Securities Management And Research, Inc. (Marion)

Name: Securities Management And Research, Inc.
Address: 701 Tama St, Marion, IA, 52302
Telephone: 855-767-5700

Securities Management And Research, Inc. is a related adviser based in Marion. It manages $3.34 million of regulatory assets for 25 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Florida, Georgia, Iowa, and 4 other states.

Securities Management And Research provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Securities Management And Research: assets under management

The assets under management (AUM) of Securities Management And Research, Inc. is $3.34 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -100% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.34 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $133.68 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Securities Management And Research, Inc. for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Securities Management And Research, Inc.

Robert Eugene Lucas has been acting as President since 1 Nov 1982. Richard Maurice Murphy joined the executive team most recently as the President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
American National Insurance Company	Parent	1 Feb 1967	75% - 100%	74-0484030
Robert Eugene Lucas	Director	1 Nov 1982	Other	1469098
Emerson Voth Unger	Vice president	1 May 1983	Other	855931
Teresa Elaine Axelson	Vice president	1 May 1991	Other	811502
Brenda Thomas Koelemay	Vice president, treasurer	1 Jul 1992	Other	2255120
Michael Wade Mccroskey	President, ceo, director	1 May 1994	Other	2501740
Sally Fitzhugh Praker	Assistant vice president	1 Aug 1995	Other	1171101
Gordon Dennis Dixon	Svp, chief investment officer, director	1 May 1996	Other	1689021
Ronald Jay Welch	Director	1 May 1996	Other	2787110
Kermit David Wheeler	Senior vice president	1 Feb 1997	Other	1048586
Michele Swiggett Lord	Assistant secretary	1 Nov 1997	Other	2642531
G Richard Ferdinandsten	Director	1 Nov 1997	Other	2988483
Vicki Rene Douglas	Assistant vice president	1 Jun 1999	Other	1171088
Steven Douglas Geib	Assistant vice president	1 Jun 1999	Other	2620314
David Alan Behrens	Director	1 Feb 2000	Other	1079292
Terrell Brett Harrington	Vice president	1 Sep 2000	Other	2249916
Daniel Michael Jensen	Vice president	1 Feb 2001	Other	2485508
Ronald Clark Price	Vice president	1 Nov 2002	Other	850201
Andrew Ryan Duncan	Vice president, head of equities	1 May 2003	Other	2856286
Anne Marie Lemire	Vice president, head of fixed income	1 May 2003	Other	2086582
John Spencer Maidlow	Vice president, private accounts	1 May 2003	Other	xxx-xx-xxxx
Andrew Ryan Duncan	Vice president, derivatives strategies & alternative investments	1 May 2006	Other	2856286
Terrell Brett Harrington	Vice president and chief securities marketing officer	1 Aug 2007	Other	2249916
Ronald Clark Price	Senior vice president, retail sales division	1 Aug 2007	Other	850201
James Arthur Collura	Vice president	1 Aug 2007	Other	4522002
James Arthur Collura	Director and president	1 May 2010	Other	4522002
Inc. A Wholly Owned Subsidary Of Berthel Fisher & Company One Financial	Parent	1 Jan 2011	75% - 100%	27-3416198
Brian Wallace Schilling	Chief compliance officer	1 Jan 2011	Other	2692772
Tobi Lane Peterman	Senior vice president	1 Jan 2011	Other	2421561
Thomas Joseph Berthel	Ceo & president	1 Jan 2011	Other	823289
Seth Russell Gilkes	Vice president - finance	1 Jan 2011	Other	5821409
Ronald Odin Brendengen	Executive vice president	1 Jan 2011	Other	1675332
Inc. One Financial	Parent	1 Jan 2011	75% - 100%	27-3416198
Shelley Rae Davenport	Chief compliance officer	1 Apr 2011	Other	2131376
Richard Maurice Murphy	President	1 Feb 2012	Other	4893748
Daniel Peter Wegmann	Cfo & finops	1 Feb 2012	Other	2222357
Joanna Marie Schaul	Senior vp operating officer	1 Feb 2012	Other	4947759

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Libbie Shearn Moody Trust	Shareholder	1 May 1943	25% - 50%	74-6304741
The Moody National Bank Of Galveston	Trustee	1 May 1943	25% - 50%	74-0560665
Irwin Max Herz	Trustee	1 Apr 1971	75% - 100%	1472173
Three R Trusts	Shareholder	1 Dec 1982	75% - 100%	76-0321229
Moody Bank Holding Company	Shareholder	1 Dec 1988	75% - 100%	88-0243449
Inc. Moody Bancshares	Shareholder	1 Dec 1988	75% - 100%	76-0042826
Berthel Fisher & Company	Shareholder	1 Jan 2011	75% - 100%	42-1254805

Based in Marion

The principal office where Securities Management And Research, Inc. performs its advisory services is located at 701 Tama St, Marion, IA 52302 The mailing address of the firm is Po Box 868, Marion, IA 52302. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 855-767-5700 or by fax 319-730-5413. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.smrinvest.com.