Equity Services Inc.
A subsidiary of National Life Group
One National Life Drive
Montpelier, VT 05604
Clearing firm: Fidelity Clearing and Custody Solutions
No. advisers: 535
No. franchises: 31
Year founded: 1968
Year end: Dec. 31
No. of retail offices: 31
Recruitment & Staffing
|No. of reps||535||507||480|
|No. of producing reps||535||507||—|
|No. of reps producing $100K-$499K /year||126||118||—|
|Total revenues: Other||0||0||—|
|Total account assets||$8,200,000,000||$6,900,000,000||—|
|Total account assets: Other||0||0||—|
|Average assets per rep||$15,327,103||$13,609,467||0|
September 30, 2019 - Another 17 investment advisory firms have agreed to return nearly $10 million to investors in the latest round of settlements in the Securities and Exchange Commission's crackdown on inadequate disclosure of mutual fund fees, the agency announced Monday....
August 17, 2019 - CLEARING FIRMS Listed by reported number of broker-dealer clients Firm Phone/website # of clients % change vs. 2018 Contact Phone/email Pershing One Pershing Plaza, Jersey City, NJ 07339 (800) 445-4467 pershing.com 625 -4.40% Michael Row Chief relationship...
November 15, 2018 - Commonwealth Financial Network has brought both a lawsuit and Finra arbitration against Ohio National Life Insurance Co. for the alleged "unlawful scheme" orchestrated by the insurer involving variable annuity compensation. Ohio National shocked broker-dealers...
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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