In any quality organization, “the “buck starts and stops” at the top with the management team. National Alliance Securities is certainly no exception. The financial services industry is constantly changing and management professionals are required to keep up with this evolution and its impact on investment policies and portfolios, client service, operations and back office responsibilities, and a stricter regulatory environment. Clients turn to investment professionals and entrust them to educate and advise about the economy, the markets, and even regulations, while helping them achieve their portfolio goals.
The National Alliance Securities management team is uniquely qualified to oversee the operations of the broker-dealer and guide the sales and trading professionals as they navigate the changing financial world and service their clients. These individuals each have decades of experience within the industry and come from diverse positions of responsibilities. Above all else, they thoroughly comprehend the various aspects and complexities of managing a firm and leading a staff.
Brad Phillips – Chairman of the Board / CEO Brad Phillips began his business career as an investment banking professional and worked at two prominent Wall Street firms before moving into a corporate management role at a major international energy company. After several years, he brought that executive experience back to the financial services industry and served as President of a California-based broker-dealer where he oversaw the firm’s daily operations. He later joined National Alliance in 2002 as its President and continued to serve in executive positions until he exclusively became its Chairman.
Phillips serves as Chairman of the Board and CEO of National Alliance Securities and brings unique leadership skills and a diverse perspective on management and operations to that role which serve to complement the sales and trading experiences of the other team members.
Phillips earned his MBA from University of Chicago with a concentration in Finance and undergraduate degrees in Computer Science and Economics from Brown University. He possesses the FINRA 4, 7, 24, 27, 53, 55, and 63 securities licenses.
Mark Salter – Managing Director / Board Member
Mark Salter brings to National Alliance Securities about three decades of diverse experiences within the financial services industry, primarily in fixed income sales and trading capacities for institutional broker-dealers. He began his career in 1981 in an operations role at a Toronto-based brokerage house and moved into various trading positions over time, eventually heading up the trading desk for a major securities’ firm in Houston, Texas. He has served as Director of Sales and Trading for two regional broker-dealers and managed substantial professional staffs at both firms, while also serving on their management committees and Boards of Directors.
Salter serves as Managing Director of National Alliance Securities and also trades mortgage derivative securities and US Government and agencies debt obligations for the broker-dealer.
Salter graduated from York University in Toronto, Canada in 1980 with a BA in Economics and possesses the FINRA 7, 24, 63, 65, 87, and 4 securities licenses.
John Liepman – Managing Director / Board Member
John Liepman has spent over 20 years as an institutional sales professional and trader at several securities and investment banking firms. He primarily covered money managers, mutual funds, and insurance company relationships and possesses a thorough understanding of the specific needs of these institutions, both from a portfolio management and operations standpoint. For the past decade, he assumed more of a trading role because of his comprehensive product knowledge that came from working with his highly sophisticated client base.
Liepman serves as Managing Director of National Alliance Securities and also trades agency and whole loan collateralized mortgage obligations (CMOs) and ABS for the broker-dealer. He continues to serve in an advisory capacity for Tier 1 money managers and mutual fund clients.
Liepman graduated from Stephen F. Austin University in Nacogdoches, Texas in 1989 with a BBA in Finance and a concentration in math and possesses the FINRA 7, 24 and 63 securities licenses.
Matt Mowen – Director of Operations
Matt Mowen maintains a strong technology, research, and operations background and over 10 years of experience in the institutional investment industry. He began his career as a financial engineer and systems analyst, developing client portfolio and accounting programs and implementing detailed cashflow analysis on complex mortgage derivative securities. He designed and administered a customized technology system that integrated various hardware and software solutions to create greater user efficiencies for a major regional investment boutique. He also managed all data retrieval and backup efforts and the overall communications systems for a broker-dealer and also oversaw the firm’s relocation to a new building to ensure no business interruption occurred during the move.
Mowen serves as Director of Operations for National Alliance Securities where he manages all internal organization and operations processes and the firm’s overall infrastructure which includes the important technology and communications efforts. He directs a staff of internal professionals and outside consultants that handles the financial management, human resources, and legal-related functions. He also serves as the Treasurer for the Corporation.
Mowen earned a law degree from Wake Forest School of Law in 1994 with a concentration in tax law and a Bachelor of Science in Physics from Baylor University in Waco, Texas in 1991. He possesses the FINRA 7 securities license and continues to maintain his license to practice law in the state of Texas.
Board Members
National Alliance possesses a Board of Directors that is made up of members of its management team and professional staff. The board meets on a regular basis to discuss developments within the various groups of the organization as well as global economic and geopolitical occurrences that could impact the company and the industry as a whole.
Each member of the board provides a unique business viewpoint through the diverse organizational roles they have served in prior positions and we believe they bring complementary skill-sets to the oversight and advisory process.
Michael McKinney – Board Member
Michael McKinney maintains over 15 years of experience in trading mortgage-related securities at both national and regional financial services companies through various interest rate cycles. He began his professional career on the loan origination side at a major mortgage lender and has unique insight into the underwriting process and individual loan characteristics of the products he now trades.
McKinney is founding partner of National Alliance Capital Markets and serves as a Director for the firm. He trades fixed rate mortgage pools and adjustable rate products for the firm.
McKinney earned his MBA from University of Florida and a BS in finance from University of Connecticut. He possesses the FINRA 7,24,and 63 securities licenses.
Management Team / Board
Management Team
Board
In any quality organization, “the “buck starts and stops” at the top with the management team. National Alliance Securities is certainly no exception. The financial services industry is constantly changing and management professionals are required to keep up with this evolution and its impact on investment policies and portfolios, client service, operations and back office responsibilities, and a stricter regulatory environment. Clients turn to investment professionals and entrust them to educate and advise about the economy, the markets, and even regulations, while helping them achieve their portfolio goals.
The National Alliance Securities management team is uniquely qualified to oversee the operations of the broker-dealer and guide the sales and trading professionals as they navigate the changing financial world and service their clients. These individuals each have decades of experience within the industry and come from diverse positions of responsibilities. Above all else, they thoroughly comprehend the various aspects and complexities of managing a firm and leading a staff.
Brad Phillips – Chairman of the Board / CEO
Brad Phillips began his business career as an investment banking professional and worked at two prominent Wall Street firms before moving into a corporate management role at a major international energy company. After several years, he brought that executive experience back to the financial services industry and served as President of a California-based broker-dealer where he oversaw the firm’s daily operations. He later joined National Alliance in 2002 as its President and continued to serve in executive positions until he exclusively became its Chairman.
Phillips serves as Chairman of the Board and CEO of National Alliance Securities and brings unique leadership skills and a diverse perspective on management and operations to that role which serve to complement the sales and trading experiences of the other team members.
Phillips earned his MBA from University of Chicago with a concentration in Finance and undergraduate degrees in Computer Science and Economics from Brown University. He possesses the FINRA 4, 7, 24, 27, 53, 55, and 63 securities licenses.
Mark Salter – Managing Director / Board Member
Mark Salter brings to National Alliance Securities about three decades of diverse experiences within the financial services industry, primarily in fixed income sales and trading capacities for institutional broker-dealers. He began his career in 1981 in an operations role at a Toronto-based brokerage house and moved into various trading positions over time, eventually heading up the trading desk for a major securities’ firm in Houston, Texas. He has served as Director of Sales and Trading for two regional broker-dealers and managed substantial professional staffs at both firms, while also serving on their management committees and Boards of Directors.
Salter serves as Managing Director of National Alliance Securities and also trades mortgage derivative securities and US Government and agencies debt obligations for the broker-dealer.
Salter graduated from York University in Toronto, Canada in 1980 with a BA in Economics and possesses the FINRA 7, 24, 63, 65, 87, and 4 securities licenses.
John Liepman – Managing Director / Board Member
John Liepman has spent over 20 years as an institutional sales professional and trader at several securities and investment banking firms. He primarily covered money managers, mutual funds, and insurance company relationships and possesses a thorough understanding of the specific needs of these institutions, both from a portfolio management and operations standpoint. For the past decade, he assumed more of a trading role because of his comprehensive product knowledge that came from working with his highly sophisticated client base.
Liepman serves as Managing Director of National Alliance Securities and also trades agency and whole loan collateralized mortgage obligations (CMOs) and ABS for the broker-dealer. He continues to serve in an advisory capacity for Tier 1 money managers and mutual fund clients.
Liepman graduated from Stephen F. Austin University in Nacogdoches, Texas in 1989 with a BBA in Finance and a concentration in math and possesses the FINRA 7, 24 and 63 securities licenses.
Matt Mowen – Director of Operations
Matt Mowen maintains a strong technology, research, and operations background and over 10 years of experience in the institutional investment industry. He began his career as a financial engineer and systems analyst, developing client portfolio and accounting programs and implementing detailed cashflow analysis on complex mortgage derivative securities. He designed and administered a customized technology system that integrated various hardware and software solutions to create greater user efficiencies for a major regional investment boutique. He also managed all data retrieval and backup efforts and the overall communications systems for a broker-dealer and also oversaw the firm’s relocation to a new building to ensure no business interruption occurred during the move.
Mowen serves as Director of Operations for National Alliance Securities where he manages all internal organization and operations processes and the firm’s overall infrastructure which includes the important technology and communications efforts. He directs a staff of internal professionals and outside consultants that handles the financial management, human resources, and legal-related functions. He also serves as the Treasurer for the Corporation.
Mowen earned a law degree from Wake Forest School of Law in 1994 with a concentration in tax law and a Bachelor of Science in Physics from Baylor University in Waco, Texas in 1991. He possesses the FINRA 7 securities license and continues to maintain his license to practice law in the state of Texas.
Board Members
National Alliance possesses a Board of Directors that is made up of members of its management team and professional staff. The board meets on a regular basis to discuss developments within the various groups of the organization as well as global economic and geopolitical occurrences that could impact the company and the industry as a whole.
Each member of the board provides a unique business viewpoint through the diverse organizational roles they have served in prior positions and we believe they bring complementary skill-sets to the oversight and advisory process.
Michael McKinney – Board Member
Michael McKinney maintains over 15 years of experience in trading mortgage-related securities at both national and regional financial services companies through various interest rate cycles. He began his professional career on the loan origination side at a major mortgage lender and has unique insight into the underwriting process and individual loan characteristics of the products he now trades.
McKinney is founding partner of National Alliance Capital Markets and serves as a Director for the firm. He trades fixed rate mortgage pools and adjustable rate products for the firm.
McKinney earned his MBA from University of Florida and a BS in finance from University of Connecticut. He possesses the FINRA 7,24,and 63 securities licenses.