LA VISTA, Neb.--(BUSINESS WIRE)--
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services, Inc. (NYSE MKT: LTS, LTS PrA), is proud to announce EOI Management has been named its national 2016 Exemplary Office of the Year.
“David Paulson and the advisors at EOI Management have created an ideal culture in which teamwork thrives and compliance is understood to benefit both client and advisor,” said Gregg Johnson, executive vice president of Branch Office Development and Acquisitions for Securities America.
EOI Management President and CEO David Paulson, CPA, joined Securities America in 2013. The firm has 36 advisors in seven states and is based in Bismarck, North Dakota. In 2016, EOI had more than $5 million in GDC.
The award is given to an OSJ with an outstanding record of compliance with regulations and adherence to best practices combined with a culture of compliance. In addition to meeting exacting criteria, the nominating home office departments emphasized David Paulson’s and EOI’s advisors’ teamwork, positive attitudes and collaborative spirit.
The selection committee awarded EOI the honor based on its ability to meet or exceed expectations of supervisory tasks, collaboration and communication with the home office, quality of reviews performed and paperwork submitted, low number of surveillance items and responsiveness to industry regulatory requirements.
Nominating remarks highlighted Paulson’s quick follow-ups with advisors and supervisors and the timeliness of advisors’ annual attestations and responses to outstanding items. The advisors were also noted for their understanding of the importance of following firm procedures and open-mindedness to policy and system changes.
About Securities America
Securities America, headquartered in La Vista, Nebraska, is one of the nation’s largest independent broker-dealers with more than 2,000 independent advisors and $60 billion in client assets.
Securities offered through Securities America, Inc., member FINRA/SIPC, EOI Management, Registered Representative. Advisory services offered through Securities America Advisors Inc. EOI Management and Securities America are separate entities.
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