CFD Investments Inc.

CFD Investments Inc.


2704 S. Goyer Road

Kokomo, IN 46902

(800) 745-7776

Clearing firm: National Financial Services LLC, RBC Correspondent Services

No. advisers: 201

AUM: $4,257,841,526

Year founded: 1990

Year end: Dec. 31

No. of retail offices: 173

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Additional data available to subscribers:
  • No. of reps, male
  • No. of reps, female
  • No. of producing reps, male
  • No. of producing reps, female
  • No. of reps producing $500K+ /year
  • No. of CFPs
  • No. of full-time employees
  • No. of fee-based advisers served
  • Average payout per rep, per year
  • Avg. annual production of top 20% reps
  • Total payout, per year
  • Cost of E&O insurance per rep, per year
  • Affiliation fees charged per rep, per year
  • Affiliation fee coverage
  • Securities revenues
  • Securities revenues: Stocks
  • Securities revenues: Bonds
  • Securities revenues: ETFs
  • Securities revenues: Other
  • Mutual fund revenues
  • Annuities revenues
  • Annuities revenues: Fixed
  • Annuities revenues: Variable
  • Annuities revenues: Other
  • Insurance revenue
  • Insurance revenues: Life
  • Insurance revenues: Disabilities
  • Insurance revenues: LTC
  • Insurance revenues: Other
  • Alternative revenues
  • Alternative revenues: Hedge funds
  • Alternative revenues: Managed futures
  • Alternative revenues: Private placements
  • Alternative revenues: REITs
  • Alternative revenues: Other
  • Other commission revenues
  • Fee revenues: Rep-managed accounts
  • Fee revenues: Firm-managed accounts
  • Fee revenues: Outside-managed accounts
  • Fee revenues: Other
  • Fee-based assets: Clearing firm
  • Fee-based assets: Advisory firm platforms
  • Fee-based assets: Third-party money managers
  • Fee-based assets: Other
  • Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
  • Allows an adviser to have his/her own RIA
  • RIA platform AUM
  • Offers robo-advisory platform?
  • If not, when plans to offer a robo-platform
  • Robo-advice services offered
  • How robo-platform developed
  • Charge for robo-advisory services?

For More Information

CEOBrent A. Owens
Top ExecutiveBrent A. Owens
Recruiting ContactBrent A. Owens
(800) 745-7776 ext. 3006

Jerry D. Cronenwett
(574) 536-9101
Compliance ContactMatthew O. Bahrenburg
(765) 453-9600 Ext. 3030
Marketing ContactJerry Cronenwett
Technology Operations ContactJim D. Gibson
(765) 453-9600 Ext. 3017

Recruitment & Staffing

2018 2017 2016
No. of reps201200219
No. of producing reps173169167
No. of reps producing $100K-$499K /year756360
2018 2017 2016
Total revenues$31,198,973$31,497,717$30,041,895
Commission revenues$16,467,985$17,532,889$17,795,747
Fee revenues$12,685,490$12,714,718$11,084,153
Total revenues: Other$2,045,498$1,250,110$1,161,995
2018 2017 2016
Total account assets$4,257,841,526$4,597,024,887$4,287,805,342
Fee-based assets$2,958,746,318$2,774,458,802$2,487,805,342
Total account assets: Other$1,299,095,208$1,822,566,085$1,800,000,000
Average assets per rep$21,183,291$22,985,124$19,579,020
Social Media & Mobile
Allows advisers to use social mediaY
Social media sites allowedFacebook
Dedicated mobile application for advisers?N
Primary purpose of mobile application

Finra fines CFD Investments $125,000 over variable annuities supervision

January 11, 2019 - The Financial Industry Regulatory Authority Inc. has censured CFD Investments of Kokomo, Ind., and fined it $125,000 for failure to establish and enforce adequate supervisory procedures in connection with the sale of variable annuities by its registered...

LPL rep managing $186 million joins Ameriprise

February 5, 2018 - Neil Bailey, who managed $186 million in assets while a rep at LPL Financial in Cincinnati, has joined the employee channel of Ameriprise. Joining as well are his team: adviser Molly Grimm and two client service associates. Mr. Bailey began his securities...

Top independent broker-dealers reveal their payout tables

January 22, 2017 - The 2017 InvestmentNews independent-broker-dealer directory is based on information provided by 90 eligible firms. To be considered for future listings, contact Visit for more-complete profiles....

  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

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