Published on Nov 11th, 2020 |

Herald Investment Marketing, a leading provider of Principal Underwriting and Registered Representative Services for Mutual Funds and ETFs, has named John Brett as President.


John was Chairman of BNY’s Lockwood Advisors, President of BNY’s Pershing’s Managed Investments Group, and previously was Chief Executive Officer of Met Life’s Broker Dealers. John stated, “I am excited to take the helm at Herald, and to bring my expertise to assist Herald’s existing and new clients, and its continued growth.”

Herald, which was formed approximately four years ago, has grown exponentially, and was recently named a Preferred Provider of Principal Underwriting Services for a leading $15 Billion Series Trust.
Herald additionally expects significant growth in its Principal Underwriting business with ETF and Mutual Fund clients transitioning from other providers, and new ETFs.

Salvatore Faia, JD, CPA, CFE, President of the Vigilant Companies stated: “It is good to welcome John, and we believe his stellar experience will result in Herald becoming the leader in Principal Underwriting and Registered Representative Services.”

Herald is part of the Vigilant Group of Companies, which includes Vigilant Compliance, an Industry leader in the provision of Compliance Services to Investment Advisers, Mutual Funds, ETFs, Private Funds, Broker/Dealers, and the Investment Management Industry.