Deals & People June 22, 2015

NFP Advisor Services Names Chief Compliance Officer

NFP Advisor Services says Mike Pedlow will be the firm’s compliance chief. 
Reported by

Mike Pedlow is the next chief compliance officer (CCO) for NFP Advisor Services, an advisory network providing wealth management solutions, integrated technology and business consulting, including compliance services, to independent financial advisers.

In his new role, Pedlow is charged with supervising all compliance efforts and leading the compliance management team at NFP Advisor Services. He takes on the role after serving as vice president and investment advisory compliance officer. The new role involves supporting compliance for product development, training, marketing and advertising.

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Pedlow has more than 15 years of experience in the financial services industry, according to NFP. Additionally, he serves as the CCO of Washington Wealth Management LLC, an affiliate of NFP Advisor Services that also operates a recruiting platform for advisers transitioning to the independent model from wirehouses.

Before joining NFP Advisor Services, Pedlow worked at Raymond James, supervising the registered investment adviser (RIA) compliance program. He holds his FINRA Series 7, 66 and 24 licenses. He also holds a bachelor’s of arts degree in economics from the University of South Florida. 

Deals & People June 22, 2015

Arnerich Massena Appoints New Retirement Leader

Jacob O’Shaughnessy has been promoted to lead retirement services at Arnerich Massena.
Reported by

Independent advisory firm Arnerich Massena appointed Jacob O’Shaughnessy as senior consultant, taking on strategic leadership for the firm’s retirement plan services team in both the corporate and public plan markets.

With more than 15 years of industry experience, O’Shaughnessy first joined Arnerich Massena in 2009 and is an elected member of the Industry Committee of the National Association of Government Defined Contribution Administrators (NAGDCA). He is also a frequent speaker at investment and retirement industry conferences.

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Tony Arnerich, CEO and CIO of Arnerich Massena, says the firm will leverage O’Shaughnessy’s “unique perspective” to create value for clients and to enhance plan service structures and fee arrangements. Arnerich suggests a new leadership structure at the firm “reflects Arnerich Massena’s ongoing commitment to provide the firm’s clients with independent, unbiased advice and exceptional service.”

Founded in 1991, Arnerich Massena is a Portland-based independent investment advisory firm servicing corporate retirement plans and state and local governments, among other institutional investor clients. More information is available at www.arnerichmassena.com.

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