About Us | Join Us | Careers | Management | Corporate Structure | FAQs | Contact Us
LISA M. SMITH
President & CEO
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.
Chief Financial Officer
Phone: (515) 727-6709
Andrea Kemble serves as the Chief Financial Officer for Broker Dealer Financial Services Corp. and Investment Advisors Corp. She and her 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, she served as Chief Financial Officer and FINOP for Brokers International Financial Services, LLC for over eight years. During her years at Brokers International Financial Services, LLC she helped streamline the commission and accounting processes. She was also controller in the building industry for almost 10 years. She received her B.A. in Finance from Upper Iowa University.
Chief Operating Officer & Chief Compliance Officer
Phone: (515) 727-6777
As Chief Operating Officer, Barbara is responsible for driving the company to surpass sales and profitability by overseeing the new Advisor Relations Department made up of Relationship Managers and Product Managers. She also oversees the training for the firm, and is the West Des Moines Branch Manager, BDF Investments.
Barbara has 30+ years of investment industry and legal and compliance experience. She 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.
Chief Technology Officer
Phone: (515) 727-6715
Michael Harken serves as Chief Technology Officer for Broker Dealer Financial Services Corp. and Investment Advisors 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.
Vice President, Sales & Marketing
Phone: (515) 727-6740
In addition to serving as Vice President of Sales and Marketing for Investment Advisors Corp. (IAC), Lois serves as Vice President of Trading for Broker Dealer Financial Services Corp. Prior to joining the firm in 2002, Lois was Equity and Fixed Income Trader with Securities Corporation of Iowa. She brings over 27 years experience in the securities industry to IAC. Ms. Brookshire's role includes implementing effective sales and marketing campaigns along with trading assistance. She holds FINRA Series 7, 24, 53, 63, 66, and 79 licenses, the NFA Series 3 license, as well as Life and Annuity Insurance licenses.
Phone: (515) 727-6722
Andrew joined IAC in 2013 as an Operations Analyst. In his role, Andrew supports the day-to-day operations and processes of IAC. He is responsible for maintaining the firm’s policies and procedures and supporting the firm’s back office infrastructure.
Prior to joining IAC, Andrew worked at Heartwood Investments as an Assistant Research Analyst. He graduated from the University of Northern Iowa with a degree in Finance & Real Estate and currently holds a FINRA 65 registration.
Our management team has a wealth of industry experience and is firmly committed to working with our advisory representatives to meet the unique needs of their business.