National Holdings Management Team
Michael A. Mullen is the President & Chief Executive Officer of National Holdings Corporation. In addition, he is Chairman of the Board to National Securities Corporation, National Asset Management Inc., vFinance Investments, National Insurance Corporation and Gilman Ciocia Tax & Financial Planning. Mr. Mullen began his career in 1986. He built his business with a focus of investing in biotechnology companies. Over more than 25 years, Mr. Mullen has led or participated in over 100 banking transactions that have raised in excess of $1 billion of capital for biotechnology companies.
Glenn C. Worman is the Executive Vice President, Chief Operating Officer and Chief Financial Officer of National Holdings Corporation. Previous to National, Mr. Worman held various senior financial positions at ICAP plc, Deutsche Bank, Morgan Stanley and Merrill Lynch. His experience in the industry at these firms includes positions in corporate finance, global fixed income and equity trading finance, wealth management, investment management and inter-dealer broker finance.
Jay M. Israel is the General Counsel of National Holdings Corporation. Mr. Israel has been in the financial services industry since 1989. He has worked at both private practice firms and broker dealers, the latter as in house counsel. Mr. Israel has an MBA in Banking and Finance from Hofstra University, and he is a graduate of Hofstra University Law School. Mr. Israel is a member of the New York and Nassau County Bar Associations.
Fred N. Knopf is the Chief Risk and Legal Officer of National Holdings Corporation. Mr. Knopf spent the majority of his career at an AmLaw 100 firm in New York, most recently as a senior partner and Chair of the firm’s Securities Industry Practice Group. Fred has 25+ years of experience handling complex securities and regulatory matters, including as in-house counsel. Mr. Knopf has published and lectured extensively throughout his career.
John C. DeSena is Executive Vice President, Head of Corporate Financial Planning & Analysis and Change Management of National Holdings Corporation. Before joining National, Mr. DeSena was the COO 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 CFO of Americas Investment Banking.
Management Team at National's Family of Companies
David C. Levine is the Chief Executive Officer of National Securities Corp., member FINRA, SIPC, and National Asset Management, Inc., an SEC registered investment adviser. Previously, Mr. Levine served as the National Sales Manager for one of the industry’s fastest-growing independent broker/dealers. 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 graduated from the University of Pennsylvania with a B.A. in economics and earned his MBA in finance at the Leonard N. Stern School of Business at NYU.
William Groeneveld (Billy G) is the President and Chief Executive Officer of vFinance Investments Inc. and the Director of Trading for National Securities Inc. Mr. Groeneveld also is the Chief Risk Officer of National Securities Inc. Mr. Groeneveld has over 25 years of experience in the supervisory role and as managing principal of retail, institutional and trading businesses. His experience in broker/dealer structure, risk, operations, and supervision provides an exceptional ability to help us grow our business while operating profitably and staying successfully within regulatory guidelines.
Jonathan C. Rich is the Head of Investment Banking and an Executive Vice President at National Securities since 2009. Mr. Rich worked for First Colonial Securities Group, a 13 office, 150 employee regional firm based out of Boca Raton, first as a Senior Vice President and then as Managing Director in its Corporate Finance Department. First Colonial was acquired by vFinance in January of 2001 (vFinance completed its merger with National in July 2008). Mr. Rich graduated from Tulane University with an interdisciplinary major in Economics, Political Science, History and Philosophy. He continued his education by receiving a joint J.D./M.B.A. degree from Fordham University where his concentration was in Corporate Finance.
Kay Johnson is the Chief Compliance Officer of National Securities Corporation and vFinance Investments, Inc., and a Vice President and the CCO of National Asset Management. Ms. Johnson completed the Certified Regulatory Compliance Professional™ (CRCP™) designation at The FINRA Institute at Wharton in 2006. She serves on the FINRA District Committee and FINRA Committee on Continuing Education. She 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 on the FINRA District Committee and the FINRA Registration and Qualification Subcommittee.
John A. Koenigsberg is a Senior Vice President, and Head of Operations for National Securities Corporation. Mr. Koenigsberg began his career in 1980. Prior to joining 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 Secs Corp. VP of Operations Swiss Bank Corp.