|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|
Senior columnist John Waggoner talks with assistant managing editor Susan Kelly about how hard work, curiosity and passion landed some fund managers on our list.
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