First Allied Securities

Our corporate management team is comprised of industry executives and highly trained investment professionals who are dedicated to providing entrepreneurial advisors access to the opportunities they require to dramatically increase earnings in a highly competitive business arena.

With a progressive vision for the future, First Allied's corporate management team continually seeks out new opportunities to help advisors win the battle for wealthy clients and exceed their expectations with the right combination of support and flexibility.

Our team members have a broad business foundation, with a comprehensive understanding of the needs of independent financial consultants and their clients. Backed by years of experience and a unique forward-looking approach, First Allied Securities is well positioned to meet the challenges of today's ever-changing financial market.

• Adam Antoniades President and CEO

  As President and CEO of First Allied, Mr. Antoniades is instrumental in driving the strategic direction of the firm. As one of First Allied’s founding members, he also spearheaded several strategic acquisitions including the 2002 sale of First Allied to Wells Fargo. In 2004, Mr. Antoniades shifted his leadership focus to successfully develop Advanced Equities Financial Corp.'s (AEFC) independent brokerage channel. In February of 2005, he drove the acquisition of First Allied by AEFC. Most recently, he led the organization through a private-equity backed management buyout of the company from AEFC. Prior to First Allied, Mr. Antoniades held senior management positions at major financial institutions around the globe including Berkeley Administration Inc., a foreign currency retail trading organization, in Belgium and A. J. Bekhor and Company, an independent financial services company, in the United Kingdom.

• Joel Marks Chairman

  Mr. Marks, Chairman, has held an executive leadership position within the company since 2005 and has been a principal driver of the expansion of the firm's independent brokerage initiatives. Mr. Marks is primarily responsible for First Allied’s industry relationships, strategic partnerships, business development and strategic planning efforts. Mr. Marks co-founded JWGenesis Financial Corp. where he served as Vice Chairman and Chief Operating Officer until the company was acquired by First Union Securities (now known as Wells Fargo Securities Financial Network) in January 2001. Following the acquisition, Mr. Marks served as Senior Vice President and Managing Director of Wachovia Securities through May 2002. Prior to founding JWGenesis, Mr. Marks served as Chief Financial Officer of Automobile Protection Corp., a third-party administrator that was acquired by Ford Motor Credit Corporation in 1999. Prior to his employment with Automobile Protection Corp., Mr. Marks was employed by the international accounting and consulting firm of Deloitte & Touche, LLP.

• Sonia Ahuja Chief Strategy Officer

  As Chief Strategy Officer, Ms. Ahuja leads the development of a strategic corporate plan to drive revenue, improve profit margins and stimulate growth. Ms. Ahuja is constantly evaluating the competitive landscape and leveraging market research to ensure the firm is well-positioned within the industry. Most recently, Ms. Ahuja was Program Manager of Planning and Execution at Wachovia/Wells Fargo. She brings to the firm more than 10 years of experience in managing large, multi-year, strategic initiatives for multiple organizations. She has led cross-functional teams in strategic transformation and performance improvement initiatives that span multiple lines of business. Ms. Ahuja has served as a consultant in both technical and business environments to Fortune 500 companies such as American Express, AIG and Bank of America. She holds master's degrees in business administration and in computer applications and a bachelor’s degree in physics. She is also a certified Project Management Professional and is Six Sigma certified.

• Gregg S. Glaser Chief Financial Officer

  Mr. Glaser has served as Chief Financial Officer for First Allied since September 2004. He formerly served as Chief Financial Officer of the Independent Brokerage Group of Wachovia Securities. Mr. Glaser also served on the Board of Managers of Wachovia Securities Financial Network, LLC and Wexford Clearing Services, LLC. Mr. Glaser is the former Chief Financial Officer, Executive Vice President and Treasurer of JWGenesis Financial Corp. Prior to this role, Mr. Glaser was employed in various capacities by the international accounting and consulting firm of PriceWaterhouseCoopers, LLC.

• Robert S. Holcomb Chief Marketing Officer

  As Chief Marketing Officer, Mr. Holcomb is responsible for overseeing the revenue generating and business development functions at First Allied including marketing/communications, recruiting, pension services, Business Strategies Group, asset management, insurance services, and our fee-based technology platform. Prior to joining First Allied, Mr. Holcomb founded DataStream, a software development firm that created proprietary applications for the financial services industry. DataStream was acquired in early 2000 by Thomson Financial, a division of the Thomson Corporation. Post-acquisition, Mr. Holcomb served as Chief Operating Officer for Thomson's Wealth Management.

• Steve Krameisen Chief Technology Officer

  Mr. Krameisen is responsible for overseeing information technology at First Allied. He has significant experience in delivering state-of-the-art technology solutions for financial services and insurance information technology organizations. Prior to joining the firm, he worked at MetLife as Vice President of Individual Business Information Technology. He was responsible for leading large-scale project implementations, supporting major operation systems, and creating point-of-sale solutions for the various distribution channels. Mr. Krameisen spent the first 15 years of his career helping build Nathan & Lewis Securities, a distinguished independent broker/dealer, as their Chief Information Officer. He is a graduate of Oswego State University.

• Tiy O'Neal Chief Operations Officer

  As Chief Operations Officer at First Allied, Ms. O'Neal is responsible for providing a superior service experience to our advisors in all back-office areas of the firm, including operations, trading, advisory services, transitions and administration. She also manages relationships with First Allied's clearing firms. Ms. O'Neal began her career with First Allied in 1994 and has also served as Vice President of Operations. Tiy also served as President of Western Securities Clearing Corp. and Tradewell Discount Investing, LLC, two former broker/dealers affiliated with First Allied. Western provided correspondent clearing to small broker/dealers while Tradewell offered online investing for retail clients and registered investment advisors. Ms. O'Neal started her career in the industry in 1987 and has held various positions in trading, operations and administration. During her career, she has been active with the Financial Planning Association, the Securities Industry Association and the Chief Operating Officers Forum. She is currently a member of the Financial Services Institute (FSI) where she sits on the Operations & Technology Council. She is also a member of FINRA’s Securities Industry/Regulatory Council on Continuing Education Content. She holds her Series 7, 63, 24 and 4 licenses.

• Mark Quinn Chief Risk Officer

  As Chief Risk Officer at First Allied, Mr. Quinn focuses primarily on the design and review of systems and processes with the goal of mitigating legal, regulatory and other risks encountered by the firm. He has overall responsibility for the Supervision, Compliance, Legal and Investment Advisory Compliance groups, and works closely with all functional areas of the firm. Before joining First Allied, Mr. Quinn was in private law practice, primarily representing broker/dealers and investment advisers in addition to serving as an arbitrator and mediator at FINRA Dispute Resolution, Inc. From 1998 through 2008, he served as Senior Vice President and General Counsel of Royal Alliance Associates, Inc., a broker/dealer and investment advisory firm located in New York. In that role, he had overall responsibility for the legal and compliance functions of the firm, including litigation and regulatory matters, design and review of compliance systems and programs, and other corporate legal matters. Prior to joining Royal Alliance, Mr. Quinn practiced law in New York City. Mr. Quinn is a frequent speaker at legal and securities industry meetings on topics relating to sales and distribution of securities and investment advisory services. He is a former Chairman of the Compliance Council of the Financial Services Institute, a former member of its Board of Directors, and holds a bachelor's degree in finance from Arizona State University, and Master of Business Administration and law degrees from the University of Denver.

• J. Vere Reynolds-Hale National Sales Manager

  Mr. Reynolds-Hale is National Sales Manager at First Allied. His responsibility is to create a product sales- and marketing-focused department that ultimately drives company revenue. Mr. Reynolds-Hale manages First Allied's Partners Program and develops new and existing fee-based products. Most recently, Mr. Reynolds-Hale served as the Executive Vice President of Product Marketing and Development at Summit Brokerage Services in Boca Raton, Florida. He was responsible for building relationships with sponsors and for developing product marketing efforts for Summit's financial advisors. Prior to joining Summit in 2007, he served as Vice President of Sponsor Relations at LPL Financial Services where he was responsible for the strategic planning, financial management and successful execution of LPL's sponsor relations program. He also led sales and marketing efforts for mutual funds, retirement plans and the investment product sales desk. Mr. Reynolds-Hale studied political science at the University of South Carolina, and marketing management at Emeritus College in South Africa. He obtained his bachelor's degree in management from Pepperdine University. He holds Series 6 and 7 licenses, and has served on the board of directors for the Forum for Investor Advice.

• Donna L. Bartlett Senior Managing Director, Brokerage Compliance

  As Senior Managing Director, Ms. Bartlett oversees the broker/dealer compliance program and registration responsibilities for the firm. Ms. Bartlett has more than two decades of experience in the securities industry, with the majority in compliance-related positions. She began her career in 1987 holding positions in the due diligence and operations areas of independent broker/dealer firms. Ms. Bartlett joined First Allied in December 1994 and has been the firm's Chief Compliance Officer since 1996, working closely with the Supervision and Legal departments. Ms. Bartlett is a current member of the FINRA Continuing Education Content Committee and the FINRA West Region Committee. She has served on the NASD District 2 Committee and was the Chair of the Financial Planning Association's 1999 Compliance Advisory Council. She has a Bachelor of Science degree in business management and holds Series 7, 24, 63, 53, 65 and 4 securities licenses.

• Matthew Bassuk Senior Managing Director, Business Development

  As Senior Managing Director of Business Development at First Allied, Mr. Bassuk leads the team responsible for recruiting new advisors to the firm. Prior to First Allied, he worked for AIG Financial Advisors for several years as Vice President of Recruiting. In 1999, Matthew worked in the marketing department at AIG Independent broker/dealers Sentra Securities Corporation, Spelman & Co., Inc. and SunAmerica Securities Corporation where he held responsibilities for annuity and insurance marketing. Before this role, he worked with AIG SunAmerica wholesaling their variable annuity products in the wirehouse distribution channel. Mr. Bassuk began his financial services career with Neuberger & Berman Funds in New York, NY. Mr. Bassuk attended Pitzer College in Claremont, California where he earned a bachelor's degree in sociology with an emphasis on the workplace and business organizations. He received his Certificate in Financial Planning from the Metropolitan College in Denver, Colorado.

• Mark Dransfield Senior Managing Director, Business Strategies Group

  Mr. Dransfield leads the Business Strategies Group (BSG) at First Allied as Senior Managing Director. The BSG is charged with supporting advisors in the adoption of cutting-edge wealth management practices designed to increase advisor productivity. It offers a robust goals-based business coaching program and wealth management consulting, as well as support in branding, differentiation and business planning. From 2004 to 2007, Dransfield served as President of First Allied. Prior to his presidency, he was Senior Vice President and National Sales Manager at First Allied. Concurrently, he was Senior Managing Director at Josephthal & Co. Inc., an affiliated company of First Allied, with responsibilities for Josephthal Global Asset Management, national marketing, public relations, packaged products, and investment advisory services sales and marketing. Prior to Josephthal, Mr. Dransfield was Vice President of Marketing at Financial Network Investment Corporation. He also worked at PFG Securities where he developed the industry's first fee-based advisory program for the independent broker/dealer channel. The company was later bought by First Affiliated Securities where Mr. Dransfield continued to develop advisory products as Senior Vice President and National Sales Manager. Mr. Dransfield began his career with Shearson Lehman Brothers as a financial advisor. He is a graduate of Brigham Young University.

• Craig Junkins Senior Managing Director

  Mr. Junkins is Senior Managing Director of First Allied Advisory Services, Inc. (FAAS). He began his career in 1977 as a financial planner with IDS Financial Services, now known as American Express Financial Advisors, and held positions that included District Manager, Division Manager, and Vice President of Financial Planning through 1994. From 1995 to 1998, he served as President of Aetna Financial Services. Prior to joining FAAS in February 2002, Mr. Junkins served as Executive Vice President for AXA Advisors where he led financial planning, broker/dealer and investment advisory services. He holds a BA in Management and an MBA.

• Rob Moses Senior Managing Director and General Counsel

  Mr. Moses is Senior Managing Director and General Counsel for First Allied and formerly for the Advanced Equities Financial Corp. Independent Brokerage Group. He has been with First Allied since it was founded in 1994. During the period in which First Allied was owned by Wells Fargo & Company, he served as a member of the Wells Fargo Law Department, and as General Counsel to Wells Fargo's Financial Consultant Advisory Group, with responsibility for that division's independent contractor brokerage and advisory firms, as well as its clearing business. Before joining First Allied, Mr. Moses was Associate General Counsel with NYSE member firm Josephthal & Co., Inc. He received his Bachelor of Science degree in business marketing from Long Island University and earned his law degree from Benjamin N. Cardozo School of Law. He is a member of the bar in California, Connecticut and New York. Mr. Moses is a member of the Securities Industry and Financial Markets Association - Legal and Compliance Division.

• Garrett J. Merrill Managing Director, Supervision

  As Managing Director of the Supervision department at First Allied, Mr. Merrill manages the regional supervision program, implementation of the internal surveillance process and escalated issues from advisors. Mr. Merrill began working for the firm in 2007 as Vice President of the West Coast Region in the Supervision department. Mr. Merrill began his career in the securities industry in 2001 at Howe Barnes Investments located in Chicago, Illinois. In 2003, Mr. Merrill was hired by The Northern Trust Company. He served as Second Vice President of Compliance for their broker/dealer and was responsible for approving trades, conducting branch office compliance audits and implementing procedures to supervise the sale of alternative investments. In 2006, he accepted a position with Protiviti, Inc., a risk management consulting firm. He worked extensively with two of the firm's largest clients, Citigroup and BBVA, a Spanish bank holding company. Mr. Merrill graduated from DePaul University where he earned a Bachelor of Science degree in finance. He holds the Series 4, 7, 24, 51, 63 and 65 securities licenses.

• Cris Alvarez Managing Director, Strategic Planning

  In his role as Managing Director, Strategic Planning, Mr. Alvarez helps develop strategic corporate plans to help drive revenue, improve profit margins and stimulate growth. He is responsible for evaluating competition and leveraging market research to ensure the firm is well-positioned within the industry. Prior to his current role, Mr. Alvarez filled several positions throughout the company. He served as Project Manager in the Supervision department, prior to his promotion to Managing Director. Before his transition into Supervision, Mr. Alvarez was a Branch Examiner in the Compliance department where he performed on-site branch examinations for the firm. Mr. Alvarez joined First Allied in 2005 in the Securities Licensing department. Mr. Alvarez graduated from the Pamplin College of Business at Virginia Tech where he earned his Bachelor of Science degree in business with a double major in finance and management. He holds his 7, 3, 66, 24, 4 and 53 licenses, and is a Lean Six Sigma Black Belt.

• Maureen Kilkenny Senior Vice President, Corporate Communications

  Ms. Kilkenny is Senior Vice President of the Corporate Communications department at First Allied. This department is responsible for both advisor- and employee-facing communications, public relations, internal and external Web sites, in-house magazines and marketing materials. Ms. Kilkenny earned a Bachelor of Arts degree in journalism from Ohio State University and worked as a reporter, editor and photographer for several daily papers in Ohio; most notably, The Cincinnati Enquirer. Ms. Kilkenny spent 10 years managing charitable organizations, including an American Red Cross chapter and the League of Women Voters of Ohio. She joined First Allied in April 2005.

• Rosie Lewis Senior Vice President, Human Resources

  As Senior Vice President of Human Resources, Ms. Lewis is responsible for managing innovative programs to attract, retain and develop quality team members at the organization. She began her career with First Allied in February 2001 as an Executive Assistant. In 2003, she was promoted to the Human Resources department and worked with Wells Fargo Private Client Services. In 2005, she was promoted to the manager of the department. Ms. Lewis earned her bachelor's degree in business administration from San Diego State University. She also maintains a Paralegal Certificate and the Senior Professional in Human Resources designation from the HR Certification Institute.