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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 27 years of legal and compliance experience to the firm. As general counsel, he manages the firm’s litigation and regulatory matters and provides counsel to the management and executive leadership team. Kevin oversees the Supervision department, where he provides strategic direction for the development, implementation, communication and review of all policies, procedures and technology. Kevin has served as chief compliance officer, chief risk officer, privacy officer, AML officer and identity theft
Kevin received his bachelor’s degree in business administration from Iowa State University and a Juris Doctorate from the Creighton University School of Law. Kevin holds the Series 7, 24 and 66 securities licenses.