Di Girolamo was previously chief compliance officer for RJFS
, as well as the firm's investment advisor.
The executives also pointed to other possible changes at the firm, including a product-neutral grid and the elimination of the $30 transaction fee on mutual funds for RJFS
Title/Company: Senior Vice President, Branch Manager, Managing Director / RJFS
We are delighted to welcome this exceptional team to our independent channel," Bill Counsman, western regional director for RJFS
, said in a statement.
Glenn Buckingham joined RJFS
from Wachovia Securities in Camden, Maine, where he managed $200 million in client assets.
This left RJA and Busby, as RJA's AML compliance officer from 2002 to February 2013, and RJFS
unable to establish AML programs tailored to each firm's business, and forced them instead to rely upon a patchwork of written procedures and systems across different departments to detect suspicious activity," FINRA says.
In addition, the team of Bijan Mohseni and David Townsend also brought their Tampa, Florida-based independent firm InvestPro Wealth Strategies to RJFS
Upon meeting Kayla and Lori, it was clear they would be a great addition to the firm, as their client-first approach, integrity and guiding principles align with that of Raymond James," said Bill Counsman, Western regional director for RJFS
, in a statement.
We're pleased to welcome this experienced team to our independent channel," said Jodi Perry, Southeast regional director for RJFS
, in a press release.