Corporate Board Profile
Tech Score: 0/100
| Filing Date | Source Excerpt |
|---|---|
| 2025-02-21 | Formerly, President and Chief Executive Officer of Legg Mason Partners Fund Advisor, LLC, and President & Board Member of The Legg Mason and Western Asset mutual funds from 2005 until June 2013. Previously, he was the President and Chair of the boards of the Citigroup Asset Management mutual funds from 2002 to 2005; Portfolio Manager and Managing Director, Smith Barney Asset Management from 1993 to 2001 and President & CEO, Directions Management of Shearson Lehman, Inc. from 1988 to 1993. |
| Filing Date | Source Excerpt |
|---|---|
| 2021-03-12 | Mr. Gerken’s qualifications to serve as a director of Associated, Chair of the Enterprise Risk Committee and member of the Audit Committee... Director Compensation in 2020: R. Jay Gerken $205,000. |
| 2022-03-11 | Mr. Gerken is a director of 17 mutual funds with approximately $38 billion in assets associated with Sanford C. Bernstein Fund, Inc., the Bernstein Fund, Inc. and the AB Multi-Manager Alternative Fund, which are mutual fund complexes. Mr. Gerken served as the President and Chief Executive Officer of Legg Mason Partners Fund Advisor, LLC from 2005 until June 2013. During that period, he was also the President and a director of the Legg Mason and Western Asset mutual funds complexes with combined assets in excess of $100 billion. Previously, Mr. Gerken served in a similar capacity at Citigroup Asset Management Mutual Funds from 2002 to 2005. Mr. Gerken’s qualifications to serve as a director of Associated, Chair of the Enterprise Risk Committee and member of the Audit Committee include his extensive investment and financial experience, as well as his executive leadership roles at several large mutual funds. Mr. Gerken is certified as a National Association of Corporate Directors (NACD) Board Leadership Fellow and completed 13 hours of NACD director educational classes from January 1, 2021 through December 31, 2021. As a Chartered Financial Analyst with experience as a portfolio manager and in overseeing the preparation of financial statements, Mr. Gerken also meets the requirements of an audit committee financial expert. |
| 2023-03-10 | Mr. Gerken is a director of 17 mutual funds with approximately $30 billion in assets associated with Sanford C. Bernstein Fund, Inc., the Bernstein Fund, Inc. and the AB Multi-Manager Alternative Fund, which are mutual fund complexes. Mr. Gerken served as the President and Chief Executive Officer of Legg Mason Partners Fund Advisor, LLC from 2005 until June 2013. During that period, he was also the President and a director of the Legg Mason and Western Asset mutual funds complexes with combined assets in excess of $100 billion. Previously, Mr. Gerken served in a similar capacity at Citigroup Asset Management Mutual Funds from 2002 to 2005. Mr. Gerken’s qualifications to serve as a director of Associated, member of the Audit Committee and of the Enterprise Risk Committee include his extensive investment and financial experience, as well as his executive leadership roles at several large mutual funds. Mr. Gerken is certified as a National Association of Corporate Directors (“NACD”) Board Leadership Fellow. As a Chartered Financial Analyst with experience as a portfolio manager and in overseeing the preparation of financial statements, Mr. Gerken also meets the requirements of an audit committee financial expert. Director Compensation in 2022: $200,000. |
| 2024-03-18 | Mr. Gerken’s qualifications to serve as a director of Associated, member of the Audit Committee and of the Enterprise Risk Committee include his extensive investment and financial experience. |
| 2025-03-17 | Mr. Gerken is a director of more than 90 mutual funds with assets in excess of $140 billion associated with AllianceBernstein. Mr. Gerken served as the President and Chief Executive Officer of Legg Mason Partners Fund Advisor, LLC from 2005 until June 2013. During that period, he was also the President and a director of the Legg Mason and Western Asset mutual funds complexes with combined assets in excess of $100 billion. Previously, Mr. Gerken served in a similar capacity at Citigroup Asset Management Mutual Funds from 2002 to 2005. Mr. Gerkens qualifications to serve as a director of Associated, member of the Audit Committee and of the Enterprise Risk Committee include his extensive investment and financial experience, as well as his executive leadership roles at several large mutual funds. Mr. Gerken is certified as a National Association of Corporate Directors Board Leadership Fellow. As a Chartered Financial Analyst with experience as a portfolio manager and in overseeing the preparation of financial statements, Mr. Gerken also meets the requirements of an audit committee financial expert. |
| Filing Date | Source Excerpt |
|---|---|
| 2003-03-21 | Managing Director of SSB; President and Director of SBFM and Travelers Investment Adviser, Inc. ("TIA"), and Citi Fund Management Inc. |
| 2004-03-29 | R. Jay Gerken* Director/ Since Managing Director of 221 None Citigroup Asset Chairman, 2002 CGM; Chairman, Management ("CAM") President President and Chief 399 Park Avenue and Chief Executive Officer of New York, NY 10022 Executive Smith Barney Fund Age:51 Officer Management LLC ("SBFM"), Travelers Investment Advisor, Inc. ("TIA") and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Citigroup Inc. ("Citigroup"); Formerly, Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996- 2001) and Smith Barney Growth and Income Fund (from 1996-2000) |
| 2005-05-03 | R. Jay Gerken* Director/ Since Managing Director of 221 None Citigroup Asset Chairman, 2002 CGM; Chairman, Management ("CAM") President President and Chief 399 Park Avenue and Chief Executive Officer of New York, NY 10022 Officer Smith Barney Fund Birth Year: 1951 Management LLC ("SBFM"), Travelers Investment Advisor, Inc. ("TIA") and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Citigroup; Formerly, Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996- 2001) and Smith Barney Growth and Income Fund (from 1996-2000) |
| 2005-09-02 | R. Jay Gerken - Managing Director of CGMI; Chairman, President and CEO of SBFM and CFM; Portfolio Manager of Smith Barney Allocation Series Inc. and Smith Barney Growth and Income Fund |
| 2006-03-29 | R. Jay Gerken Director/ Chairman, President and Chief Executive Officer of CAM and SBFM; Formerly Portfolio Manager of Smith Barney Allocation Series Inc. and Smith Barney Growth and Income Fund |
| 2007-04-09 | R. Jay Gerken, CFA*Legg Mason & Co., LLC ("Legg Mason")399 Park AvenueNew York, NY 10022Birth Year: 1951 Chairman, President and Chief Executive Officer 2002 to present Managing Director, Legg Mason; Chairman of the Board, Trustee, or Director and Chief Executive Officer of 168 funds associated with LMPFA and its affiliates; President, LMPFA (since 2006); formerly, Chairman, Smith Barney Fund Management LLC ("SBFM") and Citi Fund Management, Inc. ("CFM") (2002 to 2005); formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005); formerly, Portfolio Manager, Smith Barney Allocation Series Inc. ("SBAS") (1996 to 2001) |
| 2008-03-25 | R. Jay Gerken... Managing Director of Legg Mason, Chairman, President and Chief Executive Officer of Smith Barney Fund Management LLC ("SBFM") and Citi Fund Management Inc. ("CFM") |
| 2009-03-16 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 159 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) |
| 2010-02-26 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 147 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; President and CEO, Smith Barney Fund Management LLC and Chairman, President and CEO, Citi Fund Management, Inc. |
| 2011-03-03 | Chairman, President and Chief Executive Officer of Legg Mason Partners Fund Advisor, LLC; investment management experience as an executive and portfolio manager |
| 2013-02-27 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 162 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates. |
| Filing Date | Source Excerpt |
|---|---|
| 2007-03-30 | R. Jay Gerken 1951 Director (4) Served since 2006; Interested nominee; No committee memberships; Total compensation $0. |
| 2008-03-28 | R. Jay Gerken 1951 Director and President (5) Served since 2006 Managing Director of Legg Mason & Co., LLC. President of Legg Mason Partners Fund Advisor, LLC. Total Compensation Annual from the Fund and its Fund Complex Paid to Directors: $0. |
| 2009-04-24 | R. Jay Gerken (58) Director and President Served as a Director since 2006 and as President since 2007 Managing Director of Legg Mason & Co., LLC. No compensation from the Fund for serving as Director and President. |
| 2010-04-16 | R. Jay Gerken Born 1951 Director and President (4) Served as a Director since 2006 and as President since 2007 Managing Director of Legg Mason & Co., LLC, Chairman, President and CEO of certain mutual funds. Interested person of the Fund. Aggregate compensation from the Fund and its Fund Complex Paid to Directors $0. |
| 2011-04-15 | R. Jay GerkenBorn 1951 Director and President (4) Served as a Director since 2006 and as President since 2007 Managing Director of Legg Mason & Co., LLC (since 2005); Officer and Trustee/Director of 148 funds associated with Legg Mason Partners Fund Adviser, LLC or its affiliates (since 2006) and Legg Mason & Co. predecessors (prior to 2006); President and Chief Executive Officer of LMPFA (since 2006); President and Chief Executive Officer of Smith Barney Fund Management LLC and Citi Fund Management Inc. (formerly registered investment advisers) (since 2002); formerly: Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (prior to 2005). Total Compensation from the Fund and its Fund Complex Paid to Directors $0. |
| 2012-04-26 | R. Jay GerkenBorn 1951 Director and President and Chief Executive Officer (4) Served as a Director since 2006 and as President since 2007 Managing Director of Legg Mason & Co., LLC ("Legg Mason & Co.") (since 2005); Officer and Trustee/Director of 160 funds associated with Legg Mason Partners Fund Advisor, LLC ("LMPFA") or its affiliates (since 2006) and Legg Mason & Co. predecessors (prior to 2006); President and Chief Executive Officer of LMPFA (since 2006); President and Chief Executive Officer of Smith Barney Fund Management LLC and Citi Fund Management Inc. (formerly registered investment advisers) (since 2002); formerly: Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (prior to 2005). Mr. Gerken is an "interested person" (as defined in section 2(a)(19) of the Investment Company Act of 1940, as amended (the "1940 Act")) of the Fund because of his positions with subsidiaries of, and ownership of shares of common stock of, Legg Mason, Inc., the parent company of the Investment Adviser. For the fiscal year ended December 31, 2011, the Directors received the compensation set forth in the following table for serving as Directors of the Fund and as Directors or Trustees of other funds in the same "Fund Complex." R. Jay Gerken Aggregate Compensation from the Fund ($) 0 Total Compensation from the Fund and its Fund Complex Paid to Directors ($) 0. |
| 2013-04-18 | R. Jay GerkenBorn 1951 Director and President and Chief Executive Officer Served as a Director since 2006 and as President since 2007 Managing Director of Legg Mason & Co. (since 2005); Officer and Trustee/Director of 162 funds associated with Legg Mason Partners Fund Advisor LLC ("LMPFA") or its affiliates (since 2006) and Legg Mason & Co. predecessors (prior to 2006); President and Chief Executive Officer of LMPFA (since 2006); President and Chief Executive Officer of Smith Barney Fund Management LLC and Citi Fund Management Inc. (formerly registered investment advisers) (2002-2005); formerly: Chairman, President and Chief Executive Officer of Travelers Investment Adviser, Inc. (prior to 2005). 162 None 2,000 |
| Filing Date | Source Excerpt |
|---|---|
| 2005-09-02 | R. Jay Gerken Born 1951 President, Chairman and Chief Executive Officer Since 2002 Managing Director of CGMI; Chairman, President and Chief Executive Officer of SBFM and CFM; President and Chief Executive Officer of certain mutual funds associated with Citigroup; formerly, Chairman, President and Chief Executive Officer of Travelers Investment Advisers, Inc. (TIA) (from 2002 to 2005); Portfolio Manager of Smith Barney Allocation Series Inc. (from 1996 to 2001) and Smith Barney Growth and Income Fund (from 1996 to 2001); Chairman of the Board, Trustee or Director of 185 funds in the Citigroup fund complex |
| 2006-08-21 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA and Citi Fund Management Inc. |
| 2007-08-16 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA and Citi Fund Management Inc. |
| 2008-08-27 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; President and Chief Executive Officer of certain mutual funds associated with Legg Mason. |
| 2009-08-12 | R. Jay Gerken - Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 151 funds associated with LMPFA and its affiliates. |
| 2010-08-24 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 147 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) |
| 2011-08-22 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 159 funds associated with LMPFA and its affiliates (since 2006); formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) |
| 2012-08-27 | Mr. Gerken, investment management experience as an executive and portfolio manager and leadership roles within Legg Mason and affiliated entities |
| Filing Date | Source Excerpt |
|---|---|
| 2003-01-29 | Managing Director of Salomon Smith Barney ("SSB"); formerly portfolio manager, Smith Barney Growth and Income Fund (1994-2000) and Smith Barney Allocation Series Inc. (1996-2001); Chairman or Co-Chairman of seventy-three investment companies affiliated with Citigroup. |
| 2004-03-31 | R. Jay Gerken* Chairman, President and Chief Executive Officer Since 2002 Managing Director of CGM; Chairman, President and Chief Executive Officer of Smith Barney Fund Management LLC ("SBFM"), Travelers Investment Advisor, Inc. ("TIA") and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Citigroup; formerly portfolio manager, Smith Barney Growth and Income Fund (1994-2000) and Smith Barney Allocation Series Inc. (1996-2001). |
| 2005-03-22 | R. Jay Gerken* Chairman, President and Chief Executive Officer of SBFM; formerly portfolio manager, Smith Barney Growth and Income Fund. |
| 2005-09-02 | R. Jay Gerken - Managing Director of CGMI; Chairman, President and CEO of SBFM and CFM; Portfolio Manager of Smith Barney Allocation Series Inc. and Smith Barney Growth and Income Fund |
| 2006-03-14 | Managing Director of Citigroup Asset Management ("CAM"); Chairman, President and Chief Executive Officer of SBFM, and Citi Fund Management Inc. ("CFM"); formerly portfolio manager. |
| 2007-02-05 | Managing Director of Legg Mason; Chairman, President and Chief Executive Officer of LMPFA and Citi Fund Management Inc. ("CFM"); President and Chief Executive Officer of certain mutual funds associated with Legg Mason. |
| 2008-02-07 | Managing Director of Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee or Director of 133 funds associated with LMPFA and its affiliates |
| 2009-01-16 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 163 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) |
| 2010-01-28 | Chairman, President and Chief Executive Officer of LMPFA; Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Managing Director of Citigroup Global Markets Inc. |
| 2011-01-31 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 149 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates; formerly, Chairman, President and Chief Executive Officer, Travelers Investment Advisers Inc. (2002 to 2005) |
| 2012-01-27 | Mr. Gerken, investment management experience as an executive and portfolio manager and leadership roles within Legg Mason and affiliated entities |
| 2013-01-25 | Managing Director, Legg Mason; Chairman, President and Chief Executive Officer of LMPFA; Chairman of the Board, Trustee, or Director of 162 funds associated with LMPFA and its affiliates (since 2006); Chairman, President and Chief Executive Officer of certain mutual funds associated with Legg Mason or its affiliates. |
Data sourced from SEC filings. Last updated: 2025-08-30