LA VISTA, Neb.--(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 supervision
Smith
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, operations
Zimmerman
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 officer
Johnson 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
architecture
Reed 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 counsel
Over
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 development
Nguyen
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
quality
Plyler 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 America
Securities
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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