# SECURITIES MANAGEMENT AND RESEARCH, INC.

SECURITIES MANAGEMENT AND RESEARCH, INC. of MARION, IA is an SEC-registered investment adviser.

## Registration

- CRD: 759
- Type: SEC-registered investment adviser
- SEC file number: 801-8002
- Location: 701 TAMA ST, BLDG B, MARION, IA, 52302
- Phone: 855-767-5700
- Latest filing: 2012-03-22
- Regulatory AUM: $3.3M
- Discretionary AUM: $3.3M
- Clients: 1
- Accounts: 25

## Officers, owners & control persons (31)

_Showing 25 of 31 people._

| Name | Role | Location |
| --- | --- | --- |
| [AXELSON TERESA ELAINE](https://search.stillhousedata.com/person/730074) | VICE PRESIDENT; VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| [DIXON GORDON DENNIS](https://search.stillhousedata.com/person/730075) | SVP, CHIEF INVESTMENT OFFICER, DIRECTOR | — |
| [KOELEMAY BRENDA THOMAS](https://search.stillhousedata.com/person/730076) | VICE PRESIDENT, TREASURER; VICE PRESIDENT, TREASURER, CHIEF FINANCIAL AND ADMINISTRATIVE OFFICER | — |
| [MCCROSKEY MICHAEL WADE](https://search.stillhousedata.com/person/730077) | PRESIDENT, CEO, DIRECTOR | — |
| [PRAKER SALLY FITZHUGH](https://search.stillhousedata.com/person/730078) | ASSISTANT VICE PRESIDENT | — |
| [LORD MICHELE SWIGGETT](https://search.stillhousedata.com/person/730079) | ASSISTANT SECRETARY | — |
| [HARRINGTON TERRELL BRETT](https://search.stillhousedata.com/person/730080) | VICE PRESIDENT; VICE PRESIDENT AND CHIEF SECURITIES MARKETING OFFICER | — |
| [LUCAS ROBERT EUGENE](https://search.stillhousedata.com/person/730081) | DIRECTOR | — |
| [FERDINANDSTEN G RICHARD](https://search.stillhousedata.com/person/730082) | DIRECTOR | — |
| [DOUGLAS VICKI RENE](https://search.stillhousedata.com/person/730083) | ASSISTANT VICE PRESIDENT | — |
| [GEIB STEVEN DOUGLAS](https://search.stillhousedata.com/person/730084) | ASSISTANT VICE PRESIDENT | — |
| [HERZ IRWIN MAX](https://search.stillhousedata.com/person/730085) | TRUSTEE | — |
| [BEHRENS DAVID ALAN](https://search.stillhousedata.com/person/730086) | DIRECTOR | — |
| [PRICE RONALD CLARK](https://search.stillhousedata.com/person/730087) | SENIOR VICE PRESIDENT, RETAIL SALES DIVISION; VICE PRESIDENT | — |
| [DUNCAN ANDREW RYAN](https://search.stillhousedata.com/person/730088) | VICE PRESIDENT, DERIVATIVES STRATEGIES & ALTERNATIVE INVESTMENTS; VICE PRESIDENT, HEAD OF EQUITIES; VICE PRESIDENT, HEAD OF MUTUAL FUNDS | — |
| [LEMIRE ANNE MARIE](https://search.stillhousedata.com/person/730089) | VICE PRESIDENT, HEAD OF FIXED INCOME | — |
| [MAIDLOW JOHN SPENCER](https://search.stillhousedata.com/person/730090) | VICE PRESIDENT, HEAD OF PORTFOLIO MANAGEMENT; VICE PRESIDENT, PRIVATE ACCOUNTS | — |
| [BERTHEL THOMAS JOSEPH](https://search.stillhousedata.com/person/730420) | CEO; CEO & PRESIDENT | — |
| [BRENDENGEN RONALD ODIN](https://search.stillhousedata.com/person/730422) | CHIEF OPERATING OFFICER; EXECUTIVE VICE PRESIDENT | — |
| [WEGMANN DANIEL PETER](https://search.stillhousedata.com/person/730425) | CFO & FINOPS | — |
| [PETERMAN TOBI LANE](https://search.stillhousedata.com/person/730427) | DESIGNATED AGENT; SENIOR VICE PRESIDENT | — |
| [DAVENPORT SHELLEY RAE](https://search.stillhousedata.com/person/730429) | CHIEF COMPLIANCE OFFICER | — |
| [MURPHY RICHARD MAURICE](https://search.stillhousedata.com/person/743990) | PRESIDENT | — |
| [JENSEN MICHAEL](https://search.stillhousedata.com/person/752836) | VICE PRESIDENT | — |
| [WELCH RONALD JAY](https://search.stillhousedata.com/person/770500) | DIRECTOR | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/759/brochure
- Similar advisers: https://search.stillhousedata.com/firm/759/similar
- Related entities: https://search.stillhousedata.com/firm/759/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/759

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.