Securities America in the News

December 18, 2014 | Press Releases

Securities America’s Miller Named to Financial Services Institute’s Compliance Council

LA VISTA, Neb. – Dec. 18, 2014 – Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE MKT: LTS), announced that Kevin Miller, senior vice president general counsel, has been named to the Financial Services Institute (FSI) Compliance Council.

The FSI Compliance Council provides a forum enhancing knowledge and comprehension of compliance and supervisory issues. It is composed of up to 12 people, and members are elected by the council to serve three-year staggered terms.

Miller joined Securities America in 2000 and brings more than 23 years of legal and compliance experience to the company. As the general counsel, he is responsible for oversight of the firm’s litigation and regulatory matters, directing the daily operations of the Legal Department and providing advice and counsel to the organization. He also oversees the company’s Supervision Department, which implements strategies, processes and systems to supervise the sales activity of Securities America’s registered and investment advisor representatives.

Miller has been a featured speaker and panel member at various industry and regulatory conferences and is an author and contributor of articles related to compliance and regulatory issues.

 

About Securities America

Securities America is one of the nation’s largest independent broker-dealers with more than 1,800 advisors and $50 billion in client assets.

 

 

Securities offered through Securities America, Inc., member FINRA/SIPC. Advisory services offered through Securities America Advisors, Inc., an SEC Registered Investment Advisory Firm.