|Firm (click to read full story)||Main office||Date firm terminated or withdrew Finra registration||Estimated # of reps||Years in business|
|Provident Asset Management LLC||Texas||March 2010||50||2|
|GunnAllen Financial Inc.||Florida||April 2010||400||24|
|Private Asset Group Inc.||California||April 2010||N/A||4|
|AFA Financial Group LLC||California||April 2010||100||7|
|Nationwide Securities LLC||Ohio||April 2010||200||3|
|MICG Investment Management LLC||Virginia||May 2010||40||10|
|Cullum & Burks Securities Inc.||Texas||May 2010||100||12|
|Okoboji Financial Services Inc.||Iowa||May 2010||20||22|
|Jesup & Lamont||New York||June 2010||300||15|
|Chicago Investment Group||Illinois||July 2010||90||8|
|Great American Advisors Inc.||Ohio||July 2010||500||17|
|United Equity Securities LLC||Texas||Aug. 2010||60||16|
|Brewer Financial Services Inc.||Illinois||Oct. 2010||87||6|
|Matheson Securities LLC||Florida||Jan. 2011||N/A||6|
|QA3 Financial Corp.||Nebraska||Feb. 2011||400||30|
|Securities Network LLC||Georgia||March 2011||N/A||7|
|Omni Brokerage Inc.||Utah||April 2011||50||26|
|Harrison Douglas Inc.||Colorado||May 2011||N/A||15|
|WFP Securities Corp.||California||May 2011||N/A||24|
|Meadowbrook Securities LLC (Investlinc Securities LLC)||Mississippi||June 2011||N/A||10|
|CapWest Securities Inc.||Colorado||July 2011||50||20|
|Boogie Investment Group Inc.||Florida||Sept. 2011||N/A||6|
|Workman Securities Corp.||Minnesota||Oct. 2011||100||21|
|Ensemble Financial Services Inc.1||New York||December 2011||85||N/A|
|Pacific West Securities Inc.||Washington||March 2012||290||40|
|Brookstone Securities Inc.||Florida||June 2012||198||7|
|Milkie/Ferguson Investments Inc.||Texas||July 2012||40||26|
|DeWaay Financial Network LLC||Iowa||Nov. 2012 2||N/A||6|
Latest news & opinion
The Baltimore-based mutual fund giant is more aggressively targeting financial advisers with a beefed-up wholesale crew and placement on custodial platforms.
The Internal Revenue Service issued inflation adjustments to more than 50 tax provisions for 2018.
Mandated contributions to Roth accounts would likely only be partial, as opposed to having a full repeal of pre-tax accounts.
Discount broker buying second-tier custodian for $275 million.
Market milestones keep falling like dominoes, with 51 records broken so far this year.