About - National Securities

About Us

High performance requires bold leadership, vigilant integrity and a culture of collaboration for constant improvement. National Holdings Corporation was founded in 1947 with these guiding principles in mind.

Client Focused Financial Services

We believe that in order to provide exceptional client service, it is our duty to anticipate the future and provide solutions that position our clients to capture tomorrow’s opportunities. In order to do this, National focuses on creating a culture of collaboration at every level. We bring our diverse advisor community, investor base, and industry partners together into an ongoing conversation about what’s next. The result is unparalleled service and support.

Leadership Team

The team at National is made up of veterans of the financial services industry, known for their innovative leadership. Learn more about who you’ll be working with when you partner with National.

Michael A.**Mullen

Chairman and CEO, National Holdings Corporation, President, National Securities Corporation, Executive Chairman, National Asset Management

Mr. Mullen serves as the Chairman of the Board of all National Holdings Corporation’s operating companies: National Securities Corporation, National Asset Management Inc., National Insurance Corporation and Gilman Ciocia Tax & Financial Planning. Mr. Mullen began his career in 1986 and has since developed a broad and deep understanding of the financial services industry, with a focus on investing in biotechnology companies. He brings this expertise to his leadership of the National Family of Companies. Mr. Mullen holds his Series 4, 7, 24, 63, 65, 99 and Life and Health Insurance and Variable Annuity Licenses.

    Glenn C.**Worman

    President and Chief Financial Officer, National Holdings Corporation

    Mr. Worman serves as President and CFO of National Holdings Corporation. He is also a Director on the Boards of National's operating companies: National Asset Management, Inc., National Insurance Corporation and Gilman Ciocia Tax & Financial Planning. Prior to joining National, Mr. Worman held various senior financial positions at ICAP plc, Deutsche Bank, Morgan Stanley and Merrill Lynch. He has a background in corporate finance, global fixed income, equity trading finance, wealth management, investment management and inter-dealer broker finance. Mr. Worman received his MBA from Fairleigh Dickinson University and his B.B.A from Ramapo College. Mr. Worman holds his Series 99 License.

      John C.**DeSena

      Chief Operations Officer, National Holdings Corporation

      Mr. DeSena serves as Chief Operating Officer of National Holdings Corporation and Corporate Secretary to the Board of Directors for all National Holdings Corporation’s operating companies; National Securities Corporation, National Asset Management Inc., National Insurance Corporation and Gilman Ciocia Tax & Financial Planning. Mr. DeSena also serves as a Director on the National Insurance Corporation’s Board of Directors. Prior to joining National, Mr. DeSena was the Chief Operating Officer for Group Technology & Operations, the Head of Operational Excellence for the Americas, and Head of Americas Finance Infrastructure at Deutsche Bank. At Merrill Lynch Mr. DeSena served as Head of Global Markets & Investment Banking Financial Planning and Analysis, and Chief Financial Officer of Americas Investment Banking. Mr. DeSena holds his Series 99 License.

        Michael E.**Singer

        Executive Vice Chairman and Chief Strategy Officer, National Holdings Corporation

        Mr. Singer also serves on the Legal Committee of National Holdings’ Board. Mr. Singer most recently served as CEO and President of Ramius, at its peak, a $13 billion alternative investment advisory platform. As CEO of Ramius, Mr. Singer directed strategy and execution of the firm's business plan. During his tenure, he created a salesforce which raised more than $5 billion for the firm's investment teams and closed deals to onboard to the platform five talented hedge fund teams including Margate Capital. Mr. Singer was Co-President of Ivy Asset Management, a Fund of Hedge Funds business with over $15 billion in assets. At Ivy, Mr. Singer established the firm’s strategic plan and ran the day-to-day activities. He began his career at Weiss, Peck & Greer, a $17 billion asset management firm, where he spent nine years and served as Senior Managing Director and Executive Committee Member. He oversaw day-to-day operations, new product development, client relationship management, hedge fund sales and risk functions. Mr. Singer received his J.D. from Emory University School of Law and his B.S. from Penn State University.

          Fred N.**Knopf

          General Counsel, National Holdings Corporation and National Asset Management

          Mr. Knopf has more than 25 years of experience handling securities and regulatory matters. Before joining National, he was a partner at the law firm of Wilson Elser and was chair of the firm’s Securities Industry Practice Group. Mr. Knopf is a member of the bar in New York and Connecticut and numerous federal district and appellate courts. Mr. Knopf also served as Chief Risk Officer and General Counsel of Williams Financial Group. Mr. Knopf received his J.D. from the Quinnipiac University School of Law and his B.A. and B.S. from Sacred Heart University. Mr. Knopf has published and lectured extensively on matters involving the securities industry and is an adjunct professor in the Masters of Finance Program at the Jack Welch College of Business at Sacred Heart University, teaching Regulatory Compliance and Ethics.

            Jonathan C.**Rich

            EVP, Head of Investment Banking, National Securities Corporation

            A 20 year veteran of Wall Street, Mr. Rich is the Head of Investment Banking and an Executive Vice President at National Securities since 2009. Mr. Rich worked for First Colonial Securities Group, a 13 office, 150 employee regional firm based out of Florida and New Jersey, first as a Senior Vice President and then as Managing Director in its Corporate Finance Department. Since his tenure at National, the team at National has been responsible for successfully sourcing, structuring and completing capital markets transactions within the healthcare, technology, energy and financial services sectors for emerging growth issuers with total transaction volume in excess of $3 billion. Mr. Rich received his M.B.A. from Fordham University Gabelli School of Business and his B.A. from Tulane University. Mr. Rich holds his Series 4, 7, 24, 53, 63 and 79 licenses.

              David C.**Levine

              EVP, National Sales Manager and Head of Business Development, National Holdings Corporation and National Securities Corporation

              Previously, Mr. Levine served as the National Sales Manager for a large, independent broker/dealer. Mr. Levine also held a senior position at an independent broker/dealer that was successfully sold to New England Financial, a division of MetLife. Additionally, during his career, Mr. Levine has worked for a multibillion asset management firm and a top five U.S. banking institution. Mr. Levine received his M.B.A. from New York University Stern School of Business and his B.A. from the University of Pennsylvania. Mr. Levine holds his Series 7, 24, 63 and 65 licenses.

                William**Groeneveld

                EVP, Chief Risk Officer, National Holdings Corporation

                Known as “Billy G”, Mr. Groeneveld has over 25 years of experience in trading supervisory roles. Prior to National, Mr. Groeneveld was co-founder of Program Trading Corporation specializing in algorithmic and execution trading. Mr. Groeneveld received his B.S. from West Virginia University. Mr. Groeneveld holds his Series 7, 24, 27, 55 and 63 licenses.

                  Thomas**Kowalczyk

                  CEO, National Asset Management Inc., and EVP, Investment Solutions, National Securities Corporation

                  As Chief Executive Officer of National Asset Management, Inc., Mr. Kowalczyk leads all day-to-day activities for the $1.4B+ RIA as well as the company's retail product lines. Mr. Kowalczyk has over a decade of experience working in the RIA space. He was previously with several Independent Broker-Dealers and Registered Investment Advisor (RIA) firms in senior management roles, most recently as the Senior Vice President of Advisory Services for a privately held Texas company. Mr. Kowalczyk is a graduate of Boise State University and has an M.B.A. in Financial Management from the City University of Seattle. Mr. Kowalczyk holds his Series 7, 24 and 66 licenses.

                    Kay**Johnson

                    EVP, Chief Compliance Officer, National Securities Corporation and National Asset Management

                    Mrs. Johnson serves as a Director on the National Asset Management Inc. Board of Directors. Mrs. Johnson completed the Certified Regulatory Compliance Professional™ (CRCP™) designation at The FINRA Institute at Wharton in 2006. She has served on the FINRA Committee on Continuing Education since 2005 and has also served as a volunteer panelist on an extended disciplinary hearing and as an arbitrator and Chairperson for FINRA Dispute Resolution. Previously she served two terms on the FINRA District Committee and the Regulatory Advisory Committee and also on the FINRA Registration and Qualification Subcommittee. Mrs. Johnson received her B.S. from St. Lawrence University. Mrs. Johnson holds her Series 7, 8, 24, 63 and 79 licenses.

                      Donald**Runkle

                      EVP, Chief Supervisory Officer, National Securities Corporation and National Asset Management

                      Previously, Mr. Runkle was the Director of Consulting Services with Freeman Mathis & Gary, LLP, and the Regulatory Compliance Director for Coordinated Capital Securities. Prior to his consulting work, Mr. Runkle spent over twenty years at Raymond James Financial Services Inc. and was the firm’s longtime Chief Compliance Officer. Mr. Runkle currently serves on the FINRA Membership Committee, and the FINRA District 7 Committee. He has also served on the FINRA Regulatory Advisory Committee, the SIFMA Compliance and Regulatory Policy Committee, the FSI Compliance Council, and the SIFMA Compliance and Legal Society’s Regional Firms Committee. Mr. Runkle received his B.S. from the University of South Florida and holds his Series 7, 24, 53, 4, 63, 65, licenses and previously obtained the Florida Life and Health insurance license. He also completed the Securities Industry Institute at the University of Pennsylvania Wharton School in 2004, and he has been a FINRA arbitrator since 1998.

                        Sagiv**Shiv, Ph. D.

                        Senior Managing Director, Head of Advisory Services, National Securities Corporation

                        Dr. Shiv additionally heads the due diligence and approval process for all Alternative Investments for National Securities Corporation. Over the past 20 years, Dr. Shiv has advised governments, agencies, private and public companies, and financial institutions. Prior to entering investment banking, Dr. Shiv was Chief Financial Officer of global diversified holding companies, and has served on the boards of several publicly-traded companies, as well as private entities and charities. Dr. Shiv has been published and interviewed by several publications and has been a guest speaker at numerous professional and academic events. Dr. Shiv is an adjunct professor of finance at the IESE Graduate School of Business, an associate editor of the Nanotechnology Law & Business Journal, and a member of the American Finance Association and the Financial Management Association. Dr. Shiv is the recipient of the M&A Deal of the Year Award (cross-border, under $500 mil) for 2014. Dr. Shiv received his B.Sc. and Ph.D. in finance and Commercial Economics from Pacific Western University. Dr. Shiv holds his Series, 7, 24, 63 and 79 licenses.

                          John A.**Koenigsberg

                          Managing Director, Operations, National Securities Corporation and National Asset Management

                          Previous to National, Mr. Koenigsberg was Senior Vice President of Operations and Vice President of Operations & Internal Compliance for Montauk Financial Group. Prior to Montauk Financial Group, Mr. Koenigsberg was SVP of Credit Services at Societe Generale Securities Corporation, VP of Operations with Swiss Bank Corp. and also held various management positions in the industry. Mr. Koenigsberg holds Series 27 & Series 99 licenses.

                            Dan**Ortega

                            Managing Director, Supervision, National Securities Corporation and National Asset Management

                            With over 20 years of experience in the financial industry and particularly in independent broker dealers , Mr. Ortega has served in multiple roles including but not limited to Branch Owner, Branch Supervisor, Regional Supervisor, Compliance Auditor, Director of Compliance, Director of Surveillance, Chief Supervisory Officer. Mr. Ortega holds his Series, 7, 24, 63 and Life Insurance and Variable Annuities licenses.

                              Chris Ann**Campana

                              President, National Insurance Corporation

                              Ms. Campana is also Director of Insurance for National Securities Corporation. Ms. Campana began her career in Insurance in 1989 as a Business Manager for Mutual of New York and John Hancock Insurance companies respectively. She then moved into the Independent Broker Dealer channel with First Montauk Securities where she managed their Insurance Operations and held the position of Insurance Coordinator. Ms. Campana holds her Series 6 and Life, Heath and Variable Insurance licenses.

                                Carmine**LaCognata

                                Managing Director, Business Development National Insurance Corporation

                                Mr. LaCognata is Managing Director of Business Development for National Insurance Corporation. He strategically directs Insurance Agents to offer clients advanced retirement planning strategies, income protection opportunities, and multiple risk management and estate planning solutions. Mr. LaCognata has been a financial professional since 1989 and has helped many individuals with their retirement funding and estate planning needs. He comes to National from AXA Advisors, LLC where he was the Executive Vice President (Southeast Region) for 18 years. Mr. La Cognata has been a member of the National Association of Insurance and Financial advisors since 1992. He holds Series 6, 7, 24, 26, 53, 63, and 65 Licenses.

                                  Marguerite**O'Brien

                                  SVP, Syndicate Manager, National Securities Corporation

                                  Marguerite is the Syndicate Manager and a Senior Vice President at National Securities Corp. She began her career at National Securities Corp. in 2007 working as an Associate in the Syndicate department. Marguerite received her B.A. from Hunter College in 2009. She holds her Series, 7, 63, 24, 79, 57 and 65 licenses.

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