A wealth of experience.

Aligned to your success.

With more than a century of experience, we bring principled and practical knowledge to the goal of helping advisors and their clients flourish.

  • Peter A. Biebel
    Peter Biebel

    Senior Vice President, Senior Investment Strategist

  • Theresa Cagle Fry
    Theresa Cagle-Fry

    Senior Vice President, Manager IRAs. Retirement & Education Planning

  • Elaine Conway
    Elaine Conway

    Senior Vice President, Manager, Corporate Communications

  • Craig Harrison
    Craig Harrison

    Senior Vice President & Manager, Sr. Registration Manager

  • Bill Hornbarger
    Bill Hornbarger

    Senior Vice President – Chief Investment Officer

  • Marc Kessler
    Marc Kessler

    Senior Vice President, Regulatory Exams/Internal Testing

  • Kim S. Landry
    Kim Landry

    Senior Vice President and Manager, Advisor Development and Growth

  • Yari A. Lindo
    Yari Lindo

    Senior Vice President and Senior Manager, Trading Services

  • Eric Loy
    Eric Loy

    Senior Vice President & Chief Supervision Officer

  • Peter McCarthy
    Peter McCarthy

    Senior Vice President and Manager, Sr. Regulatory Initiatives Manager

  • Matt Muckler
    Matt Muckler

    Senior Vice President, Chief Compliance Officer, Advisory

  • Edward “Ed” V. O’Neal
    Edward V. O'Neal

    Senior Vice President and Manager, Retirement Plans