August 30, 2012 | Press Releases
Securities America Adds Morrison to Executive LeadershipLA VISTA, Neb. – Aug. 30, 2012 – Securities America has hired Denise Morrison to the position of chief compliance officer.
In this position, Morrison, 36, will serve as a member of the firm’s Executive Leadership Team and lead the firm’s compliance division including advisory compliance; licensing; communication review; branch office exam; policies and procedures; surveillance; and client regulatory and inquiry groups. Her responsibilities include providing strategic direction to the Compliance Department and overseeing the development, implementation, communication and review of all compliance policies, procedures and technology designed to meet the requirements of federal and state regulatory authorities.
“I joined Securities America because I wanted to be associated with a firm focused on technology, growth and service to both financial advisors and clients,” Morrison said. “I’m looking forward to working with the dedicated Securities America team and the independent advisors across the country."
As the former managing director of regulatory affairs and chief compliance officer of investment advisors at Morgan Keegan in Memphis, Tenn., Morrison was in charge of ensuring regulatory management and managed various compliance areas, including privacy, business continuity planning, advertising and marketing, anti-money laundering, advisory compliance and equity capital markets compliance. Morrison began her career in compliance in 1998 and joined Morgan Keegan in 2007.
“We are extremely excited to have Denise join the Securities America team,” said Kevin Miller, Securities America senior vice president and general counsel. “Denise's tremendous experience in the industry, diverse background and successful track record will make her a key contributor in the ongoing growth of the company.”
Morrison came to Morgan Keegan through the purchase of AmSouth Investment Services (AIS), a wholly owned subsidiary of AmSouth Bancorporation, based in Birmingham, Ala. At AIS, she also served as a senior manager in the Compliance Department responsible for overseeing various areas. Before AIS, Morrison served as the chief compliance officer for NBC Securities Inc. for four years, reporting to both the president and parent company’s board of directors.
Morrison graduated from Samford University with a bachelor’s degree in business management and finance and holds the Series 7, 14, 24, 53, 63, 65, 79 and 99. In addition, she is a member of the Securities Industry and Financial Markets Association, the National Society of Compliance Professionals and the Securities and Insurance Licensing Association.
About Securities America
Headquartered in La Vista, Neb., Securities America Inc. is the nation’s eighth largest independent broker-dealer (as ranked by Financial Planning magazine, June 2012, based on 2011 total revenue). For more than 25 years, Securities America’s mission has been to foster the success of financial professionals so they can provide quality, objective counsel and services to their clients. Advisors benefit from the firm’s industry-leading programs in practice management, advisory services and retirement income distribution, supported by state-of-the-art technology. Founded in 1993, Securities America Advisors Inc. is an SEC-Registered Investment Advisory firm that offers investment management, financial advice and financial planning through a national network of independent financial advisors. Securities America Financial Corp. is a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE MKT: LTS). Securities America received the inaugural Thought Leadership Award from the Retirement Income Industry Association in March 2011. Additional information is available at www.securitiesamerica.com.