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Overview

Articles

Insights

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

Assets

Assets

Last updated on Aug. 7, 2019
    • $1.7B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 11K
      Accounts
    • $145.6K
      Estimated Average Account Balance

Services

Firm Services

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

Firm Client types

There is no client type data to display at this time.

Advisors

Current Advisors

# of advisors

547

name start date
Mitchell George Rubin
March 2011
James Michael Stahl
October 2012
Gary Roy Alden
November 2006
Nicole Brielle Simpson
November 2007
Edward Gabriel Cruz
May 2016

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Cadaret Grant & Co Inc Dual Registrant $3,848,503,292
    Capital Strategy Group Ltd IAR $82,361,922
    Cuso Financial Services, L.P. Dual Registrant $1,934,986,386
    Next Financial Insurance Services Company -- --
    Sorrento Pacific Financial, LLC Dual Registrant $75,384,511

      Leadership

      Ownership

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

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Christopher Brian Mueller Svp Chief Operations Officer February, 2014 less than 5%
      Leslie Bernard Jallans Cco September, 2014 less than 5%
      Philip Francis Smith Cfo/Finop March, 2015 less than 5%
      Barry Glenn Knight President/Ceo/Director December, 2006 less than 5%
      Douglas John Ketterer Director June, 2019 less than 5%
      Eugene Henri Elias Jr Director June, 2019 less than 5%
        Source: SEC

        Fees

        There is no compensation data available to display at this time