FINRA

Prometheum Appoints Albert P. Meo, CPA, as Chief Financial Officer

Retrieved on: 
Monday, March 4, 2024
Finance, Blockchain, Professional Services, Other Technology, Technology, CFO, CPA, Policy, CFTC, Morgan Stanley, FINRA, Goldman Sachs, Financial adviser

Prometheum Inc. today announced the appointment of Albert P. Meo, CPA, as Chief Financial Officer (CFO).

Key Points: 
  • Prometheum Inc. today announced the appointment of Albert P. Meo, CPA, as Chief Financial Officer (CFO).
  • With a career spanning over three decades at premier financial institutions including Goldman Sachs, Nomura, and most recently Morgan Stanley, Mr. Meo brings a wealth of expertise to Prometheum.
  • As CFO, Mr. Meo will oversee financial: planning, reporting, and liquidity risk management for Prometheum.
  • I look forward to contributing to the success of Prometheum in the dynamic digital asset landscape," said Albert P. Meo, CPA.

First Trust Announces Shareholder Approvals of the Mergers

Retrieved on: 
Friday, March 1, 2024
Professional Services, Finance, EIP, ARCA, Suite, Investment, News, NAV, AIB (NI), ETF, Overalls, FTP, Government, Prospectus, FEN, Safety, FPL, MLP, FINRA, Trustee, Target, FEI, FTA, Security (finance)

As previously announced, the mergers were approved by the Boards of Trustees of the Target Funds and EIPI on October 23, 2023.

Key Points: 
  • As previously announced, the mergers were approved by the Boards of Trustees of the Target Funds and EIPI on October 23, 2023.
  • No assurance can be given as to the exact timing of the closing of the mergers.
  • The merger of each Target Fund into EIPI is expected to qualify as a tax-free reorganization for federal income tax purposes.
  • FTA and its affiliate First Trust Portfolios L.P. (“FTP”), a FINRA registered broker-dealer, are privately-held companies that provide a variety of investment services.

First Trust Advisors L.P. Announces Distribution for Exchange-Traded Funds

Retrieved on: 
Thursday, February 29, 2024
Banking, Professional Services, Finance, Standard, Prospectus, Internal Revenue Code, Hamas, Investment, Marketing, OTC, AIB (NI), Terrorism, Index, FTP, Federal Reserve, ERISA, WGTS, Commodity, ETF, Risk, Federal, S&P, COVID-19, Judgement, Fund, FINRA, Trust, Reputational damage, Uncertainty, FTA, Corporation, Failure, FLEX, PDR, Face, Federal Deposit Insurance Corporation, Infection, Security (finance)

First Trust Advisors L.P. ("FTA") is a federally registered investment advisor and serves as the Fund's investment advisor.

Key Points: 
  • First Trust Advisors L.P. ("FTA") is a federally registered investment advisor and serves as the Fund's investment advisor.
  • FTA has collective assets under management or supervision of approximately $211 billion as of January 31, 2024 through unit investment trusts, exchange-traded funds, closed-end funds, mutual funds and separate managed accounts.
  • Please refer to each fund's prospectus and Statement of Additional Information for additional details on a fund's risks.
  • First Trust Advisors L.P. (FTA) is the adviser to the First Trust fund(s).

First Trust Advisors L.P. Announces Distribution for First Trust Enhanced Short Maturity ETF

Retrieved on: 
Wednesday, February 28, 2024
Consulting, Professional Services, Finance, Prospectus, Internal Revenue Code, Hamas, Investment, AIB (NI), Terrorism, FTP, Federal Reserve, ERISA, ETF, Risk, Federal, COVID-19, Judgement, Fund, FINRA, Reputational damage, Uncertainty, FTA, Face, Federal Deposit Insurance Corporation, Infection, Security (finance)

First Trust Advisors L.P. ("FTA") is a federally registered investment advisor and serves as the Fund's investment advisor.

Key Points: 
  • First Trust Advisors L.P. ("FTA") is a federally registered investment advisor and serves as the Fund's investment advisor.
  • FTA and its affiliate First Trust Portfolios L.P. ("FTP"), a FINRA registered broker-dealer, are privately-held companies that provide a variety of investment services.
  • FTA is the supervisor of the First Trust unit investment trusts, while FTP is the sponsor.
  • First Trust Advisors L.P. (FTA) is the adviser to the First Trust fund(s).

JLL Partners Announces Hiring of Cara Killackey as Managing Director, Investor Relations

Retrieved on: 
Tuesday, February 27, 2024
Professional Services, Communications, Other Professional Services, Data Analytics, Finance, Consulting, Public Relations, Investor Relations, Woman, Lehman Brothers, Principal, Probitas Partners, Protiviti, Partners Group, University, JLL Partners, JLL, Business, Certification, FINRA, Capital, Partner

JLL Partners (“JLL” or the “Firm”), a New York-based middle market private equity firm focused on investing in businesses in the healthcare, aerospace and defense, and business services sectors, today announced that Cara Killackey has joined the Firm as Managing Director of Investor Relations.

Key Points: 
  • JLL Partners (“JLL” or the “Firm”), a New York-based middle market private equity firm focused on investing in businesses in the healthcare, aerospace and defense, and business services sectors, today announced that Cara Killackey has joined the Firm as Managing Director of Investor Relations.
  • Ms. Killackey will oversee the investor relations function at JLL and lead capital formation efforts for the firm’s flagship funds and active co-investment program.
  • Prior to joining JLL, she served as Principal at private equity firm I Squared Capital where she was responsible for fundraising and investor relations.
  • Before I Squared Capital, Ms. Killackey held investor relations leadership roles at Partners Group and Probitas Partners.

First Trust Announces March 4, 2024 for Changes in Investment Strategies and Other Related Matters for Large Cap US Equity Select ETF

Retrieved on: 
Monday, February 26, 2024
Professional Services, Finance, AIB (NI), Index, FTP, Judgement, Fund, FINRA, FTA, Spinal muscular atrophies

First Trust Advisors L.P. (“FTA”) announced today that Large Cap US Equity Select ETF (Nasdaq: RNLC) (the “Fund”), a series of First Trust Exchange-Traded Fund VI (the “Trust”), will change its investment objective, name and other related matters, effective March 4, 2024.

Key Points: 
  • First Trust Advisors L.P. (“FTA”) announced today that Large Cap US Equity Select ETF (Nasdaq: RNLC) (the “Fund”), a series of First Trust Exchange-Traded Fund VI (the “Trust”), will change its investment objective, name and other related matters, effective March 4, 2024.
  • Currently, the Fund seeks investment results that correspond generally to the price and yield (before the Fund’s fees and expenses) of an equity index called the Nasdaq Riskalyze US Large Cap™ Index.
  • FTA and its affiliate, First Trust Portfolios L.P. (“FTP”), a FINRA registered broker-dealer, are privately-held companies that provide a variety of investment services.
  • FTA is the supervisor of the First Trust unit investment trusts, while FTP is the sponsor.

The Standard Hires Albert Maixner as National Accounts Sales Director for Retirement Plans

Retrieved on: 
Monday, February 26, 2024
Professional Services, Insurance, Human Resources, Finance, Retirement, Standard, Principal Financial Group, Multimedia, Principal, University, The Standard, NASAA, FINRA, Pension, Financial adviser

The Standard recently hired Albert Maixner as national accounts sales director for Retirement Plans.

Key Points: 
  • The Standard recently hired Albert Maixner as national accounts sales director for Retirement Plans.
  • View the full release here: https://www.businesswire.com/news/home/20240226844355/en/
    Albert Maixner, National Accounts Sales Director for Retirement Plans at The Standard (Photo: Business Wire)
    With the significant increase in demand for innovative solutions including pooled employer plans and managed accounts for retirement, Maixner’s role enhances The Standard’s delivery of strategies and tools for advisory firms.
  • Prior to joining The Standard, he worked in retirement plan sales roles at Principal Financial Group and Prime Pensions.
  • “Albert is a talented sales leader who built deep relationships within our industry by helping firms and advisors solve problems,” said Patrick Bushlack, director of business development in Retirement Plans at The Standard.

Gladstone Group Enhances M&A Services with Gold-Standard Valuation Accreditation and Strategic Executive Addition

Retrieved on: 
Thursday, February 22, 2024
Consulting, Other Professional Services, Professional Services, Finance, CVA, National Association, William Ewart Gladstone, RIA, Growth, Kreuter, Conference, FINRA, Valuation, Environment

Gladstone Group (“Gladstone”), a leading specialist in financial services mergers and acquisitions (M&A), strategic growth consulting, and executive search, is expanding its Valuation division to include accredited valuations now that one of its analysts achieved the gold standard Certified Valuation Analyst (CVA) designation.

Key Points: 
  • Gladstone Group (“Gladstone”), a leading specialist in financial services mergers and acquisitions (M&A), strategic growth consulting, and executive search, is expanding its Valuation division to include accredited valuations now that one of its analysts achieved the gold standard Certified Valuation Analyst (CVA) designation.
  • In addition to Gladstone’s valuation expansion, the firm recently hired Michael Spatacco, Jr. , as the firm’s director of corporate development.
  • "Michael's deep market insights and strategic vision are precisely what we need to drive our next phase of growth.
  • Gladstone invites clients and industry professionals to explore the benefits of its newly accredited valuation services and to meet the expanded team.

Star Mountain Capital Bolsters its Secondaries and Client Services Team Adding Warren DeKinder as a Managing Director Based in Dallas

Retrieved on: 
Thursday, February 22, 2024
Asset Management, Professional Services, Finance, Janus, Philosophy, Senior, ING Group, Research, Janus Henderson, University of Oklahoma, Star, AUM, NN Group, CFA Institute, CFA, Consultant, Starr Mountain, University, FINRA, Intech, RIAS, Financial adviser

Star Mountain Capital , LLC (“Star Mountain”), a rapidly growing specialized private credit and secondaries investment firm targeting systematic alpha and low market correlated returns for its global institutional and high-net-worth investors is pleased to announce that Warren DeKinder has joined as a Managing Director based in Star Mountain’s Dallas office, one of its team’s 20+ locations nationwide.

Key Points: 
  • Star Mountain Capital , LLC (“Star Mountain”), a rapidly growing specialized private credit and secondaries investment firm targeting systematic alpha and low market correlated returns for its global institutional and high-net-worth investors is pleased to announce that Warren DeKinder has joined as a Managing Director based in Star Mountain’s Dallas office, one of its team’s 20+ locations nationwide.
  • View the full release here: https://www.businesswire.com/news/home/20240222525972/en/
    Star Mountain Capital Managing Director, Warren DeKinder, CFA (Photo: Business Wire)
    Warren DeKinder has 30+ years of leadership experience advising and recommending strategic investment solutions to some of the world’s largest and most sophisticated institutions and private clients.
  • “We are excited for Warren to join other Dallas based senior team members Managing Director Chris Goodwin and Senior Advisors Rob Kaplan and Tom Tull .
  • Mr. DeKinder is a Chartered Financial Analyst (CFA) and is a member of the CFA Institute, as well as the Dallas Society of Financial Analysts.

Pacific Advisors Welcomes Jeffery Clemons and Louis Richards to Leadership Team

Retrieved on: 
Thursday, February 22, 2024
Finance, Consulting, Business, Professional Services, Small Business, DBA, MassMutual, Risk management, Culture, Growth, PAS, Retirement, SIPC, Partner, Northwestern Mutual, FINRA, Mutual, Registered investment adviser, Insurance, Financial adviser

Jeffery Clemons assumes the role of Managing Partner of Pacific Advisors Southern California, while Louis Richards joins as Managing Director.

Key Points: 
  • Jeffery Clemons assumes the role of Managing Partner of Pacific Advisors Southern California, while Louis Richards joins as Managing Director.
  • Jeffery Clemons brings over three decades of invaluable experience in the financial industry to Pacific Advisors.
  • Both Jeffery and Louis embody Pacific Advisors' core values of integrity, community elevation, teamwork, continuous improvement, and problem-solving.
  • Pacific Advisors warmly welcomes Jeffery and Louis to its leadership team and looks forward to their valuable contributions in driving the firm's continued growth and success.