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Overview

Articles

Insights

There are no insights from this firm to display at this time.

Holdings

ETF Holdings

There is no ETF holding data from this firm to display at this time.

Assets

Assets

Last updated on Oct. 25, 2018
    • $21.7B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 270K
      Accounts
    • $80.2K
      Estimated Average Account Balance

Services

Firm Services

  • Financial Planning

  • Pension Consulting

  • Other

Firm Client types

Advisors

Current Advisors

# of advisors

1,717

name start date
Joseph Kelly, MBA, CFP™
May 2007
Patrick Daniel Stobaugh
December 2015
Melissa Toorani
April 2019
Neil Howard Lambert
October 2003
Scott Michael Viera
May 2013

    Leadership

    Ownership

    There is no ownership data available to display at this time.

    Executives and Control Persons

    Name Title Tenure Date % Ownership
    Noah David Sorkin Director, Senior Vice President & General Counsel September, 2013 less than 5%
    Albert L Johnson Sr. Vp & Chief Compliance Officer September, 2013 less than 5%
    Shawn Michael Duffy Director, President & Chief Executive Officer May, 2014 less than 5%
    Gary Lawson Grigsby Director & Vice President December, 2007 less than 5%
    Daniel Sean Alexander Vice President May, 2013 less than 5%
    Julie Ann Cotton-Hearne Secretary September, 2013 less than 5%
    Cynthia Lea Burnette Chief Financial Officer And Treasurer June, 2013 less than 5%
    Gilliane Elizabeth Isabelle Vice President July, 2010 less than 5%
    Kevin Toledano Vice President May, 2006 less than 5%
    Stephen Matthew Hughes Senior Vice President June, 2008 less than 5%
    Craig Stephen Cheyne Senior Vice President June, 2008 less than 5%
    Michael Todd Buchanan Sr. Regional Vice President January, 2007 less than 5%
    Joan Simpson Vice President January, 2006 less than 5%
    Keith Alan Poch Vice President January, 2001 less than 5%
    David Riden Lyle Vice President January, 2001 less than 5%
    Daniel Richard Cricks Tax Officer August, 1998 less than 5%
      Source: SEC

      Fees

      Types of Compensation Arrangements

      • Percentage Of Assets
      • Fixed Fees
      • Commissions