Thomas Vernor is based in Huntsville, Alabama, and started in the securities industry in 1984 at Morgan Stanley Dean Witter.
Andrew Komarow was featured in InvestmentNews in May 2021 for his focus on understanding special-needs financial planning.
Regardless, plenty of questions remain about the future of the long-time Cetera executive.
Kalbaugh will work with the fast-growing wealth management firm's executive leadership on strategic planning.
Schwab self-reported the issues with disclosures related to exchange-traded notes, which occurred from January 2016 to December 2020, to Finra.
The firm cited the sports and entertainment accredited wealth management advisor designation rolled out in 2022 by the College for Financial Planning as a factor that will help advisors meet such clients' needs.
Veteran UBS wealth management executive Tom Naratil is not part of the new team, however.
TD Ameritrade self-reported the lack of disclosure, which occurred from January 2016 to June 2021, to Finra, according to the settlement.
Both banks have recently signaled their interest in bolstering their wealth management operations, but they can't snap their fingers and conjure financial advisors from thin air.
Todd Rosel and Larry D. Smith oversee $310 million in assets and are combining their practices to form a new firm, Integrity Wealth Advisor Group.
