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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 Jan. 19, 2020
    • $3.8B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 14K
      Accounts
    • $271.3K
      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

798

name start date
Bryan James Parmley
May 2011
Hal Mark Allen
December 1993
Jon N. Davidson
July 2006
Humam Khalil Sirhal
January 1998
Gary James Gorga
June 1994

    Affiliated Investment Advisors and Broker Dealers

    Name Type Total Assets
    Capital Strategy Group Ltd IAR $73,019,692
    CFS Insurance and Technology Services, LLC -- --
    Cuso Financial Services, L.P. Dual Registrant $1,934,986,386
    Insurance -- --
    Next Financial Group, Inc. Dual Registrant $2,367,830,388
    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 Michael Monk Assistant Vice President August, 2017 less than 5%
      Kara E Haggins Assistant Vice President August, 2017 less than 5%
      Andrew Scott Knapp Assistant Vice President January, 2018 less than 5%
      Andrew Mark Szymanowski Assistant Vice President January, 2016 less than 5%
      Albert L Johnson Chief Compliance Officer August, 2018 less than 5%
      Donald John Taylor Secretary October, 2018 less than 5%
      Douglas John Ketterer Chief Executive Officer, President, Chairman Of The Board October, 2018 less than 5%
      Richard W Hayes Assistant Vice President January, 2016 less than 5%
      Jennifer C Hayes Assistant Vice President January, 2016 less than 5%
      Shannon David Obrien Vice President January, 2017 less than 5%
      Michael Edward Arnold Vice President January, 2010 less than 5%
      Karen Celeste Benenati Assistant Vice President January, 2010 less than 5%
      Sharon Ann Deperro Vice President January, 2010 less than 5%
      Megan Angela Grant Vice President January, 2010 less than 5%
      Kevin Stanley Makowski Vice President, Assistant Treasurer January, 2010 less than 5%
      Diana A Daly Assistant Vice President August, 2017 less than 5%
      Trisha Lynn Tymkiw Controller August, 2017 less than 5%
      Donald Bruce Jaynes First Vice President January, 2010 less than 5%
      Donna Marie Farrell Assistant Vice President/Assistant Secretary January, 2010 less than 5%
        Source: SEC

        Fees

        Types of Compensation Arrangements

        • Percentage Of Assets
        • Hourly Charges
        • Fixed Fees