Experienced Leadership

Securities America, Inc. (SAI) and Securities America Advisors, Inc. (SAA)

James Nagengast
SAI President // SAI and SAA CEO

Jim became CEO of Securities America companies in 2010 and President of Securities America, Inc. in 2008, Since joining Securities America as CFO in 1994, Jim has provided expertise in profitability and margins, along with budgeting and forecasting.

  • MBA in accounting and finance from Columbia University
  • AB in economics from Harvard University
  • Series 7, 24 and 27 securities licenses

 

Janine Wertheim
SAA President // SAI Senior VP and Chief Marketing Officer

Janine began her career with Securities America at its inception in 1984. She has held numerous management positions within the organization, and plays a key leadership role in ongoing technology and quality initiatives.

 

  • BS in business from Lander College
  • Series 7, 65, 63 and 24 securities licenses

 

Kirk Hulett
SAI and SAA Executive Vice President, Strategy and Practice Management

Kirk leads Securities America’s Practice Management Group, which provides consultation to investment professionals on how to improve the efficiency and profitability of their practice. He also guides the firm’s Human Resources functions and services, including employee selection and training.

  • Certified Master Quality Facilitator and Trainer from the Crosby Institute
  • MS in industrial/organizational psychology from the University of Nebraska at Omaha
  • Washburn University honors graduate
  • Series 7 and 24 securities licenses

 

Doreen Griffith
SAI and SAA Executive Vice President and Chief Information Officer

Doreen joined Securities America in 1999 and leads the Web-based technology efforts, along with internal application development, support and systems security. Her experience in the retail, telecommunications and energy trading industries helps her provide expertise in technology, disaster recovery and information management.

  • BS from Creighton University
  • Series 7 and 24 securities licenses

 

Jim Heeney
SAI and SAA Senior Vice President, Sales Supervision

Jim joined Securities America in June, 2007. His responsibilities include leading the Supervision and Sales Supervision Operations teams, Corporate Services, AML and Surveillance, and he is responsible for implementing strategies, processes and systems to supervise the sales activity of Securities America’s registered representatives and investment advisors. Prior to joining Securities America, Heeney was managing director of compliance operations at TD Ameritrade, where he started in 1998 as a registered representative. During his tenure there, he held positions including trading manager, senior trading manager, senior manager of client services and senior manager of client quality group/operations.

  • Bachelor’s in business administration from Bellevue (Nebraska) University
  • Certified Regulatory Compliance Professional designation earned through the FINRA Institute at Wharton
  • Series 7, 63 and 24 securities licenses

 

Gregg Johnson
SAI and SAA Senior Vice President, Branch Office Development

Gregg joined Securities America in 2006, having previously been with First National Investments & Planning where he served as Vice President and founder of the Omaha-based bank’s investment management program. Prior to that he was a financial planner and advisor. Gregg has extensive experience with training, coaching and branch building, and utilizes those skills in helping independent advisors discover the opportunities for growth at Securities America.

As Director of Branch Office Development, Gregg leads an experienced team whose role is to assist prospective representatives with evaluating Securities America’s programs and services, and how we might aid them in meeting their business goals. Additional department strategies are to grow Securities America’s representative branch network, and to continue expansion into the Financial Institution marketplace.

  • MBA from Creighton University
  • Bachelors in Business Administration, Morningside College
  • Series 7, 24, 63 and 66 securities licenses
  • Life and Health Insurance license

 

Dennis King, CFP®
SAA Senior Vice President, Business Development/Fee Based Sales

Dennis has more than 25 years of experience as a Stockbroker, Financial Planner and Investment Advisor. Prior to joining Securities America in 2000, he was co-founder and Vice President of a Registered Investment Advisory firm providing fee-based money management services. Dennis is responsible for overseeing all the fee-based investment advisory and financial planning programs at Securities America.

  • MBA and Global Business Management degrees
  • Series 7, 65, 63 and 24 securities licenses
  • Certified Financial PlannerTM practitioner

 

Kevin Miller
SAI & SAA Senior Vice President, Chief Compliance Officer and General Counsel

Kevin is responsible for providing strategic direction to the compliance department and overseeing the development, implementation, communication and review of all compliance policies, processes, procedures and technology designed to meet the requirements of various regulatory authorities. Kevin oversees the Compliance Administration, Examinations, Licensing & Registration and Communications Review teams. He is also involved in Securities America’s litigation and contract matters, as well as providing counsel to the management and executive leadership team on legal issues regarding the firm, its registered representatives and its registered investment advisors.

He has been a featured speaker and panel member at such events as the 2005 ALFA International Securities and Insurance Practice Group Conference, and was an author and regular contributor to publications of the Small Business Development Center.

  • Bachelor of Science degree in Business Administration from Iowa State University
  • Juris Doctorate degree from the Creighton University School of Law
  • Series 7, 24 and 66 securities licenses