John L. Dixon, Chairman and Chief Executive Officer
Kim Richardson, Senior Vice President and Chief Marketing Officer
Murli Sujanani, Senior Vice President of Investment Research
Penny Deussen, Senior Vice President of Human Resources & Conference Services
John Dixon previously served as Chairman of Mutual Service Corporation and was also responsible for oversight of of Waterstone Financial Group, both broker-dealers owned by LPL, AFG's parent company. He has also served as a Director of the Institute of Certified Financial Planners, International Association of Financial Planning and the Financial Planning Association. From 1993 until 2003, John was a Trustee of the National Endowment for Financial Education (NEFE) and in 2002 and 2003 he chaired the NEFE Board of Trustees. John has also served as Chairman of the Industry/Regulatory Council in Continuing Education, as Chairman of its Executive and Firm Element Committees, and as a member of its Regulatory Element Committee.
John currently serves on the Membership Committee ot the National Association of Securities Dealers (FINRA) and has served in the past on the Investment Company Committee, Insurance Affiliated Broker-Dealer Committee, and District 7 Committee of the FINRA. John is also a member of the Advisory Council for the Financial Service Institute, an association that provides regulatory and legislative advocacy on behalf of independent contractor broker-dealers and their affiliated advisors. Mr. Dixon earned a Master of Science in Financial Services and Master of Science in Management degrees from The American College, and holds CFP ™, CLU, and ChFC professional designations. [ top ]
Kim Richardson has over sixteen years of extensive experience in the financial services industry. Prior to joining Associated Securities Corp., Kim Richardson was Assistant Vice President of Corporate Development at Curian Capital LLC in Denver, where she was responsible for initiating and maintaining mission-critical business relationships with Registered Investment Advisors and independent and regional broker/dealers, as well as with bank and insurance company owned brokerage firms. She also served as Vice President of Product Marketing for three AIG Advisor Group broker/dealers-SunAmerica Securities, Sentra Securities and Spelman & Co.-and as Director of Outsource Development for Fortis Financial. Kim holds FINRA Series 6, 7, 24, 63 and 65 licenses, as well as California Life Insurance license #0D29045. [ top ]
Murli Sujanani is responsible for analysis and approval of all financial products offered by Associated Securities Corp. Murli is involved in mutual fund research for Associated Securities' Capital Asset Management Program. Prior to joining Associated Securities, he served as Vice President of Mortgage Securities for GMAC-Residential Funding Corporation. From 1983 to 1990, Murli worked in the corporate finance department of Dain Bosworth, Inc. (a NYSE regional brokerage firm), where he was responsible for partnership origination and due diligence work. Murli holds FINRA Series 7, 24, 63 and 65 licenses. He is also a Certified Public Accountant and a member of the Minnesota Society of CPA's. [ top ]
Penny Deussen is responsible for all internal human resources duties for the firm as well as running the conference department, which provides educational meetings for our rep force as well as the Home Office employees. Penny has held various positions within the securities industry since 1991. Prior to joining Associated Securities Corp., she was the Corporate Paralegal under the General counsel for Spear Securities, Inc., a publicly traded firm. She also worked as part of the marketing team on the institutional side at TCW. Penny is a Certified Meeting Professional (CMP). [ top ]