Advisory Board

Advisory Board

James J. Titak

James J. Titak

CEO / Chairman of the Board

Jim started his career in the securities industry in 1981. He is the president of Thurston, Springer, Miller, Herd & Titak, Inc. TSMH&T focuses its attention on financial planning and investment management for individuals and small companies.

Jim served the National Association of Securities Dealers (now FINRA) on the District Business Conduct Committee for a term of three years ending in 1997. In his last year of service, Jim was the vice-chair of the committee. Jim is a founding member of the Small Firms Advisory Board, which was created in January 1998 by FINRA. This board represents approximately 4,500 of 5,500 firms in the broker/dealer community. Prior to making changes in the regulatory environment, FINRA consults with this group on how their actions affect smaller broker/dealers. Jim’s term expired in June 2001.

In March 2000, FINRA created the State Requirements Task Force that was responsible for coordinating efforts with the North American Securities Administrators Association State License Committee to create uniform license arrangements throughout the country. Jim was the founding chairman of this group. This task force was in existence for approximately two years.

Jim served as a member of SIFMA’s Small Firms Committee from 2001-2002.

Jim was the founding director of the Adjunct Faculty for Central Indiana on behalf of the College for Financial Planning. In this capacity, he was responsible for coordinating the local classes for candidates working to attain the CFP® marks. Classes started in 1992 and ended in March of 1999 after the College for Financial Planning was sold to a public company.

Jim was a member of the Board of Directors of the Central Indiana Society of the Institute of Certified Financial Planners, starting in January 1997 and ending in 2000. He served as director of public relations.

Jim has broad and deep experience working directly with investors, managing a broker/dealer firm and working with regulators and professional bodies within the securities industry.

Lynette Herd

Lynette Herd

Chief Compliance Officer / CFO

Lynette Herd began her career in the securities industry in Chicago, Illinois, in 1968. In 1980, she relocated to Indianapolis, Indiana, and was one of the original founders of Thurston, Springer, Miller, Herd & Titak.

Her position with the firm over the past 25 years has been that of chief financial officer and director of compliance. Lynette works extensively with regulators and securities industry organizations to ensure that TSMH&T and its employees remain compliant in all matters pertaining to securities laws and regulations.

Lynette resides in Indianapolis, Indiana, with her husband, Richard, and daughter, Kaitlin. She is active in her church and enjoys traveling, hiking and outings with her family.

Richard W. Parker

Richard W. Parker

COO / Managing Principal

Rick Parker graduated from Indiana University in Bloomington with a degree in Finance and a minor in Business Foundations from the Kelley School of Business in 2003. While studying at Indiana University, he was employed with a national audio/video retailer specializing in sales and interned at a leading global bank with an emphasis in commercial real estate and lending. Following his college graduation he entered into the custom and production home building industry. In 2008, Rick transitioned into the financial industry where he began his employment with Thurston, Springer, Miller, Herd & Titak, Inc. Rick is currently Corporate Vice President and holds licenses as a General Securities Representative, Commodity Futures Broker, General Securities Principal, and Life and Health. Rick is currently studying for his CFP certification.

Rick and his wife Jenny reside in Fishers, Indiana with their two children, Cole and Chloe, and dog Jade.

Robert Springer, Jr.

Robert Springer, Jr.

Chairman of the Board Emeritus

Robert Springer has broad experience in the securities business, including supervision of sales and operations personnel and compliance. He is a General Securities Principal, Options Principal, Municipal Principal, and Financial and Operations Principal. Additionally, he has worked as an arbitrator for FINRA since 1987.

He owned and operated Springer Investment & Securities Co., Inc., from 1970 to 1989. Presently, he is chairman of the board of Thurston Springer Miller Herd and Titak.

Raised in Indianapolis, he graduated from North Central High School and DePauw University in Greencastle. Bob and his wife, Susy, are outdoor enthusiasts and enjoy traveling.

Lee Hargitt

Lee Hargitt

Senior VP of Investments

Lee has been a wealth manager with Thurston Springer Miller Herd & Titak, Inc., since 2000. He helps families and institutions with comprehensive planning and wealth management.

After graduation from North Central High School, he earned a B.A. in Philosophy from Wabash College in 1988.

From 1989 to 2000, he worked in Japan as personnel director of the Isaac Language Institute in Osaka and then as director of administration for Century Educational Services Co., Ltd. (CES), a corporate training firm also in Osaka.

From 1995 to 2000, Lee was a member of the American Chamber of Commerce in Japan (ACCJ) and was appointed chairman of the Membership Relations Committee. In this capacity, he worked closely with American, Japanese and other international business and government leaders with connections to Japan.

In 2000, Lee studied for and passed the Series 7 Registered Representative exam in Tokyo. Upon his return to the United States, he became licensed in life, health and long-term care insurance to better serve his clients.

Lee and his wife, Emiko, live in Carmel, Indiana, with their two children, Paul and Florence.

Gary Baxter

Gary Baxter

Senior VP of Investments / Manager Greenwood

Gary has been involved in the financial services industry for more than three decades, helping individuals, corporations and trustees with their investments.

His areas of expertise range from stocks and stock options to municipal and corporate bonds.

Following graduation from Indiana University’s School of Law, he began his career as a trust officer for a bank in Pittsburgh, Pennsylvania. He then returned to Indianapolis, where he practiced law. Prior to joining TSMH&T in 2003, he was a vice-president with three national securities firms. At TSMH&T, he currently is a vice-president of Investments.

Particularly active in Johnson County’s school athletic programs, Gary currently is a member of the Indian Creek Brave Packers. For the Indian Creek Little League and Babe Ruth programs, he was team coach and the all-star coach for four years. He also has coached numerous baseball, basketball and football teams in the Center Grove area. For 25 years, he served as a basketball and football official for the Indiana High School Athletic Association and is a 25-year member of the Indiana Officials’ Association.

A graduate of Indiana University with a B.S. in business and a J.D. from its School of Law, he is licensed as a FINRA Representative, General Securities Principal and Registered Options Principal. He also holds an Indiana real estate broker’s license.

Jim Mlott

Jim Mlott

VP of Investments

Jim has been an advisor helping individuals and companies take care of their money for over 25 years. While helping clients to build sound investment portfolios and protect their retirement incomes, Jim has been selected to Indianapolis Monthly’s annual Five Star Wealth Managers list since 2009.

A graduate of the University of Evansville with a degree in Business, Jim began his career in the securities industry with E.F. Hutton in 1985. Most recently, he joined Thurston Springer Miller Herd & Titak after nineteen years with A.G. Edwards & Sons Inc.

”I was very fortunate to be at Edwards while Ben Edwards ran the firm. He demonstrated to us on a regular basis how crucial it was to always remember who paid the bills. Ben’s philosophy was that if the clients always came first and the employees second, that the firm would do just fine in the third position. Later, long after Ben retired and A.G. Edwards was taken over, it became clear that Ben’s approach had been abandoned. It was time for a new home for me and my clients. I’m very thankful to have found a firm like Thurston Springer Miller Herd, Titak that still gets it.”

Jim holds licenses as a General Securities Representative, Life, Health and Long Term Care Producer as well as Investment Advisory Representative.

Lisa Lauria

Lisa Lauria

Co-Chief Compliance Officer / Operations Manager

Lisa was born and raised in Indianapolis, Indiana however moved and lived in upstate New York for 13 years.

Lisa began her career in the financial services industry right out of college. She started out in banking at Chase Manhattan Bank in Rochester NY, and was swept up in the innovation, and was a part of the premier of our industry offering bank customers non-deposit investment products. It was during her tenure at Chase that she began working for the Broker-Dealer side and is still enjoying her tenure of 20+ years serving as a Compliance and Operations professional.

Lisa’s career includes Securities based firms, Insurance based firms, and Banks and Credit Unions – giving her a broad base of knowledge which she continues to tap into to serve Thurston Springer Miller Herd & Titak in her role as Co-Chief Compliance Officer & Operations Manager.

Lisa continues to streamline the process for transitioning reps, taking much of the burden and worry off of the shoulder of the representative that selects Thurston Springer as their choice of Broker-Dealer / Investment Adviser Firms. Lisa has a proven record in building, implementing and maintaining an effective compliance program in which sales people are at the heart of what we do. She strives to provide excellence in a dynamic work environment.

Her areas of skills and experience include being a leader of compliance, operations, supervision and development & management of people, budgeting & expense management, and technology.

Lisa’s current licenses and registrations are:

Series 24 General Securities Principal
Series 53 Municipal Securities Principal
Series 99 Operations Professional
Series 7 General Securities NYSE/FINRA Registered Representative
Series 65 Investment Advisor Law Exam
Series 63 Uniform Securities Agent
Indiana Life, Accident & Health Insurance, Variable Annuities

Todd S. Kost

Todd S. Kost

National Independent Relationship Manager

Todd Kost joined Thurston Springer in January of 2014 as its National Director of Recruiting and Representative Relations for the Independent Channel. Todd has nearly 20 years in the financial services industry. Previously Todd was President of Kentucky Financial Group which was the largest OSJ office associated with Woodbury Financial prior to KFG forming its own broker dealer, Private Client Services. Mr. Kost has broad experience in the financial services industry including recruiting, operations, development of strategic partnerships, representative service, compliance, and vendor relationships. However, Todd’s passion is to meet prospective advisors and learn about their practice and understand how Thurston Springer may help take their practice to the next level.

Todd is a native Hoosier and received his BS in Chemical Engineering from Rose-Hulman Institute of Technology where he had served as Student Body President and was selected by the faculty as the Outstanding Graduate from the Class of 1988.