Securities America Adds Morrison to Executive Leadership
Securities America has hired Denise Morrison to the position of chief Compliance Officer. She will also serve as a member of the executive leadership team. Denise was drawn to the technology, growth and service at securities America.
Online PR News – 31-August-2012 –LA 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
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SOURCE: SECURITIES AMERICA
Advisory services offered through Securities America Advisors, Inc., an SEC Registered Investment Advisory Firm. Securities offered through Securities America, Inc., member FINRA/SIPC.
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