Southwest Securities Reorganizes Pacific Coast Private Client Offices, Promotes 3 to Executive Vice President and Regional Director Positions

DALLAS, July 12 /PRNewswire/ -- Southwest Securities, Inc. has reorganized its Pacific Coast private client offices into three regions and promoted three investment executives to regional director positions.

"We have an outstanding team in place to grow Southwest Securities' presence along the Pacific Coast," said Southwest Securities President and CEO James H. Ross.  "We are aggressively seeking experienced investment professionals who want to join our forward-looking organization.  We are at an exciting point in our growth and development and offer tremendous opportunities for professional growth and customer service."

The Pacific Coast private client offices have been rebranded with the Southwest Securities name and will be managed in three geographic regions – Central, Northern and Southern.  

David Frieden was promoted to Executive Vice President and Regional Director, Central Region, which includes the Beverly Hills and Las Vegas offices.  He will also serve as branch manager of the Beverly Hills office.  Neil Hattem, formerly branch manager in Beverly Hills, has decided to focus his efforts on full-time production.  Jerry Walters, formerly assistant branch manager in Las Vegas, will assume branch manager duties of the Las Vegas office.  

Kevin D. Kott was promoted to Executive Vice President and Regional Director, Northern Region, which includes the San Francisco, Sacramento and Monterey offices.  He will continue to serve as branch manager of the Monterey office.

Michael Urman was promoted to Executive Vice President and Regional Director, Southern Region, which includes the San Diego and Rancho Bernardo offices.  He will continue to serve as Operations Administrative Officer for the California and Nevada offices.

Executive Vice President Mark Sachse will continue to head Southwest Securities' private client offices in Texas, Oklahoma and New Mexico.  

Mr. Frieden joined Southwest Securities in 2009 from UBS Financial Services.  Prior to that, he had served as Senior Vice President of Mitchell Hutchins Asset Management in Los Angeles (1993-1997), Senior Vice President of Geodyne Securities in Tulsa, Okla. (1989-1993), and Vice President of Bogert Funds, Inc. in Oklahoma City (1980-1988).  He studied business administration at Wichita State University in Wichita, Kan. (1968-1972).  Mr. Frieden holds a number of securities registrations, including Series 7 (Registered Representative), 65 (Investment Adviser) and 24 (General Securities Principal), among others.  He has been married for 20 years and has a daughter and granddaughter.

Mr. Kott, a native of Sacramento, Calif., has lived in the Carmel area for 24 years.  He began his career in the securities industry in 1986 as an Account Executive with M. L. Stern in Carmel.  In 2006, he was promoted to Branch Manager, and in 2008, he was named Branch Manager of Southwest Securities' Monterey office.  Mr. Kott received a B.B.A. degree in 1985 from Eastern New Mexico University in Portales, where he still holds several of the school's individual passing records as a former quarterback including career passing yards and career touchdown passes.  Mr. Kott holds Series 7, 53 (Municipal Principal) and 24 securities registrations, among others.  He and his spouse are parents of a five-month-old son.

Mr. Urman began his securities industry career in 1978 as an Examiner with the National Association of Securities Dealers following his graduation from California State University, Northridge, where he received a B.S. degree in finance.  In 1980, he joined M. L. Stern as Assistant Controller.  From 1982-85, Mr. Urman served as Vice President and Controller for two other Los Angeles area firms before returning to Stern as Senior Vice President.  In 2008, he became Senior Vice President and Administrative Officer for the Stern Division of Southwest Securities.  Mr. Urman holds Series 7, 24, 53 and 65 securities registrations, among others.  He is active in community organizations such as Habitat for Humanity and the American Red Cross and holds a private pilot's license.  He and his spouse have been married for 32 years and are parents of two daughters.

Southwest Securities, Inc., a member of NYSE, FINRA and SIPC, provides securities brokerage, investment banking and securities clearing services to a broad range of individual, corporate, public and industry clients. The firm is a wholly owned subsidiary of SWS Group, Inc. (NYSE: SWS), a financial services holding company whose stock is listed and traded on the New York Stock Exchange under the symbol, SWS.

SOURCE Southwest Securities, Inc.