Securities Management And Research, Inc. (Marion)


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. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. 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.

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