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Regulation and Compliance > Federal Regulation > FINRA

Securities America's Nagengast Renominated to FINRA Board

By Melanie Waddell

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Jim Nagengast, president and CEO of Securities America, has been nominated to serve a second three-term in the Large Firm seat on the Financial Industry Regulatory Authority Board of Governors.

“By working closely with my fellow Board members and FINRA’s leaders, I was very pleased to drive significant positive momentum on a host of critical issues, including reining in rulemaking by enforcement, increasing transparency and making FINRA more accessible and easier to work with,” Nagengast said in a statement.

These issues, he continued, “will continue to be my core focus going forward.”

Jamie Price, Advisor Group president and CEO, added in the statement that “we are proud to support Jim in his efforts to advocate for investors and FINRA member firms as the Large Firm representative on the FINRA Board of Governors.”

Nagengast “is a tireless advocate for financial professionals and the investors they serve,” Price added. “Our industry could not ask for a better representative on the FINRA Board.”

Advisor Group said in mid-May that three of the five independent broker-dealers it bought recently from Ladenburg Thalmann will be merged into Securities America, the largest BD in this network.

Melanie Waddell

@Think_MelanieW

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