About Us

High performance requires bold leadership, vigilant integrity and a culture of collaboration for constant improvement. National Holdings Corporation was founded 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 bold leadership. Learn more about who you’ll be working with when you partner with National.

Michael A.**Mullen

Chairman and Chief Executive Officer

Mr. Mullen serves as the CEO and Chairman of National Holdings Corporation. He also serves as the Executive Chairman of the Board for National's Brokerage, Advisory, Insurance and Tax businesses. 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

    Mr. Worman serves as President and CFO of National Holdings Corporation. He is also a Director on the Boards of National's advisory, insurance and tax businesses. 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 Operating Officer

      Mr. DeSena serves as Chief Operating Officer of National Holdings Corporation and sits on the Board of Directors of National's insurance business. 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

        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 and Corporate Secretary

          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

            Executive Vice President, Head of Investment Banking

            A 20 year veteran of Wall Street, Mr. Rich is the Head of Investment Banking and an Executive Vice President at National 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.

              Thomas**Kowalczyk

              Chief Executive Officer, Advisory and Executive Vice President, Investment Solutions

              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.

                Henry E.**Kaplan

                President & Chief Operating Officer, Advisory and Executive Vice President, Investment Solutions

                Henry Kaplan is an industry veteran, having served over thirty years in a number of senior level positions as a managing director at Morgan Stanley. He spent the majority of his career working closely with financial advisers, building businesses, driving strategic initiatives, and developing client solutions. Notably, Henry led Morgan Stanley Wealth Management’s strategy in creating an industry-leading consulting (advisory) business resulting in the fastest growing platform among its peers. He later headed Graystone Consulting focusing on the institutional market. Most recently, he was head of distribution for the North America intermediary business at Morgan Stanley Investment Management and served as president of its broker dealer. Henry’s broad and deep experience includes managing a branch complex in NYC, providing strategic insight as a financial analyst, managing the firm’s cash management account business, and serving clients as a financial adviser. Henry Kaplan is a Certified Investment Management Analyst and a member of the Investments & Wealth Institute. He served on the Board of Governors of the Money Management Institute and has represented the industry to both the SEC and Federal Reserve. He was an active member of the Association of Professional Investment Consultants. Henry received his B.A. in political science from Binghamton University and M.I.A. in finance and banking from Columbia University’s School of International and Public Affairs.

                  William**Groeneveld

                  Executive Vice President, Chief Risk Officer

                  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.

                    Kay**Johnson

                    Executive Vice President, Chief Compliance Officer

                    Mrs. Johnson serves on the Board of Directors for National's advisory business. 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

                      Executive Vice President, Chief Supervisory Officer

                      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.

                        David C.**Levine

                        National Sales Manager and Head of Business Development

                        David Levine came to National after having 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.

                          Sagiv**Shiv, Ph. D.

                          Senior Managing Director, Head of Advisory Services

                          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

                            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.

                              Chris Ann**Campana

                              President, Insurance

                              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.

                                Marguerite**O'Brien

                                Senior Vice President, Syndicate Manager

                                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.

                                  Dan**Ortega

                                  Managing Director, Supervision

                                  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.

                                    National Near You