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At Securities America, we focus on helping financial professionals create a more effective, profitable and satisfying practice by providing exceptional financial counsel, product offerings and service to their clients.
Chief Compliance Officer
In his role as Chief Compliance Officer, Harold is responsible for the implementation of the compliance programs at Securities America. He provides compliance oversight to the firm and all its affiliated financial professionals and promotes and enhances the firm’s culture that encourages ethical conduct and commitment to compliance.
Harold brings almost 30 years of experience as a compliance professional, including time as a CCO, an Examiner with FINRA, and as a Capital Market Specialist at the Federal Reserve Bank of Atlanta. Harold earned his Bachelor’s Degree in Business Administration – Finance. He currently holds his FINRA Series 7, 24, and 65 licenses, and holds the Chartered Financial Analyst (CFA), Certificate in Investment Performance Measurement (CIPM), and Certified Securities Compliance Professional (CSCP) designations.