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National Holdings Corp (NHLD.OQ)

NHLD.OQ on NASDAQ Stock Exchange Capital Market

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13 Nov 2018
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Summary

Name Age Since Current Position

Michael Mullen

2018 Chairman of the Board, Chief Executive Officer

Glenn Worman

2018 President, Chief Financial Officer

Michael Singer

52 2018 Executive Vice Chairman of the Board and Chief Strategy Officer

Thomas Kowalczyk

2018 Chief Executive Officer of National Asset Management, Inc

John DeSena

2018 Chief Operating Officer

Alan Levin

51 2016 Secretary

Daniel Hume

2016 Lead Independent Director

Neil Herskowitz

2016 Director

Nassos Michas

2018 Director

Eli Salig

2016 Director

Biographies

Name Description

Michael Mullen

Mr. Michael A. Mulle serves as Chairman of the Board, Chief Executive Officer of the Company. He Co-Chief Executive Officer of the Company. Mr. Mullen will be Chairman of the Board of each of Company’s operating subsidiaries including but not limited to: National Securities Corporation, National Asset Management Corporation, National Insurance Corporation, vFinance Corporation and Gilman and Ciocia Corporation.

Glenn Worman

Mr. Glenn C. Worman is President, Chief Financial Officer of the Company. Glenn Worman assumes this role after Michael Mullen, CEO and former President, became Chairman of the company’s Board of Directors in June. Mr. Worman had served as the company’s COO since 2015 and CFO since 2016, and he will continue to serve as a Director on the Boards of National Holdings Corporation’s operating companies: National Asset Management, Inc., National Insurance Corporation and Gilman Ciocia Tax & Financial Planning. Prior to joining National, Mr. Worman held various senior financial positions at ICAP plc, Deutsche Bank, Morgan Stanley and Merrill Lynch.

Michael Singer

Mr. Michael Singer is Executive Vice Chairman of the Board and Chief Strategy Officer of the Company. Mr. Singer serves as the Chief Strategy Officer and Executive Vice Chairman of National Holdings Corporation. He 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 that 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.

Thomas Kowalczyk

Mr. Thomas Kowalczyk is Chief Executive Officer of National Asset Management, Inc., a subsidiary of National Holdings Corporation. Thomas Kowalczyk has been promoted to Chief Executive Officer of National Asset Management and Executive Vice President of Investment Solutions at National Securities Corporation. Michael Mullen remains Executive Chairman of National Asset Management. Michael Mullen states, “In his new role, Tom and his team will continue to lead National Asset Management toward our goal of being the top independent advisory platform in the industry.” Mr. Kowalczyk has held senior management roles with several Independent Broker-Dealers and Registered Investment Advisor firms.

John DeSena

Mr. John C. DeSena is Chief Operating Officer of the Company. John DeSena was promoted to Chief Operating Officer of National Holdings Corporation in addition to his existing role as Corporate Secretary to the Board of Directors for National Holdings. He will continue to serve as a Director on the National Insurance Corporation’s Board. Before coming to National in 2016, 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.

Alan Levin

Mr. Alan B. Levin serves as Secretary of the Company. He is no longer Chief Financial Officer of National Holdings Corporation, with effect from October 10, 2016. He served as Chief Financial Officer of Finance since January 2007. Prior to that date, he served as its Interim Chief Financial Officer since July 2006 and its Controller since June 2005. Prior to joining vFinance, Mr. Levin served as Chief Financial Officer for United Capital Markets, Inc. from September 2000 to January 2005. Mr. Levin has over 14 years of experience in the brokerage industry serving as a Financial and Operations Principal and 24 years of experience serving in accounting management roles in various industries. He received a B.S. degree in Economics with a concentration in Accounting from Southern Connecticut State University in New Haven, Connecticut in 1986.

Daniel Hume

Neil Herskowitz

Nassos Michas

Nassos Michas is Director of the Company. Mr. Michas serves on the Board of Directors of National Holdings Corporation. He also serves as the Chairman of the Advisory Board to Juniper Investment Company, LLC and is the President of Masons Island LLC, a holding company investing in financial services firms. From 2001 to 2004, he was President and CEO of Robeco USA Inc. (Weiss, Peck & Greer), a $30 billion investment manager. Prior to that, he held a number of senior management positions at Merrill Lynch and Co., including Chairman of Merrill Lynch Banks. He joined Merrill Lynch and Co. in 1974 as an analyst, and was named twice in first place on the Institutional Investor All American Research Team. Mr. Michas holds a B.S. in Electrical Engineering from the University of Utah, an M.S. in Systems Theory and Control from the University of California at Berkeley, and an MBA from the Harvard Business School.

Eli Salig

Basic Compensation