Woodbury Financial Services, a subsidiary of The Hartford Financial Services Group, hired Albert Johnson as chief compliance officer of broker/dealer services. Prior to joining Woodbury, Johnson most recently served as chief compliance officer of Financial Network Investment Corp. Before that, he was chief supervisory officer of Nationwide Securities, Inc.
The Securities and Exchange Commission today announced that Gerald Hodgkins has been appointed as an associate director of the Division of Enforcement. Hodgkins has worked in the Enforcement Division since 1997.
Hilliard Lyons promoted Charles M. Grimley to Executive Vice President and chief financial officer of Hilliard Lyons. Grimley has been with Hilliard Lyons for 12 years, most recently as Senior Vice President, Controller and Acting CFO.
Multi-Financial Securities Corporation hired Kevin Starkey as its director of recruiting. Starkey recently served as senior vice president of Mount Yale Capital Group, where he was responsible for generating new business and managing key relationships in the western U.S. Previously, Starkey held leadership and sales positions at Royal Alliance, AIG, ING and SunAmerica.
Profiles and fact sheets of independent broker/dealers and registered investment advisories (RIAs), an outsourcing guide, listings of compliance/regulatory consultants, securities lawyers, recruiters, back-office technology offerings and asset management platform providers.
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