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Prior to joining Fidelity in 1997, Mr. Malo held positions with Shearson Lehman Brothers as executive vice president and with Lehman Brothers Inc. in 1994 as managing director of Global Operations. While at Lehman Brothers Inc., Mr. Malo was responsible for overseeing the clearance and settlement support operations for the firm's international and domestic institutional and retail branches. From 1982 to 1991, Mr. Malo was president of MONY Securities and executive vice president and director of operations for FSC Securities. With both MONY and FSC, Mr. Malo managed the effort to provide operational support to broker services, trading, MIS, administration, human resources, mutual fund trading and marketing. Mr. Malo was first vice president and director of operations for Robinson Humphrey Company from 1968 to 1982. He was responsible for financial management and operations administration. He also has had a wide range of experience in other aspects of financial planning, holding both financial and operations principal registrations. Mark Healy Mr. Healy drove the creation of National Financial's self-clearing outsourcing business, established in March 2008, which enables broker/dealers to outsource a wide range of their brokerage operations to National Financial, while still maintaining their self-clearing status. The business is driven by a philosophy that encourages self-clearing broker/dealers to tap into the power, brokerage expertise and operational infrastructure of one of the nation's leading brokerage firms, in order to allow them to better focus their financial and human resources on business building activities. Mr. Healy has been cited in Securities Industry News as "putting a new spin on the whole outsourcing paradigm." He has also been a champion of using technology as a tool to help drive growth and manage risk in the brokerage industry, especially through the use of workflow and imaging solutions. Mr. Healy joined Fidelity in 2002 as the chief financial officer for National Financial and in June 2004 was named executive vice president and chief operating officer for the company. He assumed his current position in March 2008. Prior to joining Fidelity, Mr. Healy served as chief operation officer and chief financial officer for TD Securities and TD Holdings in New York. He was chief financial officer for SBC GSI/Swiss Bank Corp. in New York from 1991 to 1995, and a controller for Sanwa Bank Securities in 1988. Mr. Healy began his career in financial services in 1986 when he served as a senior auditor with Oppenheim, Appel, Dixon & Co. Mr. Healy received a Bachelor of Science degree in public accounting from Long Island University -- CW Post campus in 1985. He received the Wall Street Top 50 Irish American Award in 2000 and 2001. 1 Based on mutual fund assets by complex as reported by the Investment Company Institute as of December 31, 2007.2 Based on 401(k) and 403(b) assets as of December 31, 2006 as reported by Pensions & Investments. Jody Meth Jody Meth is the executive vice president of Product Management for National Financial, a Fidelity Investments company. Fidelity Investments is the largest mutual fund company in the United States, the No. 1 provider of workplace retirement savings plans and a leading online brokerage firm. Ms. Meth is head of Product Management. Prior to joining Fidelity in July 2006, Ms. Meth held several senior management positions at JP Morgan Chase from 1999 until 2006. She left the company as a senior vice president of Worldwide Securities Services where she managed a diverse portfolio of business with annual revenues totaling $350 million. In this role Ms. Meth was responsible for all aspects of business including P&L Ownership, Product Management, Sales and Client Relationships and Service Delivery. Previously, Ms. Meth held a variety of positions at Bankers Trust Company (acquired in 1999 by Deutsche Bank Group) from 1986 until 1999 including managing director of Corporate Trust, managing director of Asset Services Division for Retirement Services and vice president of Corporate Trust managing Analytical Products and Retirement Services. She began her career at the Federal Reserve Bank of New York. Ms. Meth received her Bachelor of Arts degree in politics from Mount Holyoke College in 1980 and an MBA in finance from New York University in 1986. Sandra Metraux Ms. Metraux first joined Fidelity Investments in 1986 and as an officer of the firm led the development and delivery of new business strategies, innovative products and marketing. From 1995 to 2003, Ms. Metraux served on the Operating Committee and as senior vice president of strategy and marketing, for Investors Group Inc., (IGM Financial Inc.), the leading mutual fund manufacturer and financial planning company in Canada. Ms. Metraux rejoined Fidelity in 2004 as a senior vice president for National Financial and assumed her current role in July 2006. Ms. Metraux's prior experience includes roles in strategic planning and economic analysis in the public and private sectors. Ms. Metraux received a Bachelor of Arts from the University of Rochester in 1980, graduating magna cum laude with concentrations in economics and psychology, and an MBA from the University of Michigan in 1984. Michael Norton Prior to joining Fidelity in August 2007, Mr. Norton held senior management positions at Bank of America from 1999 until 2007, including serving as chief operating officer of Banc of America Investment Services, Inc. (BAI), the nation's third largest bank-owned brokerage.3 In this position, he was responsible for leading key business-enabling support functions, including middle office operations, broker solutions, investment centers and market growth. Prior to this Mr. Norton was director of Operations for BAI. Previously, Mr. Norton was chief operating officer and chief financial officer for Banc One Investment Services Inc. from 1994 until 1999. His background also includes various roles in corporate finance and financial management at Barnett Bank, where he began his career in 1986, and served until 1994, when he left the firm as chief financial officer of Barnett Securities Inc. Mr. Norton received a bachelor of science degree in finance and accounting in 1984 and an MBA in finance in 1986, both from the University of Tampa.
1 Based on mutual fund assets by complex as reported by the Investment Company Institute as of December 31, 2007. John D. Phillips Mr. Phillips began his career at Fidelity in 1989, and held various positions, including roles in operations and retail brokerage, as well as in sales and relationship management at National Financial through 1999. From 1999 to 2002, Mr. Phillips was Director of Global Operations for Gomez Advisors, where he was responsible for managing operations for domestic consulting and market research. He also served as Principal for the company's international division, overseeing business operations in the United Kingdom, Japan, Korea and Canada. Mr. Phillips rejoined National Financial in 2002 and most recently served as regional sales manager for the Northeast and Midwest. He assumed his current role in March 2008. Mr. Phillips received a bachelor of science degree in finance from the University of Vermont, and an MBA from the Carroll School of Management at Boston College.
1 Based on mutual fund assets by complex as reported by the Investment Company Institute as of December 31, 2007. Anne Steer Prior to joining Fidelity in September 2004, Ms. Steer spent over fifteen years at State Street Corporation. She was a member of the corporation's executive operating group and a managing director. She joined State Street in 1987 with responsibility for sales and marketing for foreign exchange in the U.S. In 1992, she was named head of marketing for Financial Markets with responsibility for marketing and business development for all products and services across the division. Ms. Steer was promoted to senior vice president in 1993, and in July 1995, was named head of the Investment Manager Products and Services Group, which sold investment related services to asset managers. In 1998, Ms. Steer was appointed managing director with relationship responsibility for State Street's major North American based asset management clients. In 2000, she was given additional responsibility for United Kingdom based investment management clients. In 2002, Ms. Steer was made head of Global Sales and Marketing for State Street's institutional outsourcing business. Prior to joining State Street, she was with the Continental Group. Ms. Steer received a Bachelor of Arts degree from Mount Holyoke College and received an MBA in finance from the University of Chicago. National Financial Services LLC, Member NYSE, SIPC
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Norman R. Malo - President and Chief Executive Officer