About Us

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

Executive Leadership

Michael A.**Mullen

Chief Executive Officer

Mr. Mullen serves as the CEO. 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.

    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.

      Henry E.**Kaplan

      Executive Vice President, Head of Products and Services

      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.

        David C.**Levine

        Executive Vice President, Chief Sales and Relationship Manager

        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.


          Executive Vice President, Head of Platform

          Mr. Kowalczyk leads all day-to-day activities for National's $2B+ 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.

            Debbie Walsh

            Executive Vice President, Head of Human Resources

            Debbie Walsh is a member of the Executive Committee and serves as the Head of Human Resources. She oversees all facets of human resources such as compensation and benefits, performance management, employee relations, talent acquisition and engagement, policy and labor law compliance. She has over 25 years of talent management experience serving various companies in the financial services industry. Ms. Walsh is a SHRM certified professional and holds her 99 license.

              Fred N.**Knopf

              General Counsel

              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.

                Key Department Heads

                Natalia Watson

                CFO, NHLD subsidiaries

                Natalia Watson serves as the Chief Financial Officer for National's brokerage, advisory and insurance businesses. She has been with the firm since 2005. Ms. Watson holds a Bachelor's Degree in Finance from Florida Atlantic University.

                  Arthur R. Hogan, III

                  Managing Director, Chief Market Strategist and Head of Equity Capital Markets

                  Mr. Arthur Rush Hogan, III, also known as Art, joined National after serving as Director of Research and Chief Market Strategist for B. Riley FBR, Inc., Research Division. Prior to this, he served as the Director of Equity Research since April 2015 and a Chief Market Strategist since March 2014 at Wunderlich Securities Inc., Research Division. Prior to this Mr. Hogan held a variety of senior roles at major investment firms including Lazard Capital Markets, Jefferies LLC, Dean Witter and Morgan Stanley. Mr. Hogan began his career as a Floor Broker at the Boston Stock Exchange. His financial industry career spans 30 years during which he has concentrated on the United States equity markets. Mr. Hogan previously served as a member of the Board of Governors of Boston Stock Exchange, Inc., and a member of the Board of Directors of NASDAQ OMX BX, Inc. Mr. Hogan frequently appears in live interviews on CNBC, FOX Business and Bloomberg TV and is quoted regularly in The Wall Street Journal, The New York Times, Financial Times, Yahoo Finance and many other outlets across the globe.

                    Kathryn Travis

                    Senior Managing Director, Tax, Financial Advisor and Business Development

                    Kathryn Travis' rise to the top of the accounting profession began after she graduated from the College of New Rochelle with a degree in advanced mathematics. After a brief stint at Merrill Lynch, Kathy raised her three children working part-time preparing tax returns. In 1985 Kathy joined a single office tax preparation firm and became a partner nearly immediately. She grew the firm with her partners and took it public in 1994. That firm, Gilman Ciocia, was acquired by National in 2013, and Kathy has been a key leader of National's tax and accounting practice ever since.

                      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.


                        Managing Director, Chief Supervisory Officer

                        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.

                          Gregory Rothstein

                          COO, National Securities Corporation

                          Gregory Rothstein serves as the Chief Operating Officer for National's brokerage business. He has been with the firm since 2018. Prior to joining National, Mr. Rothstein spent ten years at Bank of America in senior project management roles. Mr. Rothstein holds a Bachelor's Degree from the University of Florida and an MBA in Finance from Florida Atlantic University.

                            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.

                                Jamie Dorrian

                                Chief Administrative Officer of National Tax and Financial Services

                                Jamie Dorrian serves as Chief Administrative Officer of National Tax and Financial Services and oversees the day-to-day operations of the Tax and Financial Services offices. Ms. Dorrian has been with National since its acquisition of Gilman Ciocia in 2013. Prior to that she served for eight years as Project Manager and Director of Human Resources for Gilman Ciocia. Ms. Dorrian holds her Series 99 License.

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