CFD Investments Inc.
Clearing firm: Fidelity Clearing and Custody Solutions, RBC Correspondent Services
No. advisers: 200
Year founded: 1990
Year end: Dec. 31
No. of retail offices: 169
For More Information
|CEO||Brent A. Owens|
|Top Executive||Brent A. Owens|
|Recruiting Contact||Brent A. Owens|
(800) 745-7776 ext. 3006
Jerry D. Cronenwett
|Compliance Contact||Matthew O. Bahrenburg|
(765) 453-9600 Ext. 3030
|Marketing Contact||Jerry Cronenwett|
|Technology Operations Contact||Jim D. Gibson|
(765) 453-9600 Ext. 3017
Recruitment & Staffing
|No. of reps||200||219||228|
|No. of producing reps||169||167||192|
|No. of reps producing $100K-$499K /year||63||60||62|
|Total revenues: Other||$1,250,110||$1,161,995||$1,637,990|
|Total account assets||$4,597,024,887||$4,287,805,342||$3,680,339,255|
|Total account assets: Other||$1,822,566,085||$1,800,000,000||$1,478,162,114|
|Average assets per rep||$22,985,124||$19,579,020||$16,141,839|
|Social Media & Mobile|
|Allows advisers to use social media||Y|
|Social media sites allowed||Facebook|
|Dedicated mobile application for advisers?||N|
|Primary purpose of mobile application||—|
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...
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...
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 INResearch@investmentnews.com. Visit InvestmentNews.com/bddata 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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