Jim Nagengast
CEO & President
Securities America





Adapt To Change And Grow With Securities America


Securities America delivers advisor-focused technology and business growth solutions that make your practice more efficient, so you can put more time into revenue-producing activities. We provide the support advisors need to adapt to the changes and still grow their business—even during a transition to a new broker-dealer.


Last year, Securities America experienced its second largest recruiting year in our history. Our personalized transition process ensures advisors are treated as individuals, not a stack of paperwork. Even when onboarding large groups of advisors, Securities America’s expertise in handling those situations gets advisors back to doing business quickly while maintaining the group’s culture. And, we have training programs, materials and financing options to help our OSJs recruit advisors to their branch.


For advisors leaving a wirehouse to go independent, a branch removes many of the logistical headaches like office space, equipment and staff. For independent advisors, folding their practice into a branch means handing off time-consuming compliance and supervision duties to the branch manager and gaining cost efficiencies from shared expenses.


Small broker-dealers are finding value in becoming Securities America super OSJs. The financial strain of adapting to challenges like the new DOL fiduciary rule may cause more small BDs to consider this structure. Securities America has the benefit of a stable parent company, Ladenburg Thalmann Financial Services (NYSE MKT: LTS; LTS PrA), that has been a member of the New York Stock Exchange for more than 135 years. Our relationship with Ladenburg Thalmann gives our advisors access to services not typically found at an independent broker-dealer.


The new DOL rule may also prompt some advisors to exit the business. Securities America has the industry’s most comprehensive services for advisors looking to sell their practice, including a dedicated consultant for continuity, succession and acquisition. Last year, we assisted with 19 practice acquisitions totaling almost $600 million in AUM.


Securities America understands the value of independence for advisors and their clients. We offer affiliation models to fit almost any advisor business

SECURITIES AMERICA is a leading independent broker-dealer with more than 2,000 financial advisors overseeing $58 billion in client assets. With over 500 employees primarily in La Vista, Neb., we help advisors grow, protect and perfect their practice so they can provide the very best advice to their clients on all life’s money matters. Recognized for its award winning technology, proven practice management solutions and innovative advisory platform, Securities America is a subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE MKT: LTS). This affiliation provides expanded wealth management services including equity research, investment banking, access to IPOs, advisor-friendly trust services and insurance brokerage through the Ladenburg Thalmann family of companies.

For more information visit www.securitiesamerica.com.