Comings & Goings: November 2011
The Financial Industry Regulatory Authority recently appointed Gerri Walsh as head of the agency's investor education division and president of the FINRA Investor Education Foundation, replacing John Gannon, who left FINRA earlier this year. Walsh has served as vice president and deputy director of investor education for FINRA since May 2006.
Gregory Johnson, president and CEO of Franklin Resources, was elected chairman of the Investment Company Institute's board of governors. He'll serve a one-year term.
LPL Financial announced some senior management changes. Dan Arnold, managing director and current president of Institution Services, will move into a newly created role as head of strategy. Meanwhile, Andy Kalbaugh, executive vice president of business consulting for LPL's Independent Advisor Services business, will be the new managing director and head of Institution Services.
Kevin Zemann has joined Carson Wealth Management Group, an Omaha, Neb.-based RIA, as the new director of compliance. Ron Carson, founder and CEO of the firm, recently established the RIA. Previously, Zemann was an independent consultant. (Editor’s Note: We previously reported that Zemann left Securities America to join CWMG, which is inaccurate. He left Securities America in 2006.)
