchstone Investments in Cincinnati has hired Jason R. Fohr, 38, Jason D. Dills, 27, and Thomas H. Benton Jr., 33, as external wholesalers. In this capacity, each will be responsible for wholesaling efforts serving financial professionals in different regions across the country. Mr. Fohr will cover primarily the Southern United States, including Alabama, Arkansas, Mississippi, Tennessee, and Louisiana; Mr. Dills' territory includes New Jersey and eastern Pennsylvania.
Mr. Benton will be responsible for parts of the Western United States, including Southern California, Arizona, New Mexico and Utah.
Mr. Fohr joins Touchstone from Allstate Financial Services LLC of Northbrook, Ill., where he was a financial business consultant working with clients to identify needs for investments, insurance and other financial products.
Mr. Dills joins Touchstone from Federated Investors Inc. of Pittsburgh, where he was an external wholesaler for Arizona, Colorado, Hawaii, Nevada and New Mexico.
Mr. Benton joins Touchstone from BlackRock Inc. of New York, where he served as a regional wholesaler and a vice president. Previously, he was employed at Pioneer Investment Management Inc. in Boston as a regional-sales specialist.
AlphaTrade in Vancouver, British Columbia, has hired William Scigliano, 40, as director. He brings more than 15 years' experience in investment banking, mergers and acquisitions, and commercialization of emerging technologies to his new role as director of AlphaTrade, where he will be responsible for overseeing the company's network and partnership efforts.
He was chairman (Correction by AlphaTrade: This sentence should read "He is the current chairman...") of Wherify Wireless Inc., a Redwood Shores, Calif.-based developer of global positioning system products and services. His accomplishments included steering Wherify Wireless' entry into continuous tracking markets.
Send news of job changes to Caitlin Mollison at InvestmentNews, 711 Third Ave., Third Floor, New York, NY 10017-4036, or e-mail: cmollison@crain.com. Please include the individual’s age and previous position.
GRAPHIC: Art Credit: Phillips * Haley * Loasby * Fording * Froewiss * Huber * Ravenna * Scigliano
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