Securities America Promotes Smith to Vice President, Supervision
Smith joined Securities America in February 2012 as director of sales supervision. His responsibilities include coordinating the firm's sales supervision functions and leading a team of 45 risk management professionals. The team works directly with financial advisors and branch managers to ensure they are serving their clients and integrating best practices for their independent businesses.
Prior to joining Securities America, Smith spent 16 years at TD Ameritrade in leadership positions in operations, trading and risk management. Prior to joining TD Ameritrade, Smith worked as an independent registered representative and a registered investment advisor for eight years.
A native of Atlantic, Iowa, Smith has a degree in agribusiness from the University of Nebraska-Lincoln. He holds the Series 3, 4, 7, 24, 63 and 65 securities licenses.
About Securities America
Securities America is one of the nation's largest independent broker-dealers with more than 2,000 independent advisors and $55 billion in client assets.
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Advisory services offered through Securities America Advisors, Inc., an SEC Registered Investment Advisory Firm. Securities offered through Securities America, Inc., member FINRA/SIPC.