StarNewsletter_2_14_final_Layout 1 2/26/14 10:38 AM Page 6 Feature Story 2013 Award Winners Announced Securities America proudly honors the outstanding business achievements of our representatives, advisors and branches in 2013! 5The STAR | FEBRUARY 2014 StarNewsletter_2_14_final_Layout 1 2/26/14 10:38 AM Page 7 Circle of Stars These awards are given to the Top 10 Representatives (based on highest GDC/Fees), Top 10 Advisors (based on highest assets under management in fee-based programs) and Top 10 Branches (based on highest total GDC/Fees). Top 10 Branch Offices: 1. JFC Financial Services – Lincoln, NE Top 10 Advisors Overall: 1. Jeffery Townsend – Westminster, CO 2. Jordan Dechtman – Centennial, CO 3. Charlie Duncan – Carlsbad, CA 4. Barry Armstrong – Needham, MA 5. Brett Ellen – Calabasas, CA 6. Graydon Coghlan – San Diego, CA 7. Paxton Farese – Ridgeland, MS 8. Bill Kantner – Chadds Ford, PA 9. Trudy Haussmann – Newport Beach, CA 10. Kim Kropp – Omaha, NE Jack Connealy, President 2. Cedar Brook Financial Partners – Mayfield Heights, OH Bill Glubiak, Managing Principal 3. L&M Financial Services – Amherst, NY Gregg and Amy Lipsitz, President and Chief Operating Officer 4. USAdvisors Network – Eden Prairie, MN Nate Bergeland, Founder & CEO 5. Cooper McManus – Irvine, CA Art Cooper, Managing Partner 6. Investor Securities Group, Inc. – Suffolk, VA Chris Holloway, President & CEO 7. Rios and Associates – Folsom, CA Dick Rios, President Top 10 Advisors Fee-Based AUM: 1. Barry Armstrong – Needham, MA 2. Jordan Dechtman – Centennial, CO 3. Brett Ellen – Calabasas, CA 4. Charlie Duncan – Carlsbad, CA 8. M2 Wealth Management Group – Folsom, CA Richard Maxey, President 9. Haussmann Financial – Newport Beach, CA Trudy Haussmann, President & Owner 10. Queen City Financial Advisors – Cincinnati, OH Chuck Hais, Branch Manager 5. Trudy Haussmann – Newport Beach, CA 6. Jeffery Townsend – Westminster, CO 7. Chuck Blossom – Lake Elmo, MN 8. Graydon Coghlan – San Diego, CA 9. Les Jackson – Park Ridge, IL 10. John Egan – Madison, NJ The Circle of Stars Award recipients will be honored at the Masters Forum in Kiawah Island, South Carolina in March. FEBRUARY 2014 | The STAR 6 StarNewsletter_2_14_final_Layout 1 2/26/14 10:38 AM Page 8 Shooting Star Awards: Advisor AUM: Johnny Moore – Amarillo, TX This award is presented to the advisor with the highest percentage increase in fee-based Assets Under Management. The advisor must have been with us for all of 2012 and 2013, and have a minimum of $10 million in assets under management. Representative GDC: Neil Graff – Sioux Falls, SD This award is presented to the representative who has the highest percentage increase in gross commissions and fees. The representative must have been with us for all of 2012 and 2013, and have a minimum of $250,000 in GDC/Fees. Shooting Star and Assistant of the Year Branch AUM: United Advisors – New York, NY Mark Penske, OSJ This award is presented to the branch with the highest percentage increase in fee-based assets under management. The branch must have a minimum of $50 million in fee-based AUM and a minimum of four advisors. Branch GDC: CFG Wealth Management – San Diego, CA Josh Willard, OSJ This award is presented to the branch with the highest percentage increase in gross commissions and fees. The branch must have a minimum of $1 million in total GDC/Fees and a minimum of four advisors. Assistant of the Year Award: Barbara Pal – Cleveland, OH The recipient of this award is nominated by an advisor, has a minimum of two years’ experience in the financial services industry, a clean compliance record if licensed, shows exemplary service above and beyond what is expected to clients, advisors and the firm and demonstrates leadership abilities as well as personal and professional development. Recipients of the Shooting Star and Assistant of the Year Awards will be honored at Securities America’s Connect! in San Francisco, Calif., in June. 7 The STAR | FEBRUARY 2014 StarNewsletter_2_14_final_Layout 1 2/26/14 10:38 AM Page 9 2014 Council Members Securities America Advisory Council The Securities America Advisory Council creates an opportunity for advisors to provide feedback on the firm’s strategy, tactics and marketing message. It also allows Securities America to build strong personal relationships with its advisors. Securities America selects members of the advisory council from its top financial advisors. Council members represent a diverse mix of business, geographic regions and experience in the financial services industry. For additional contact information, click here. W. Bruce Jackson - Williamsburg, VA Bud James - Doylestown, PA Chad Parmenter - Kirkland, WA Dan Nance - Portland, OR Kris Flammang - Sarasota, FL Paula Dorion-Gray - Crystal Lake, IL Peggy Rouillier - Nashville, TN Ronald Eckloff - Kearney, NE Jordan Dechtman - Centennial, CO Josh Gilliam - Louisville, KY Kevin Korhorn - Granger, IN Branch Manager Advisory Council Securities America developed the Branch Manager Advisory Council (BMAC) to provide an opportunity for Branch Managers to offer feedback and ideas on how Securities America can support the growth and management of successful branch offices. Likewise, it creates an opportunity for Securities America's executive team to communicate the firm's initiatives and accomplishments to Branch Managers, as well as build personal relationships and create strong strategic partnerships. For additional contact information, click here. Arthur Cooper - Cooper McManus Gregg Lipsitz - L & M Financial Clyde Wyatt III - Navigation Financial Richard Rios - Rios and Associates, Inc. Todd Terhorst - Diversified Wealth Management Chris Holloway - Investor Securities Group, Inc. Jack Connealy - JFC Financial Services Steve Bull - Verus Capital Partners Chuck Hais - Queen City Financial Advisors Financial Institutions Advisory Council Securities America developed the Financial Institutions Advisory Council to provide an opportunity for bank and credit union advisors to provide insight into current challenges in the financial institutions environment, as well as feedback on specific product and service needs required to further enhance their relationship with and benefit to their clients and members. Likewise, it creates an opportunity for Securities America’s executive team to communicate the firm’s initiatives and accomplishments, as well as build personal relationships and create strong strategic partnerships. Council members represent a diverse mix of business, geographic region, gender and backgrounds.For additional contact information, click here. Cody Flatt - Ascentra Credit Union Matt Lawler - F&M Bank Cory Libis - American National Bank Robert Rader - United Prairie Bank Gina Van Baren - DeMotte State Bank Susan Welo - First State Bank of North Dakota Nate Wyatt - The Gothenburg State Bank Sales Assistant Advisory Board Behind every successful advisor is a top-notch assistant. Assistants are the backbone of our industry. Where would your office be without the person who takes care of "all the little details?" Securities America believes we can all learn from these experts. That's why we established the Sales Assistant Advisory Board. The board provides an opportunity for assistants to offer improvement ideas and initiatives to Securities America from our front line customers. For additional contact information, click here. Robin Claypool - Advisor, Kevin Clar Amy Sunderland - Advisor, Bill Bailey Suzanne Miesse - Advisor, Ken Buzek Kristen Arsenault - Advisor, Pat Lanotte Barbara Pal - Advisor, Brad Schlang Charity Buinicky - Advisors, John Williams & Scott Davis Laura Southeard - Advisor, Michael Mullis Carmella Nodine - Advisor, Johnny Moore Grace Simmons - Advisor, Stuart Horowitz FEBRUARY 2014 | The STAR 8