Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Our Leadership Team

Broker Dealer Financial Services Senior Management

Meet the people that make us successful. BDFS / IAC managing principals share over 170 years of combined experience. The firm has three majority owners and is an ESOP company. Our executive leadership team has amazing visionary leadership for the growth of our firm, our advisors and their clients. Our team takes pride in the ability to provide concierge-level service with one of the best advisor relations support teams in the industry.

BDFS has been located in the Des Moines area since 1979. Our strong community ties allow us to give back to local charities. Every member of our staff is encouraged to take the time, even during business hours, to volunteer in the community. In fact, in 2015, our employees volunteered for dozens of charities and nearly 3,000 hours of service.

 

Lisa Smith - President & CEO, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Lisa M. Smith
President & Chief Executive Officer

Lisa serves as President and CEO of BDFSC Holding Corp.’s three operating subsidiaries: Broker Dealer Financial Services Corp., Investment Advisors Corp. and Bankers Financial Services, LLC and a board member of BDFS Holding Co. Lisa has over 30 years experience in broker/dealer and RIA management operations, recruiting, compliance, due diligence, relationship business development.
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Lisa began her career in the financial services industry at Principal Financial Group in 1985 where she was Financial & Compliance Officer and VP-Client Service for the RIA. After joining Broker Dealer Financial Services Corp in 2001, she focused on marketing RIA services and market-linked certificate product development, equity derivative trading, ALCO & Treasury guidance, regulatory guidance and DTCC settlement for financial institutions. Lisa also served as VP-Business Development for IBA Securities-Division of BDFSC, building successful customized investment and insurance programs in the bank distribution channel.

Lisa received her bachelor’s degree in Business Administration and Accounting (BA) from Grand View University and attended the Masters Program in Finance at Drake University. She has FINRA Series 7, 24, 63, 65, 79, 99 and Life, Health and Accidental insurance licenses.
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Barbara Bennett - Chief Operating Officer, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Barbara Bennett
Chief Operating Officer & Chief Compliance Officer

As Chief Operating Officer, Barbara is responsible for driving the company to surpass sales and profitability by overseeing the new Advisor Relations Department made up of Relationship Managers and Product Managers. She also oversees the training for the firm, and is the West Des Moines Branch Manager, BDF Investments.
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She has been responsible for recruiting, training and managing brokerage firm sales professionals and administrative personnel. Her experience includes operational and financial success of investment firms, developing product departments and strategic alliances, supervising sales practices, establishing marketing plans and managing regulatory and customer inquiries.

Ms. Bennett received her Bachelor of Arts Degree from Colorado Women’s College and her JD from Creighton University School of Law.
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Robert Sherwood - Chief Financial Officer, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Robert Sherwood
Chief Financial Officer

Rob Sherwood serves as the Chief Financial Officer for Broker Dealer Financial Services Corp. and Investment Advisors Corp. He and his team are responsible for managing the firms’ financial statements, commissions, investment advisory billing, accounts payable/receivable, payroll, cash management and human resources.
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Prior to joining the firm, Rob served as Chief Financial Officer for HomeServices Mortgage and Nationwide Advantage Mortgage Company over the past 11 years. During his years in the mortgage industry he helped streamline accounting processes, implement new systems, negotiate favorable contract terms and drive expense savings. Rob lead accounting and finance, capital markets, and information technology teams. Rob also spent 10 years of his career in Public Accounting and is a CPA primarily in financial services.
Rob received his bachelor of arts’s (BA) degree in Accounting from University of Northern Iowa and a Masters in Business Administration (MBA) at University of Phoenix.
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Michael Harken - Chief Technology Officer, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Michael Harken
Chief Technology Officer

Michael Harken serves as Chief Technology Officer for Broker Dealer Financial Services Corp. and Investment Advisors Corp. He has been with the organization since 2001 and has over 24 years’ experience in the technology field.
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His career began with traveling throughout the United States and Canada installing and training agricultural dealerships on new computer systems for Iowa-Nebraska Equipment Dealers Association, followed by GuideOne Insurance as a microcomputer support specialist.

As Chief Technology Officer, Michael is responsible for the technology infrastructure and directs the strategic design of enterprise-wide technology standards supporting home office staff and independent financial advisors.
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Our Advisor Relations service team at Broker Dealer Financial Services Corp. and Investment Advisors Corp. is made up of dedicated Relationship Managers for each of our distribution channels, Product Managers for each product line, Advisor Training and a team of experienced Operations Department professionals.

►   Resource Center

▼   Resource Center

Sue Knoll - Operations Specialist, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Sue Knoll
Business Management Consultant
Clearing Supervisor and Operations Specialist
sknoll@bdfs.com 

Rob Stephenson - Business Management Consultant – Training and Onboarding Specialist, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Rob Stephenson
Business Management Consultant
Training and Onboarding Specialist
rstephenson@bdfs.com 

 

►   Relationship Managers

▼   Relationship Managers

Todd Garrington - Relationship Manager, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Todd Garrington
Independent
tgarrington@bdfs.com 
(515) 727-6767

Cody Phelps - Mutual Funds Sales & Marketing Manager, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Cody Phelps
Banks / Credit Unions
cphelps@bdfs.com 
(515) 727-6717

Alec Nielsen - Business Management Consultant, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Alec Nielsen
Advisory
anielsen@bdfs.com 

Ryan Brooks - Relationship Manager and Sales Manager, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Ryan Brooks
Proprietary / Employee
rbrooks@bdfs.com 
(515) 727-6772

 

►   Operations

▼   Operations

Annette Utterback - Operations Manager / Training, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Annette Utterback
Operations Manager
autterback@bdfs.com 

Bonnie Hageman - Sr. Operations Specialist, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Bonnie Hageman
Sr. Operations Specialist
bhageman@bdfs.com 

Jayme Humble - Operations Specialist, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Jayme Humble
Operations Specialist
jhumble@bdfs.com 

Sue Knoll - Operations Specialist, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Sue Knoll
Business Management Consultant
Clearing Supervisor and Operations Specialist
sknoll@bdfs.com 

Kristi Mignano - Operations Specialist, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Kristi Mignano
Operations Specialist
kmignano@bdfs.com 

 

►   Compliance

▼   Compliance

Mike Skoglund - Designated Principal I, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Mike Skoglund
Designated Principal I
mskoglund@bdfs.com 

James Tegtmeier - Compliance Specialist & Designated Principal, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

James Tegtmeier
Compliance Specialist &
Designated Principal
jtegtmeier@bdfs.com 

Jeff Cameron - Compliance Specialist, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Jeff Cameron
Compliance Specialist
jcameron@bdfs.com 

Kathy Tynan - Business Management Specialist, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Kathy Tynan
Sr. Compliance Specialist
ktynan@bdfs.com 

Thomas Sherzan - Compliance and Legal Analyst , Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Thomas Sherzan
Compliance and Legal Analyst
tsherzan@bdfs.com 

Sue Pulley - Administrative Assistant, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Sue Pulley
Administrative Assistant
spulley@bdfs.com 

 

►   Principal Review

▼   Principal Review

Mike Skoglund - Designated Principal I, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Mike Skoglund
Designated Principal I
mskoglund@bdfs.com 

James Tegtmeier - Compliance Specialist & Designated Principal, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

James Tegtmeier
Compliance Specialist &
Designated Principal
jtegtmeier@bdfs.com 

Kathy Tynan - Business Management Specialist, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Kathy Tynan
Sr. Compliance Specialist
ktynan@bdfs.com 

 

►   Licensing & Executive Support

▼   Licensing & Executive Support

Deb Smith - Registration and Licensing Specialist, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Deb Smith
Registration and Licensing Specialist
dsmith@bdfs.com 

 

►   Recruiting

▼   Recruiting

James Young - Recruiting Director, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

James Young
Recruiting Director
jyoung@bdfs.com 
(515) 727-6708

Deanne Rowland - Human Resources Manager, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Deanne Rowland
Human Resources Manager
drowland@bdfs.com 

 

►   Commissions

▼   Commissions

Heather Nesler - Lead Accounting Coordinator, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Heather Nesler
Lead Accounting Coordinator
hnesler@bdfs.com 

Jessica Pudenz - Senior Financial Analyst, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Jessica Pudenz
Senior Financial Analyst
jpudenz@bdfs.com 

Laura Remer - Operations Specialist, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Laura Remer
Commissions and Benefits Specialist
lremer@bdfs.com 

 

►   Advisory

▼   Advisory

Alec Nielsen - Business Management Consultant, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Alec Nielsen
Advisory
anielsen@bdfs.com 

Kyle Van Haafter - Advisory Services Specialist - Investment Advisors Corp.

Kyle Van Haaften
Advisory Services Specialist
kvanhaaften@bdfs.com 

 

►   Mutual Funds & UITs

▼   Mutual Funds & UITs

Cody Phelps - Mutual Funds Sales & Marketing Manager, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Cody Phelps
Mutual Fund Product & Sales Mgr
cphelps@bdfs.com 

 

►   Insurance

▼   Insurance

Rob Hill - Sales & Marketing Manager, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Rob Hill
Sales & Marketing Manager
rhill@bdfs.com 

 

►   Executive Team

▼   Executive Team

Lisa Smith - President & Chief Executive Officer, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Lisa Smith
President & Chief Executive Officer
lsmith@bdfs.com 

Barbara Bennett - Chief Operating Officer & Chief Compliance Officer - Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Barbara Bennett
Chief Operating Officer & Chief Compliance Officer
bbennett@bdfs.com 

Robert Sherwood - Chief Financial Officer - Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Robert Sherwood
Chief Financial Officer
rsherwood@bdfs.com 

Michael Harken - Chief Technology Officer - Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Michael Harken
Chief Technology Officer
mharken@bdfs.com 

 

►   Technology

▼   Technology

Brian Schwartz - Business Analyst & Registered Options Principal, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Brian Schwartz
Business Analyst
bschwartz@bdfs.com 

Greg Romans - Web Developer, Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Greg Romans
Web Developer
gromans@bdfs.com 

 
 

Please contact us to learn more at (844) 468-5800 or join us. We welcome you to continue exploring the benefits of being affiliated with Broker Dealer Financial Services Corp. and Investment Advisors Corp.
 


We are committed to establishing an exceptional partnership with our financial advisors, providing the support, tools and resources needed to help clients achieve their financial goals.

Broker Dealer Financial Services Corp.
Investment Advisors Corp.

140 South 68th Street
West Des Moines, Iowa 50266

Member: FINRA / SIPC / SIFMA

©2016 Broker Dealer Financial Services Corp - All Rights Reserved
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Securities offered through Broker Dealer Financial Services Corp., Member SIPC. Advisory services offered through Investment Advisors Corp., an SEC registered investment advisor.

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