RIA Intelligence

SECURITIES MANAGEMENT AND RESEARCH, INC.

Legal name: SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R")

CRD #759 SEC #801-8002 MARION, IA 855-767-5700
SEC Registered Broker-Dealer Disclosures
Total AUM
$3.3M
Discretionary
$3.3M
Employees
1
Clients
1
Accounts
25
This firm has regulatory disclosures on file. View disclosures

Firm Details

Organization Type
Corporation
State of Formation
Iowa
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 22, 2012
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
AXELSON, TERESA ELAINEIVICE PRESIDENT, CHIEF COMPLIANCE OFFICERNA Control
AXELSON, TERESA ELAINEIVICE PRESIDENT, CHIEF COMPLIANCE OFFICERNA Control
AXELSON, TERESA ELAINEIVICE PRESIDENT, CHIEF COMPLIANCE OFFICERNA Control
AXELSON, TERESA ELAINEIVICE PRESIDENT, CHIEF COMPLIANCE OFFICERNA Control
AXELSON, TERESA ELAINEIVICE PRESIDENT, CHIEF COMPLIANCE OFFICERNA Control
AXELSON, TERESA ELAINEIVICE PRESIDENT, CHIEF COMPLIANCE OFFICERNA Control
AXELSON, TERESA ELAINEIVICE PRESIDENT, CHIEF COMPLIANCE OFFICERNA Control
AXELSON, TERESA ELAINEIVICE PRESIDENT, CHIEF COMPLIANCE OFFICERNA Control
AXELSON, TERESA ELAINEIVICE PRESIDENTNA Control
BEHRENS, DAVID ALANIDIRECTORNA Control
BEHRENS, DAVID ALANIDIRECTORNA Control
BEHRENS, DAVID ALANIDIRECTORNA Control
BEHRENS, DAVID ALANIDIRECTORNA Control
BEHRENS, DAVID ALANIDIRECTORNA Control
BEHRENS, DAVID ALANIDIRECTORNA Control
BEHRENS, DAVID ALANIDIRECTORNA Control
BEHRENS, DAVID ALANIDIRECTORNA Control
BEHRENS, DAVID ALANIDIRECTORNA Control
BERTHEL, THOMAS JOSEPHICEO & PRESIDENTNA Control
BERTHEL, THOMAS JOSEPHICEO & PRESIDENTNA Control
BERTHEL, THOMAS JOSEPHICEONA Control
BRENDENGEN, RONALD ODINIEXECUTIVE VICE PRESIDENTNA Control
BRENDENGEN, RONALD ODINIEXECUTIVE VICE PRESIDENTNA Control
BRENDENGEN, RONALD ODINICHIEF OPERATING OFFICERNA Control
COLLURA, JAMES ARTHURIVICE PRESIDENTNA Control
COLLURA, JAMES ARTHURIVICE PRESIDENTNA Control
COLLURA, JAMES ARTHURIVICE PRESIDENTNA Control
COLLURA, JAMES ARTHURIDIRECTOR AND PRESIDENTNA Control
COLLURA, JAMES ARTHURIVICE PRESIDENTNA Control
DAVENPORT, SHELLEY RAEICHIEF COMPLIANCE OFFICERNA
DAVENPORT, SHELLEY RAEICHIEF COMPLIANCE OFFICERNA
DIXON, GORDON DENNISISVP, CHIEF INVESTMENT OFFICER, DIRECTORNA Control
DIXON, GORDON DENNISISVP, CHIEF INVESTMENT OFFICER, DIRECTORNA Control
DIXON, GORDON DENNISISVP, CHIEF INVESTMENT OFFICER, DIRECTORNA Control
DIXON, GORDON DENNISISVP, CHIEF INVESTMENT OFFICER, DIRECTORNA Control
DIXON, GORDON DENNISISVP, CHIEF INVESTMENT OFFICER, DIRECTORNA Control
DIXON, GORDON DENNISISVP, CHIEF INVESTMENT OFFICER, DIRECTORNA Control
DIXON, GORDON DENNISISVP, CHIEF INVESTMENT OFFICER, DIRECTORNA Control
DIXON, GORDON DENNISISVP, CHIEF INVESTMENT OFFICER, DIRECTORNA Control
DIXON, GORDON DENNISISVP, CHIEF INVESTMENT OFFICER, DIRECTORNA Control
DOUGLAS, VICKI RENEIASSISTANT VICE PRESIDENTNA Control
DOUGLAS, VICKI RENEIASSISTANT VICE PRESIDENTNA Control
DOUGLAS, VICKI RENEIASSISTANT VICE PRESIDENTNA Control
DOUGLAS, VICKI RENEIASSISTANT VICE PRESIDENTNA Control
DOUGLAS, VICKI RENEIASSISTANT VICE PRESIDENTNA Control
DOUGLAS, VICKI RENEIASSISTANT VICE PRESIDENTNA Control
DOUGLAS, VICKI RENEIASSISTANT VICE PRESIDENTNA Control
DOUGLAS, VICKI RENEIASSISTANT VICE PRESIDENTNA Control
DOUGLAS, VICKI RENEIASSISTANT VICE PRESIDENTNA Control
DUNCAN, ANDREW RYANIVICE PRESIDENT, HEAD OF MUTUAL FUNDSNA Control
DUNCAN, ANDREW RYANIVICE PRESIDENT, DERIVATIVES STRATEGIES & ALTERNATIVE INVESTMENTSNA Control
DUNCAN, ANDREW RYANIVICE PRESIDENT, DERIVATIVES STRATEGIES & ALTERNATIVE INVESTMENTSNA Control
DUNCAN, ANDREW RYANIVICE PRESIDENT, DERIVATIVES STRATEGIES & ALTERNATIVE INVESTMENTSNA Control
DUNCAN, ANDREW RYANIVICE PRESIDENT, DERIVATIVES STRATEGIES & ALTERNATIVE INVESTMENTSNA Control
DUNCAN, ANDREW RYANIVICE PRESIDENT, DERIVATIVES STRATEGIES & ALTERNATIVE INVESTMENTSNA Control
DUNCAN, ANDREW RYANIVICE PRESIDENT, DERIVATIVES STRATEGIES & ALTERNATIVE INVESTMENTSNA Control
DUNCAN, ANDREW RYANIVICE PRESIDENT, HEAD OF MUTUAL FUNDSNA Control
FERDINANDSTEN, G RICHARDIDIRECTORNA Control
FERDINANDSTEN, G RICHARDIDIRECTORNA Control
FERDINANDSTEN, G RICHARDIDIRECTORNA Control
FERDINANDSTEN, G RICHARDIDIRECTORNA Control
FERDINANDSTEN, G RICHARDIDIRECTORNA Control
FERDINANDSTEN, G RICHARDIDIRECTORNA Control
FERDINANDSTEN, G RICHARDIDIRECTORNA Control
FERDINANDSTEN, G RICHARDIDIRECTORNA Control
FERDINANDSTEN, G RICHARDIDIRECTORNA Control
GEIB, STEVEN DOUGLASIASSISTANT VICE PRESIDENTNA Control
GEIB, STEVEN DOUGLASIASSISTANT VICE PRESIDENTNA Control
GEIB, STEVEN DOUGLASIASSISTANT VICE PRESIDENTNA Control
GEIB, STEVEN DOUGLASIASSISTANT VICE PRESIDENTNA Control
GEIB, STEVEN DOUGLASIASSISTANT VICE PRESIDENTNA Control
GEIB, STEVEN DOUGLASIASSISTANT VICE PRESIDENTNA Control
GEIB, STEVEN DOUGLASIASSISTANT VICE PRESIDENTNA Control
GEIB, STEVEN DOUGLASIASSISTANT VICE PRESIDENTNA Control
GEIB, STEVEN DOUGLASIASSISTANT VICE PRESIDENTNA Control
GILKES, SETH RUSSELLIVICE PRESIDENT - FINANCENA Control
GILKES, SETH RUSSELLIVICE PRESIDENT - FINANCENA Control
HARRINGTON, TERRELL BRETTIVICE PRESIDENTNA Control
HARRINGTON, TERRELL BRETTIVICE PRESIDENTNA Control
HARRINGTON, TERRELL BRETTIVICE PRESIDENT AND CHIEF SECURITIES MARKETING OFFICERNA Control
HARRINGTON, TERRELL BRETTIVICE PRESIDENT AND CHIEF SECURITIES MARKETING OFFICERNA Control
HARRINGTON, TERRELL BRETTIVICE PRESIDENT AND CHIEF SECURITIES MARKETING OFFICERNA Control
HARRINGTON, TERRELL BRETTIVICE PRESIDENT AND CHIEF SECURITIES MARKETING OFFICERNA Control
HARRINGTON, TERRELL BRETTIVICE PRESIDENT AND CHIEF SECURITIES MARKETING OFFICERNA Control
HARRINGTON, TERRELL BRETTIVICE PRESIDENTNA Control
HARRINGTON, TERRELL BRETTIVICE PRESIDENTNA Control
KOELEMAY, BRENDA THOMASIVICE PRESIDENT, TREASURER, CHIEF FINANCIAL AND ADMINISTRATIVE OFFICERNA Control
KOELEMAY, BRENDA THOMASIVICE PRESIDENT, TREASURER, CHIEF FINANCIAL AND ADMINISTRATIVE OFFICERNA Control
KOELEMAY, BRENDA THOMASIVICE PRESIDENT, TREASURER, CHIEF FINANCIAL AND ADMINISTRATIVE OFFICERNA Control
KOELEMAY, BRENDA THOMASIVICE PRESIDENT, TREASURER, CHIEF FINANCIAL AND ADMINISTRATIVE OFFICERNA Control
KOELEMAY, BRENDA THOMASIVICE PRESIDENT, TREASURER, CHIEF FINANCIAL AND ADMINISTRATIVE OFFICERNA Control
KOELEMAY, BRENDA THOMASIVICE PRESIDENT, TREASURER, CHIEF FINANCIAL AND ADMINISTRATIVE OFFICERNA Control
KOELEMAY, BRENDA THOMASIVICE PRESIDENT, TREASURER, CHIEF FINANCIAL AND ADMINISTRATIVE OFFICERNA Control
KOELEMAY, BRENDA THOMASIVICE PRESIDENT, TREASURER, CHIEF FINANCIAL AND ADMINISTRATIVE OFFICERNA Control
KOELEMAY, BRENDA THOMASIVICE PRESIDENT, TREASURERNA Control
LEMIRE, ANNE MARIEIVICE PRESIDENT, HEAD OF FIXED INCOMENA Control
LEMIRE, ANNE MARIEIVICE PRESIDENT, HEAD OF FIXED INCOMENA Control
LEMIRE, ANNE MARIEIVICE PRESIDENT, HEAD OF FIXED INCOMENA Control
LEMIRE, ANNE MARIEIVICE PRESIDENT, HEAD OF FIXED INCOMENA Control
LEMIRE, ANNE MARIEIVICE PRESIDENT, HEAD OF FIXED INCOMENA Control
LEMIRE, ANNE MARIEIVICE PRESIDENT, HEAD OF FIXED INCOMENA Control
LEMIRE, ANNE MARIEIVICE PRESIDENT, HEAD OF FIXED INCOMENA Control
LEMIRE, ANNE MARIEIVICE PRESIDENT, HEAD OF FIXED INCOMENA Control
LORD, MICHELE SWIGGETTIASSISTANT SECRETARYNA Control
LORD, MICHELE SWIGGETTIASSISTANT SECRETARYNA Control
LORD, MICHELE SWIGGETTIASSISTANT SECRETARYNA Control
LORD, MICHELE SWIGGETTIASSISTANT SECRETARYNA Control
LORD, MICHELE SWIGGETTIASSISTANT SECRETARYNA Control
LORD, MICHELE SWIGGETTIASSISTANT SECRETARYNA Control
LORD, MICHELE SWIGGETTIASSISTANT SECRETARYNA Control
LORD, MICHELE SWIGGETTIASSISTANT SECRETARYNA Control
LORD, MICHELE SWIGGETTIASSISTANT SECRETARYNA Control
LUCAS, ROBERT EUGENEIDIRECTORNA Control
LUCAS, ROBERT EUGENEIDIRECTORNA Control
LUCAS, ROBERT EUGENEIDIRECTORNA Control
LUCAS, ROBERT EUGENEIDIRECTORNA Control
LUCAS, ROBERT EUGENEIDIRECTORNA Control
LUCAS, ROBERT EUGENEIDIRECTORNA Control
LUCAS, ROBERT EUGENEIDIRECTORNA Control
LUCAS, ROBERT EUGENEIDIRECTORNA Control
LUCAS, ROBERT EUGENEIDIRECTORNA Control
MAIDLOW, JOHN SPENCERIVICE PRESIDENT, HEAD OF PORTFOLIO MANAGEMENTNA Control
MAIDLOW, JOHN SPENCERIVICE PRESIDENT, HEAD OF PORTFOLIO MANAGEMENTNA Control
MAIDLOW, JOHN SPENCERIVICE PRESIDENT, HEAD OF PORTFOLIO MANAGEMENTNA Control
MAIDLOW, JOHN SPENCERIVICE PRESIDENT, HEAD OF PORTFOLIO MANAGEMENTNA Control
MAIDLOW, JOHN SPENCERIVICE PRESIDENT, HEAD OF PORTFOLIO MANAGEMENTNA Control
MAIDLOW, JOHN SPENCERIVICE PRESIDENT, HEAD OF PORTFOLIO MANAGEMENTNA Control
MAIDLOW, JOHN SPENCERIVICE PRESIDENT, HEAD OF PORTFOLIO MANAGEMENTNA Control
MAIDLOW, JOHN SPENCERIVICE PRESIDENT, HEAD OF PORTFOLIO MANAGEMENTNA Control
MCCROSKEY, MICHAEL WADEIPRESIDENT, CEO, DIRECTORNA Control
MCCROSKEY, MICHAEL WADEIPRESIDENT, CEO, DIRECTORNA Control
MCCROSKEY, MICHAEL WADEIPRESIDENT, CEO, DIRECTORNA Control
MCCROSKEY, MICHAEL WADEIPRESIDENT, CEO, DIRECTORNA Control
MCCROSKEY, MICHAEL WADEIPRESIDENT, CEO, DIRECTORNA Control
MCCROSKEY, MICHAEL WADEIPRESIDENT, CEO, DIRECTORNA Control
MCCROSKEY, MICHAEL WADEIPRESIDENT, CEO, DIRECTORNA Control
MCCROSKEY, MICHAEL WADEIPRESIDENT, CEO, DIRECTORNA Control
MURPHY, RICHARD MAURICEIPRESIDENTNA
PETERMAN, TOBI LANEIDESIGNATED AGENTNA Control
PETERMAN, TOBI LANEISENIOR VICE PRESIDENTNA Control
PRAKER, SALLY FITZHUGHIASSISTANT VICE PRESIDENTNA Control
PRAKER, SALLY FITZHUGHIASSISTANT VICE PRESIDENTNA Control
PRAKER, SALLY FITZHUGHIASSISTANT VICE PRESIDENTNA Control
PRAKER, SALLY FITZHUGHIASSISTANT VICE PRESIDENTNA Control
PRAKER, SALLY FITZHUGHIASSISTANT VICE PRESIDENTNA Control
PRAKER, SALLY FITZHUGHIASSISTANT VICE PRESIDENTNA Control
PRAKER, SALLY FITZHUGHIASSISTANT VICE PRESIDENTNA Control
PRAKER, SALLY FITZHUGHIASSISTANT VICE PRESIDENTNA Control
PRAKER, SALLY FITZHUGHIASSISTANT VICE PRESIDENTNA Control
PRICE, RONALD CLARKIVICE PRESIDENTNA Control
PRICE, RONALD CLARKIVICE PRESIDENTNA Control
PRICE, RONALD CLARKISENIOR VICE PRESIDENT, RETAIL SALES DIVISIONNA Control
PRICE, RONALD CLARKISENIOR VICE PRESIDENT, RETAIL SALES DIVISIONNA Control
PRICE, RONALD CLARKISENIOR VICE PRESIDENT, RETAIL SALES DIVISIONNA Control
PRICE, RONALD CLARKISENIOR VICE PRESIDENT, RETAIL SALES DIVISIONNA Control
PRICE, RONALD CLARKISENIOR VICE PRESIDENT, RETAIL SALES DIVISIONNA Control
PRICE, RONALD CLARKIVICE PRESIDENTNA Control
SCHAUL, JOANNA MARIEISENIOR VP OPERATING OFFICERNA
SCHILLING, BRIAN WALLACEICHIEF COMPLIANCE OFFICERNA
SCHILLING, BRIAN WALLACEICHIEF COMPLIANCE OFFICERNA
UNGER, EMERSON VOTHIVICE PRESIDENTNA Control
WEGMANN, DANIEL PETERICFO & FINOPSNA
WELCH, RONALD JAYIDIRECTORNA Control
WELCH, RONALD JAYIDIRECTORNA Control
AMERICAN NATIONAL INSURANCE COMPANYDEPARENTE Control
AMERICAN NATIONAL INSURANCE COMPANYDEPARENTE Control
AMERICAN NATIONAL INSURANCE COMPANYDEPARENTE Control
AMERICAN NATIONAL INSURANCE COMPANYDEPARENTE Control
AMERICAN NATIONAL INSURANCE COMPANYDEPARENTE Control
AMERICAN NATIONAL INSURANCE COMPANYDEPARENTE Control
AMERICAN NATIONAL INSURANCE COMPANYDEPARENTE Control
AMERICAN NATIONAL INSURANCE COMPANYDEPARENTE Control
AMERICAN NATIONAL INSURANCE COMPANYDEPARENTE Control
ONE FINANCIAL, INC.DEPARENTE Control
ONE FINANCIAL, INC.DEPARENTE Control
ONE FINANCIAL, INC., A WHOLLY OWNED SUBSIDARY OF BERTHEL FISHER & COMPANYDEPARENTE Control
ONE FINANCIAL, INC., A WHOLLY OWNED SUBSIDARY OF BERTHEL FISHER & COMPANYDEPARENTE Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
BERTHEL FISHER & COMPANYDEONE FINANCIAL, INC.E Control
BERTHEL FISHER & COMPANYDEONE FINANCIAL, INC.E Control
BERTHEL FISHER & COMPANYDEONE FINANCIAL, INC.E Control
BERTHEL FISHER & COMPANYDEONE FINANCIAL, INC.E Control
HERZ, IRWIN MAXITHREE R TRUSTSE Control
HERZ, IRWIN MAXITHREE R TRUSTSE Control
HERZ, IRWIN MAXITHREE R TRUSTSE Control
HERZ, IRWIN MAXITHREE R TRUSTSE Control
HERZ, IRWIN MAXITHREE R TRUSTSE Control
HERZ, IRWIN MAXITHREE R TRUSTSE Control
HERZ, IRWIN MAXITHREE R TRUSTSE Control
HERZ, IRWIN MAXITHREE R TRUSTSE Control
HERZ, IRWIN MAXITHREE R TRUSTSE Control
MOODY BANCSHARES, INC.DEMOODY BANK HOLDING COMPANYE Control
MOODY BANCSHARES, INC.DEMOODY BANK HOLDING COMPANYE Control
MOODY BANCSHARES, INC.DEMOODY BANK HOLDING COMPANYE Control
MOODY BANCSHARES, INC.DEMOODY BANK HOLDING COMPANYE Control
MOODY BANCSHARES, INC.DEMOODY BANK HOLDING COMPANYE Control
MOODY BANCSHARES, INC.DEMOODY BANK HOLDING COMPANYE Control
MOODY BANCSHARES, INC.DEMOODY BANK HOLDING COMPANYE Control
MOODY BANCSHARES, INC.DEMOODY BANK HOLDING COMPANYE Control
MOODY BANCSHARES, INC.DEMOODY BANK HOLDING COMPANYE Control
MOODY BANK HOLDING COMPANYDETHE MOODY NATIONAL BANK OF GALVESTONE Control
MOODY BANK HOLDING COMPANYDETHE MOODY NATIONAL BANK OF GALVESTONE Control
MOODY BANK HOLDING COMPANYDETHE MOODY NATIONAL BANK OF GALVESTONE Control
MOODY BANK HOLDING COMPANYDETHE MOODY NATIONAL BANK OF GALVESTONE Control
MOODY BANK HOLDING COMPANYDETHE MOODY NATIONAL BANK OF GALVESTONE Control
MOODY BANK HOLDING COMPANYDETHE MOODY NATIONAL BANK OF GALVESTONE Control
MOODY BANK HOLDING COMPANYDETHE MOODY NATIONAL BANK OF GALVESTONE Control
MOODY BANK HOLDING COMPANYDETHE MOODY NATIONAL BANK OF GALVESTONE Control
MOODY BANK HOLDING COMPANYDETHE MOODY NATIONAL BANK OF GALVESTONE Control
THREE R TRUSTSDEMOODY BANCSHARES, INC.E Control
THREE R TRUSTSDEMOODY BANCSHARES, INC.E Control
THREE R TRUSTSDEMOODY BANCSHARES, INC.E Control
THREE R TRUSTSDEMOODY BANCSHARES, INC.E Control
THREE R TRUSTSDEMOODY BANCSHARES, INC.E Control
THREE R TRUSTSDEMOODY BANCSHARES, INC.E Control
THREE R TRUSTSDEMOODY BANCSHARES, INC.E Control
THREE R TRUSTSDEMOODY BANCSHARES, INC.E Control
THREE R TRUSTSDEMOODY BANCSHARES, INC.E Control
LIBBIE SHEARN MOODY TRUSTDEAMERICAN NATIONAL INSURANCE COMPANYC Control
LIBBIE SHEARN MOODY TRUSTDEAMERICAN NATIONAL INSURANCE COMPANYC Control
LIBBIE SHEARN MOODY TRUSTDEAMERICAN NATIONAL INSURANCE COMPANYC Control
LIBBIE SHEARN MOODY TRUSTDEAMERICAN NATIONAL INSURANCE COMPANYC Control
LIBBIE SHEARN MOODY TRUSTDEAMERICAN NATIONAL INSURANCE COMPANYC Control
LIBBIE SHEARN MOODY TRUSTDEAMERICAN NATIONAL INSURANCE COMPANYC Control
LIBBIE SHEARN MOODY TRUSTDEAMERICAN NATIONAL INSURANCE COMPANYC Control
LIBBIE SHEARN MOODY TRUSTDEAMERICAN NATIONAL INSURANCE COMPANYC Control
LIBBIE SHEARN MOODY TRUSTDEAMERICAN NATIONAL INSURANCE COMPANYC Control
THE MOODY NATIONAL BANK OF GALVESTONDELIBBIE SHEARN MOODY TRUSTC Control
THE MOODY NATIONAL BANK OF GALVESTONDELIBBIE SHEARN MOODY TRUSTC Control
THE MOODY NATIONAL BANK OF GALVESTONDELIBBIE SHEARN MOODY TRUSTC Control
THE MOODY NATIONAL BANK OF GALVESTONDELIBBIE SHEARN MOODY TRUSTC Control
THE MOODY NATIONAL BANK OF GALVESTONDELIBBIE SHEARN MOODY TRUSTC Control
THE MOODY NATIONAL BANK OF GALVESTONDELIBBIE SHEARN MOODY TRUSTC Control
THE MOODY NATIONAL BANK OF GALVESTONDELIBBIE SHEARN MOODY TRUSTC Control
THE MOODY NATIONAL BANK OF GALVESTONDELIBBIE SHEARN MOODY TRUSTC Control
THE MOODY NATIONAL BANK OF GALVESTONDELIBBIE SHEARN MOODY TRUSTC Control

Registrations

Federal

IA
Mar 22, 2012 REGISTERED

Notice Filings (31)

AL CA CO DC DE FL GA IA IL IN KS KY LA MD MI MO NC NJ NV NY OH OR PA SC TN TX UT VA WA WI WV

Address

701 TAMA ST
BLDG B
MARION, IA 52302
United States
Phone: 855-767-5700