Independent Broker-Dealer at Your Service
At Securities America, we focus on helping advisors create a more effective, profitable and satisfying practice by providing exceptional financial counsel, product offerings and service to their clients.
Executive Vice President and General Counsel
Kevin joined Securities America in 2000 and brings more than 23 years of legal and compliance experience to the company. As the general counsel, Kevin is responsible for oversight of the firm’s litigation and regulatory matters, directing the daily operations of the Legal Department and providing advice and counsel to the organization.
He also oversees the company’s Supervision Department, with implementing strategies, processes and systems to supervise the sales activity to Securities America’s registered and investment advisor representatives.
Kevin has been a featured speaker and panel member at various industry and regulatory conferences and is an author and contributor of articles related to compliance and regulatory issues. Kevin has a Bachelor of Science in business administration from Iowa State University, a Juris Doctor from the Creighton University School of Law, and currently holds Series 7, 24 and 66 securities industry licenses.
- Juris Doctor from Creighton University School of Law
- Bachelor of Science in business administration from Iowa State University
- Series 7, 24 and 66 securities licenses
Check the background of this investment professional on FINRA’s BrokerCheck.