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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.
Vice President and Chief Compliance Officer
Matt joined Securities America in 2006. As the firm’s chief compliance officer, he leads the firm's advisory and brokerage compliance functions, including licensing and registration; policies and procedures; communications review; anti-money laundering; surveillance and the client and regulatory inquiry groups.
Prior to this position, Matt worked in the Wealth Management Department as director of product management and in the Compliance Department as director of compliance operations. Matt graduated from the University of Nebraska at Omaha with a bachelor’s degree in mathematics and received an MBA from the same university.
Matt holds the Series 7, 24, 66; the Nebraska Life and Annuity insurance license; and the Accredited Investment Fiduciary and Certified Regulatory and Compliance Professional designations. He is married and enjoys spending time with his two daughters.