Securities America Promotes Seven Officers
January 26 2017 - 7:00AM
Business Wire
Securities America, a wholly owned subsidiary of Ladenburg
Thalmann Financial Services Inc., has promoted seven employees to
officer positions.
Gregory J. Smith, senior vice president, sales
supervisionSmith joined Securities America in 2012 as director
of sales supervision and was promoted to vice president,
supervision in 2015. Smith is responsible for coordinating sales
supervision functions. He has a degree in agribusiness from the
University of Nebraska-Lincoln and holds series 3, 4, 7, 24, 63 and
65 securities licenses.
Craig Zimmerman, senior vice president,
operationsZimmerman joined Securities America in 2011 as
director of operations. He oversees the daily support and workflow
for all operations functions, including account processing,
maintenance, cashiering, fees, brokerage services and trading.
Zimmerman has a degree in finance/banking from Buena Vista
University and is a graduate of the Securities Industry Institute
at The Wharton School of the University of Pennsylvania. He
has series 3, 4, 7, 24, 55 and 63 securities licenses.
Leon Johnson, senior vice president, information systems
operations and tech support, chief information security
officerJohnson joined Securities America in 1995. He is
responsible for information systems operations, security, quality
assurance and technology support. He also oversees all data centers
and infrastructure, disaster recovery, audits, data security, data
and website security and facility security. In addition, Johnson’s
area provides technology support for advisors with questions or
problems involving online systems. He holds his series 99
securities license.
Randy Reed, senior vice president, enterprise development and
architectureReed leads the application development and business
intelligence data quality teams. Prior to joining Securities
America in 2001, he was owner and founder of Paricom, Inc., an
internet and data security firm, and served in the Air
Force. He is a graduate of the American Institute of
Management and the Community College of the Air Force.
Christina Heller, first vice president and senior
counselOver her 12 years with Securities America, Heller has
held positions in compliance, supervision and legal. Her primary
responsibilities include arbitration and litigation case management
and coordinating responses to regulatory inquiries, investigations
and examinations. She earned a Juris Doctorate degree from the
University of Iowa College of Law and a Bachelor of Arts degree in
English literature from Creighton University.
Tu Nguyen, first vice president, application
developmentNguyen joined Securities America in 2012. He is
responsible for leading the implementation and deployment of New
Business Solutions, Securities America’s award-winning, paperless
system for processing business and opening new accounts. He was
previously director of application development. Nguyen has a
bachelor’s degree in management information systems from the
University of Nebraska at Omaha.
Robert Plyler, first vice president, business intelligence
and data qualityPlyler started with Securities America in 1999
as a developer/analyst and has held management positions in the
information services department. He is responsible for the
development of application and reporting systems that ensure data
integrity. He obtained his undergraduate degree from Penn State
University and holds a Master of Business Administration and a
master’s degree in information systems from the University of
Pittsburgh.
About Securities AmericaSecurities America is one of the
nation’s largest independent broker-dealers with more than 2,000
independent advisors and nearly $58 billion in client assets.
Securities offered through Securities America, Inc., member
FINRA/SIPC. Advisory services offered through Securities America
Advisors, Inc., an SEC Registered Investment Advisory Firm.
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version on businesswire.com: http://www.businesswire.com/news/home/20170126005090/en/
Securities AmericaNatalie Hadley402-399-9111 ext.
4606800-747-6111 ext. 4606nhadley@saionline.com
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