Quest Capital Strategies Inc.

Quest Capital Strategies Inc.

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23832 Rockfield Blvd.

Lake Forest, CA 92630

800-433-0003

questcapital.com

Year founded: 1983

Year end: Dec. 31

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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

CEOCarolyne Tsai, Joe Nikolson
Top ExecutiveJoe Nikolson
Recruiting ContactRainier Ray
949-830-4885x215
E-mail

Michael Yu
800-433-0003
E-mail

Recruitment & Staffing

2018 2017 2016
No. of reps302317
No. of producing reps00
No. of reps producing $100K-$499K /year00
2017 2016 2015
Total revenues000
Commission revenues000
Fee revenues000
Total revenues: Other000
2017 2016 2015
Total account assets000
Fee-based assets000
Total account assets: Other000
Average assets per rep00

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Finra arbitration panel awards investor $276,000 in Woodbridge Ponzi scheme case

January 28, 2019 - A Financial Industry Regulatory Authority Inc. arbitration panel has awarded $276,226 to an investor who lost money buying securities in what turned out to be a Ponzi scheme. Independent broker-dealer Quest Capital Strategies Inc. must pay the award for...

Finra bars another broker who sold $10.8 million of Woodbridge Ponzi

November 27, 2018 - The Financial Industry Regulatory Authority Inc. has barred another broker who sold notes to clients in what turned out to be a real estate Ponzi scheme. The broker, Frank Dietrich, sold investors $10.8 million worth of promissory notes issued by the...

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 INResearch@investmentnews.com. Visit InvestmentNews.com/bddata for more-complete profiles....

    Notes
  • 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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