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Our Leadership Team consists of a Board of Directors and Executive Management members each bring their own unique talents and expertise with extraordinary vision. We take pride in providing concierge-level service through our Advisor Relations support team of dedicated Relationship Managers, our Transition and Training and our experienced Operations and Compliance professionals that serve as advocates for each advisor.

Executive Team

 

LISA M. SMITH
President & CEO
Email: lsmith@bdfs.com
Phone: (515) 727-6764

Lisa has more than 30 years’ experience in broker/dealer and RIA management, operations, recruiting, compliance, due diligence, relationship management and business development. 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 Master’s Program in Finance at Drake University. She has FINRA Series 7, 24, 63, 65, 79, 99 and Life, Health and Accidental insurance licenses.


B BennettBARBARA BENNETT
Chief Operating Officer & Chief Compliance Officer
Email: bbennett@bdfs.com
Phone: (515) 727-6777

As Chief Compliance Officer and Chief Operating Officer, Barbara is responsible for the firm’s compliance department and operations.  Barbara has 30+ years of investment industry and legal and compliance experience.

vShe 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.


R SherwoodROBERT SHERWOOD
Chief Financial Officer
Email: rsherwood@bdfs.com
Phone: (515) 727-6711

Rob Sherwood serves as the Chief Financial Officer for Investment Advisors Corp. and Broker Dealer Financial Services 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.

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.


M HarkenMICHAEL HARKEN
Chief Technology Officer
Email: mharken@bdfs.com
Phone: (515) 727-6715

Michael Harken serves as Chief Technology Officer for Investment Advisors Corp. and Broker Dealer Financial Services Corp.. He has been with the organization since 2001 and has over 24 years’ experience in the technology field. 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.

Relationship Managers

C. Phelps PictureCODY PHELPS
VP Business Development Advisory & Brokerage
Email: cphelps@bdfs.com
Phone: (515) 727-6717

Cody serves as the Vice President of Business Development and is responsible for the development of IAC’s hybrid RIA programs and services.

Cody joined IAC/BDFS in 2011, serving as a Trading and Fixed Income Specialist and then Relationship Manager for IBA Securities, a division of Broker Dealer Financial Services Corp. (BDFS) and Mutual Fund Sales and Marketing Manager. Prior to joining the firm, he served as a Financial Advisor for Edward Jones and as a Client Service Consultant for Wells Fargo Advantage funds.

He received his Bachelor’s Degree in Business Management from Central College in Pella, Iowa and holds FINRA Series 7, 63, 66, 53 and NFA Series 3 licenses.


A. NielsenALEC NIELSEN
Relationship Manager – Advisory
Email: anielsen@bdfs.com
Phone: (515) 727-6742

Alec L. Nielsen serves as the Relationship Manager for Investment Advisors Corp. He is responsible for the development and growth of advisory programs and services by providing on-going training to IARs on representative managed programs, third party managed programs, and financial planning services. He also coordinates and assists with firm projects and tasks between compliance, accounting, operations, advisors, and custodians.

Alec has over 10 years of investment and insurance industry experience. Prior to joining the firm, Alec worked with a small, independent advisory firm in West Des Moines, IA. He also spent numerous years working for a Top 100 Independent Financial Advisor.

Alec received his Bachelor of Business Administration from the University of Iowa – Henry B. Tippie College of Business. He currently holds the Chartered Mutual Fund Counselor (CMFC®) designation from the College for Financial Planning.

He and his wife, Holly, live in Waukee with their yellow Labrador retriever, Simba. Alec is an avid cyclist and Hawkeye Football season ticket holder.


T. GarrigntonTODD GARRINGTON
Relationship Manager – Independent
Email: tgarrington@bdfs.com
Phone: (515) 727-6767

Todd serves as the Relationship Manager for our Independent representative channel at BDFS.  He is responsible for building partnerships and open communication with our Independent representatives on their needs and important policies from BDFSC.

Todd has over 20 years of investment experience in  account management, relationship building, RIA’s and wholesaling.  He is a graduate of Upper Iowa University and has his Series 6 and Insurance licenses.

He and his wife, Shelley, live in Waukee and have three children, Tanner, Trey and Tate.  Todd enjoys spending time attending his children’s sporting events.