Securities America Employee Reviews

Showing all 12 reviews
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Phone all day with helpful Co-workers
Rep Relations Specialist (Current Employee) –  Omaha, NEFebruary 2, 2016
Typical day is being on the phone the majority of it assisting reps with issues while attempting to stay within stat requirements. Co-workers are mostly willing to help each other out. The hardest part of this job is not really being able to train for it because every call is different. Management is decent, we are greeted by team managers on a mostly daily basis and for monthly, semi-annually and annual reviews.
Pros
bonuses, access to series study materials
Cons
Benefits, workplace communication
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Developing Company
Compensation Researcher (Current Employee) –  La Vista, NEFebruary 5, 2016
The company has a strong ethic to providing services for it's representatives however it lacks the actual implementation. The benefits are lack luster and the company is having a hard time adjusting to a changing demographic of employees
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Independent Financial Services
Financial Advisor (Current Employee) –  Dallas, TXFebruary 24, 2016
Excellent Independent Brokerage Company, great back office support and technology. Working with small office and idea sharing is a plus. Total independence, with flexible hours.
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Management and Processes need improvement
Registered Financial Advisor Assistant (Former Employee) –  Chesterfield, VANovember 7, 2015
There is no support from higher level management in times of need and processes/procedures are not clearly stated or easy to access.
Pros
none
Cons
none
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Fast paced and enjoyable work environment
Associate Analyst and Analyst II (Former Employee) –  La Vista, NEJune 19, 2015
Everyday had deadlines and quick turn-around expectations for research requests, but management was well-organized and co-workers worked as a team to feel accomplished and satisfied by the end of the day. The hardest part of the job was transferring to a new program platform that still had some kinks to be worked out; we were behind schedule and testing the program as we performed our normal functions. It meant working overtime and on weekends. The most enjoyable aspect was the environment; laid back despite heavy work-loads at times; I appreciated that they trusted us enough to not micromanage. The management was excellent and always listened to our needs or suggestions, plus they took the time to get to know us personally.
Pros
Relaxed environment, great teamwork, PTO
Cons
Healthcare, expected overtime hours
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Securities America strives in Technology
Technical Support Specialist (Former Employee) –  La Vista, NEJuly 9, 2015
I really enjoy the day to day knowledge of my position. Being on the front end of technology you never stop learning and growing in your position. I have learned that patience is one of the biggest keys to success, if you are patient opportunities will come to you.
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Professional setting
Receptionist (Former Employee) –  Casselton, NDApril 6, 2015
Part time position and very serious. This job you are dealing with clients money and there is no messing around.
The hours were nice as it was 8am to 4pm Monday through Friday with no holidays. Was located in a bank so were given the same days off.
Learned a lot about stocks and bonds and how to invest money.
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Liked job responsibilities-new management decisions were counterproductive to work environment and the business
Account Maintenance Analyst (Former Employee) –  Omaha, NebraskaMarch 9, 2014
I very much like being busy and productive with interesting work that we were empowered to perform, however, with new management changes it affected the business in a counterproductive manner.
Pros
independence, empowered to make decisions, liked new processes
Cons
cutbacks in personnel/short staffed and a severe overload on current employees, new management decisions were counterproductive to work environment
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Compliance Examiner ---Great job but had very challenging senior team member.
Compliance Examiner (Former Employee) –  Chicago, ILJuly 6, 2012
I loved the position as a Compliance Examiner. The company is a small independent broker dealer that cleared through NFS and Pershing. My senior team member was very unstable and was very difficult to work with on a daily basis. I was the only team member in the office, which made it difficult to avoid contact with her. I found out that I was the fourth examiner to work under/with her. Satellite office was consolidated to the company headquarters in Omaha.
Pros
small mid-west company.
Cons
senior co-worker very unstable.
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Great Broker-Dealer for Independent Advisors.
Registered Representative (Former Employee) –  Rancho Cucamonga, CAAugust 1, 2013
~Working as an independent contractor, was in charge of my own
business.
~Having your own business can be difficult. Having one of the top
B/D's is critical.
~Great staff, with tremendous support.
~It's not hard doing what you love to do.
~Being in charge of your own destiny is a great accomplishment.
Pros
great support!
Cons
working as a sole proprietor requires effort to have comradery in the industry.
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Great Place for Advancement
Sales Supervision-Analyst II (Current Employee) –  Omaha, NEMay 31, 2014
Over the last 2 years at Securities America, I've been able to further advance my knowledge of our current systems (Compliance Review Utility, Adtrax, EOffice, Outlook, Excel, Access, Robohelp, FBSI, Star Station, MIPS, and Relationship Management Utility). I've also learned how to manage my relationships with our representatives to ensure maximum review efficiency. In order to do this, I have had to master my communication skills (both written and oral) to effectively answer questions and perform high quality reviews. Additionally, I have found that it is important to be able to ask questions in order to learn the most from each situation. I am a very fast learner, catching onto new concepts rather quickly. After only 9 months with Securities America, I was offered a position in Compliance. After just 6 months as an Analyst 1 in Compliance Communications Review, I was promoted to Analyst 2. I truly enjoy challenges and thrive for opportunities to grow professionally. Just recently, I accepted a promotion to Analyst 2 in Sales Supervision.

Over the last 2 years at Securities America, I've earned the following licenses: Series 7, Series 24, Series 66, and Series 4. I've also completed the SA University Program. I have over 4 years of experience working in the financial services industry and over 6 years working in the business world. Over the last year in Compliance, I have become one of the most knowledgeable people working with Marketing Library and Social Media reviews, have taken over our CCR Access Database and regularly updated it, and started revamping the CCR Resource
  more... Center to more accurately assist analysts’ needs. I also quickly became the Compliance Social Media Analyst. I reviewed all Social Media posts through Smarsh on a daily basis to ensure compliance with policy.

The hardest part of a job in Compliance and Supervision is being able to adapt to the ever-changing regulations and effectively implement risk management strategies.

My favorite part of my job is the opportunity for growth.
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Overall rating

3.4
Based on 12 reviews
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Ratings by category

Work/Life Balance
3.3
Compensation/Benefits
3.0
Job Security/Advancement
2.9
Management
2.9
Culture
3.2