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Senior Vice President and Chief Compliance Officer
Mark joined Securities America in 2014. Lasswell leads the firm’s advisory and brokerage compliance functions, including licensing/registration, policies/procedures, communications review, anti-money laundering, surveillance, and the client and regulatory inquiry groups. Prior to joining Securities America in 2014, Mark served over 25 years with Wells Fargo, including 10+ years as chief compliance officer and chief operations officer for its capital markets brokerage division.
Mark graduated from Saint John’s University (Minnesota) with a Bachelor of Science in accounting and has a Master of Business Administration from the University of Saint Thomas (Minnesota). In addition to being an inactive CPA, Mark holds the Series 4, 7, 24, 27, 53 and 63 securities licenses. In December 2016, he was elected to a three-year term on the FINRA District 4 Committee. From 2004 to 2006, he served on the FINRA (NASD) District 4 Nominating Committee, the FINRA Consultative Committee, the FINRA Technology Advisory Committee and the FINRA District 4 Committee, including chairing the committee in the third year of his term. He is also a former FINRA hearing