Securities America Financial Corp.Direct owner 1 Sep 198275% - 100%47-0691275Pamela Janine WertheimPresident/director 1 Oct 1993Other1311477Steven Ford McwhorterChairman/ceo/ director 1 Oct 1993Other2130681James Delwyn NagengastExecutive vp, chief financial officer 1 Dec 1994Other2571451Walter Thomas CrossSenior vp, director of product distribution 1 Jun 1995Other815847Steven Ford McwhorterChairman/director/ceo 1 Feb 1998Other2130681David Octavio SpinarVp, chief compliance officer 1 Nov 1998Other2789529Steven Ford McwhorterChairman/director/ceo 1 Feb 1999Other2130681Brian Michael HeathDirector 1 Jun 1999Other1258626Scott Charles HoytSenior vp, general counsel 1 Feb 2000Other2474820Doreen Louise GriffithVice president/chief information officer 1 Aug 2000Other4110247Barry J MurphyDirector 1 Sep 2001Other2494872Marla Jean CrossVice president, advisory services 1 Sep 2001Other1928417Kirk Jesse HulettSenior vice president, human resources 1 Dec 2002Other2528380Dennis Michael KingVice president business development 1 Dec 2002Other707144Gayle Elizabeth ParsonsVice president & treasurer, finance & accounting 1 Dec 2002Other2824340Paul Robert HuerterFirst vice president administrativce services 1 Sep 2003Other2219429Theresa J JamesFirst vice president, director of operations 1 Sep 2003Other3022058Diane Dee LyngstadDirector 1 Oct 2004Other2536158Lamar Stewart JonesVice president risk management 1 Oct 2004Other838681James Delwyn NagengastExecutive vp, coo & cfo 1 Oct 2004Other2571451Doreen Louise GriffithSenior vp/chief information officer 1 Jan 2005Other4110247Kevin Joseph MillerFirst vice president and assistant general counsel 1 Sep 2005Other4133001Kathleen A ShotkoskiVice president of human resources & training 1 Sep 2005Other4196981Gregg Howard JohnsonVice president, branch office development 1 Sep 2006Other2110658Dennis Michael KingSenior vice president 1 Jan 2007Other707144Paul Robert HuerterVice president/compliance chief of staff and administrative services 1 Jan 2007Other2219429Kevin Joseph MillerVice president/assistant general counsel 1 Jan 2007Other4133001Paul Raymond LoftiesFirst vp, wealth management & acquisitions 1 Jan 2007Other2842911Elizabeth Ann HansenChief compliance officer 1 Feb 2007Other2199658Dennis Michael KingSenior vp, business development 1 May 2007Other707144James Micheal HeeneyVice president, chief compliance officer 1 Jun 2007Other3019122Terrance Shawn DewaldSenior vice president, chief general council 1 Jun 2007Other3173980Todd Joseph SpanglerVice president sales supervision 1 Nov 2007Other4403436Gregg Howard JohnsonExecutive vice president, branch office development and acquisitions 1 Feb 2008Other2110658Walter S BermanDirector 1 Apr 2008Other4500271Donald E FroudeDirector 1 Sep 2008Other1002120Kevin Joseph MillerVice president/chief compliance officer/deputy general counsel, aml, privacy, identity theft protection policy & risk officer 1 May 2009Other4133001James Micheal HeeneySenior vp, sales supervision and operations 1 Mar 2010Other3019122James Delwyn NagengastCeo 1 Jul 2010Other2571451James Delwyn NagengastCeo/director 1 Aug 2010Other2571451Kelly Joseph WindorskiDirector 1 Dec 2010Other3211118Charles Neal MaglaqueDirector 1 Dec 2010Other5026063Philip Salvatore BlancatoDirector 1 Nov 2011Other2122221Adam Scott MalamedDirector 1 Nov 2011Other2560518Brett H KaufmanDirector 1 Nov 2011Other5514420Joseph GiovannielloDirector 1 Nov 2011Other3086071Gayle Elizabeth ParsonsVp, treasurer & accounting 1 Nov 2011Other2824340Doreen Louise GriffithExecutive vp/chief information officer 1 Jan 2012Other4110247Kirk Jesse HulettExecutive vp, strategy and practice management /director 1 Jan 2012Other2528380Kevin Joseph MillerSenior vice president/chief compliance officer/ general counsel, aml officer, privacy officer, itpp officer, corporate secretary 1 Jan 2012Other4133001Kevin Joseph MillerSenior vice president/ general counsel, aml officer, privacy officer, itpp officer, corporate secretary 1 Aug 2012Other4133001Cynthia Denise MorrisonVice president and chief compliance officer 1 Aug 2012Other3003956Paul Raymond LoftiesSenior vp, wealth management 1 Jan 2013Other2842911Kevin Joseph MillerExecutive vice president/ general counsel, corporate secretary 1 Jun 2013Other4133001Mark Thomas LasswellSenior vice president, chief compliance officer, aml officer, privacy officer, itpp officer 1 Jan 2014Other2092593David John VaughanSenior vice president, chief financial officer, fin op officer 1 Jan 2014Other2603399Leon Michael JohnsonSenior vice president, information services operations, technology services, chief information security officer 1 Jan 2017Other2677019Gregory Jay SmithSenior vice president, sales supervision 1 Jan 2017Other1657211Matthew John KinsellaFirst vice president & deputy compliance officer 1 Jan 2018Other5217108Matthew KinsellaFirst vice president & deputy compliance officer 1 Jan 2018Other5217108