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Management Team

The management team of Market Index Certificate Services (MICS) and its holding company (BDFSC Holdings Corp.) includes professionals with experience in banking, brokerage services / operations and investment banking.


Lisa Smith

LISA M. SMITH

President & CEO

Lisa has more than 30 years’ experience in broker/dealer and RIA management, operations, recruiting, compliance, due diligence, relationship management and business development. Lisa began her career in the financial services industry at Principal Financial Group in 1985 where she was Financial & Compliance Officer and VP-Client Service for the RIA. After joining Broker Dealer Financial Services Corp in 2001, she focused on marketing RIA services and market-linked certificate product development, equity derivative trading, ALCO & Treasury guidance, regulatory guidance and DTCC settlement for financial institutions. Lisa also served as VP-Business Development for IBA Securities-Division of BDFSC, building successful customized investment and insurance programs in the bank distribution channel.

Lisa received her bachelor’s degree in Business Administration and Accounting (BA) from Grand View University and attended the Master’s Program in Finance at Drake University. She has FINRA Series 7, 24, 63, 65, 79, 99 and Life, Health and Accidental insurance licenses.


Barbara Bennett

BARBARA BENNETT

Chief Operating Officer & Chief Compliance Officer

Barbara Bennett serves as the Chief Operating Officer & Chief Compliance Officer for Broker Dealer Financial Services Corp. and Market Index Certificate Services. She is responsible for driving the company to surpass sales and profitability by overseeing the new Advisor Relations Department made up of Relationship Managers and Product Managers. She also oversees the training for the firm, and is the West Des Moines Branch Manager, BDF Investments.

She has been responsible for recruiting, training and managing brokerage firm sales professionals and administrative personnel. Her experience includes operational and financial success of investment firms, developing product departments and strategic alliances, supervising sales practices, establishing marketing plans and managing regulatory and customer inquiries.

Ms. Bennett received her Bachelor of Arts Degree from Colorado Women’s College and her JD from Creighton University School of Law.



Robert Sherwood

ROBERT SHERWOOD

Chief Financial Officer

Rob Sherwood serves as the Chief Financial Officer for Broker Dealer Financial Services Corp. and Market Index Certificate Services. He and his team are responsible for managing the firms’ financial statements, commissions, investment advisory billing, accounts payable/receivable, payroll, cash management and human resources.

Prior to joining the firm, Rob served as Chief Financial Officer for HomeServices Mortgage and Nationwide Advantage Mortgage Company over the past 11 years. During his years in the mortgage industry he helped streamline accounting processes, implement new systems, negotiate favorable contract terms and drive expense savings. Rob lead accounting and finance, capital markets, and information technology teams. Rob also spent 10 years of his career in Public Accounting and is a CPA primarily in financial services.

Rob received his bachelor of arts’s (BA) degree in Accounting from University of Northern Iowa and a Masters in Business Administration (MBA) at University of Phoenix.


Michael Harken

MICHAEL HARKEN

Chief Technology Officer

Michael Harken serves as Chief Technology Officer for Market Index Certificate Services. He has been with the organization since its inception in 2006 and has over 24 years’ experience in the technology field. His career began with traveling throughout the United States and Canada installing and training agricultural dealerships on new computer systems for Iowa-Nebraska Equipment Dealers Association, followed by GuideOne Insurance as a microcomputer support specialist.

As Chief Technology Officer, Michael is responsible for the technology infrastructure and directs the strategic design of enterprise-wide technology standards supporting home office staff and independent financial advisors.
 


 

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