National Planning Holdings Names VP of Due Diligence

Sward will manage a team of analysts that facilitates the due diligence process for all product types across the NPH network, the firm said. Sward will also continue to work closely with senior management from NPH and its four retail broker/dealers to control the risks associated with product selection and to monitor the products being offered by the network’s firms.

“Due diligence is a critically important function for retail broker/dealers, particularly in the wake of the financial downturn,” said Jim Livingston, president and CEO of the independent broker/dealer network. “The focus shown by Brian and his team has allowed the NPH firms to position themselves more effectively against the myriad issues caused by recent economic conditions.”

Previously, Sward served as assistant vice president of due diligence, responsible for conducting due diligence and product support for NPH. He will continue to report to Gerry Gunderson, NPH’s general counsel and senior vice president of regulatory affairs.

Prior to joining NPH in 2005, Sward served as an investment advisory analyst at JPMorgan, where he was responsible for organizing and analyzing 401(k) plans for large institutional clients.