2007

You can use the Alphanumeric Search Tool above, click on any of the listed dates/years below to search for brokers or use the Search Tool from the dropdown menu bar.

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A.G. Edwards & Sons, Inc.

Michael Naccarato (314) 955-3802 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 3/1/07

Biltmore Capital Advisors, LLC

Joseph A. Dougherty (215) 665-5362 This email address is being protected from spambots. You need JavaScript enabled to view it.

John H. Uhlinger (Operations) (770) 391-4526 (770) 391-4560 (fax)

  • Date of Joining Protocol

    8/22/07

Cambridge Investment Research Advisors

Amy L. Webber (641) 472-5100 This email address is being protected from spambots. You need JavaScript enabled to view it.

Susan Silvers (641) 472-5100, ext. 1400 This email address is being protected from spambots. You need JavaScript enabled to view it.

  • Date of Joining Protocol

    3/2/07

Cambridge Investment Research, Inc.

Amy L. Webber (641) 472-5100 This email address is being protected from spambots. You need JavaScript enabled to view it.

Susan Silvers (641) 472-5100, ext. 1400 This email address is being protected from spambots. You need JavaScript enabled to view it.

  • Date of Joining Protocol

    3/2/07

Cary Street Partners Holdings, LLC

James E. Thomas (678) 904-5835 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 11/12/07

CONCERT Wealth Management, Inc.

Jeff Pietsch (408) 579.4167 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 5/14/07

Constellation Wealth Advisors, LLC

Robert E. Moore (212) 697-3900 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 10/22/07

Credit Suisse Securities (USA) LLC

Alexander Barnard This email address is being protected from spambots. You need JavaScript enabled to view it.

Pam Fleming (212) 538-7450

  • Date of Joining Protocol

    11/20/07

Cypress Wealth Management, LLC

Dennis J. Concilla (614) 628-0771 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 6/1/07

Focus Financial Partners

Rich Gill (646) 519-2456 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 6/20/2007 Withdrew as Member (Notice Provided July 17, 2012)

Jefferies LLC (successor in interest to Jefferies & Co.) f/k/a Jefferies & Company, Inc.

Barbara Flessas (212) 707-6306 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 2/15/07

Kovack Securities, Inc.

Brian J. Kovack, Esq. (954) 782-4771 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 12/6/07

Lebenthal & Co., LLC f/k/a Alexandra & James Co.

Andrew M. Greenstein (646) 624-2724 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol January 30, 2007 Contact information updated 10/13/15

MICG Investment Management

Jeffrey A. Martinovich (757) 952-1812 This email address is being protected from spambots. You need JavaScript enabled to view it.

Kevin Cadieux (757) 952-1820 This email address is being protected from spambots. You need JavaScript enabled to view it.

  • Date of Joining Protocol

    2/1/07

Purshe Kaplan Sterling Investments, Inc.

J. Peter Purcell (518) 436-3536 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 3/9/07

Retirement & Investment Group, LLC

Thomas E. Quirk (410) 744-8707 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 1/12/07

Signature Securities Group Corp.

  • Date of Joining Protocol 9/24/07

Summit Brokerage Services, Inc.

Fred Fram

(561) 338-2626 

This email address is being protected from spambots. You need JavaScript enabled to view it.

Greg Olson

(310) 257-7675

This email address is being protected from spambots. You need JavaScript enabled to view it.

  • Date of Joining Protocol

    May 3, 2007

    Contact information updated 1/11/16

Telemus Investment Brokers, LLC

Catherine Farley

(248) 827-0129

This email address is being protected from spambots. You need JavaScript enabled to view it.

  • Date of Joining Protocol

    February 14, 2007

    Contact no longer with the firm 8/18/16;

    Firm terminated as a broker-dealer (notified 9/18/17)

The Retirement Planning Group

Ryan Costello (913) 498-8898 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 10/9/07

U.S. Fiduciary, Inc.

Steven Graubart (713) 341-4700 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 12/17/07

Wheeler Financial, LLC

William J. Wheeler (302) 295-5025 This email address is being protected from spambots. You need JavaScript enabled to view it.
  • Date of Joining Protocol 10/4/07