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Jan 18, 2011 4:07 am

Has anyone heard of SSN?
Apparently they are a small B/D in Tenn. Does anyone know anything about them? What are some ways/questions you ask while performing due dilly on B/Ds?


Jan 18, 2011 6:24 pm

First time I have seen them.  Will you share anything you learn about them?  Please don't try to send us to some other forum to see it either. 

I wonder if people get confussed by the SSN .. maybe that's a good thing?

Jan 18, 2011 6:54 pm

Those places are a dime a dozen. I would be surprised if anyone has heard of them having only "450+ affiliated financial professionals". But on a side note it could be that small boutique place you are looking for. Good luck in your search and let us know what you find.

Jan 18, 2011 9:05 pm


First time I have seen them.  Will you share anything you learn about them?  Please don't try to send us to some other forum to see it either. 

I wonder if people get confused by the SSN .. maybe that's a good thing?


I will share any info I come across. I have also found a website that lists most all the B/Ds out there. I will not post a link to the "other site" but I do have some threads started over there about the more popular B/Ds. I will add the list here though instead of the link to the "other site" as you requested me to refrain from doing...


[QUOTE=from the other site by Debolt]Here is a website that has most all B/Ds listed and you can use as needed. This is the current list as of this post:    Broker-Dealer Membership Roster

FSI has123 broker-dealer members as of January 3, 2011.  Network Members are in bold, with the firms in their network in italics.


1st Global, Inc. - Dallas, TX

Advisor Group 

     FSC Securities - Atlanta, GA

     Royal Alliance Associates - New York, NY

     SagePoint Financial Inc. - Phoenix, AZ

Allstate Financial Services - Lincoln, NE

American Portfolios Financial Services, Inc. - Holbrook, NY

Ameriprise Financial Services, Inc. - Minneapolis, MN

Ameritas Investment Corp. - Bethesda, MD

AXA Advisors, LLC - New York, NY

BCG Securities - Delran, NJ

Berthel Fisher & Company - Marion, IA

brokersXpress, LLC - Chicago, IL

Cadaret, Grant & Co. - Syracuse, NY

Cambridge Investment Research - Fairfield, IA

Capital Analysts - Cincinnati, OH

Capital Investment Brokerage - Raleigh, NC

Capital Management Securities, Inc. - Minneapolis, MN

CBIZ Financial Solutions, Inc. - Cleveland, OH

Centaurus Financial, Inc. - Orange, CA

Century Securities Associates, Inc. - St. Louis, MO

Cetera Financial Group

     Financial Network Investment Corporation - El Segundo, CA

     Multi-Financial Securities - Denver, CO

     PrimeVest Financial Services - St. Cloud, MN

cfd Investments, Inc. - Kokomo, IN

Clark Securities, Inc. - Dallas, TX

Colorado Financial Service Corp. - Centennial, CO

Commonwealth Financial Network - Waltham, MA and San Diego, CA

Coordinated Capital Securities, Inc. - Madison, WI

COUNTRY Capital Management - Bloomington, IL

Crown Capital Securities, LP - Orange, CA

CUSO Financial Services, LP - San Diego, CA

DeWaay Financial Network, LLC – Clive, IA

Eagle One Investments, LLC - Washington, IA

Equity Services, Inc. - Montpelier, VT

Farmers Financial Solutions - Agoura Hills, CA

First Allied Securities, Inc. - San Diego, CA

First Command Financial Planning Inc. - Ft. Worth, TX

Foothill Securities, Inc. - Mountain View, CA

G.A. Repple & Company - Casselberry, FL

Geneos Wealth Management - Denver, CO

Genworth Financial Securities Corporation - Schaumburg, IL

H. Beck, Inc. - Rockville, MD

H.D. Vest Financial Services - Irving, TX

Hanson McClain Retirement Network - Sacramento, CA

Horace Mann Investors, Inc.- Springfield, IL

Hornor, Townsend & Kent, Inc. - Horsham, PA

ING Financial Partners - Des Moines, IA

Intervest International Equities Corporation - Colorado Springs, CO

Investacorp, Inc. - Miami Lakes, FL

Investors Capital - Lynnfield, MA

J.P. Turner & Company, LLC - Atlanta, GA

J.W. Cole Financial Inc. - Tampa, FL

Kaiser and Company - Cheyenne, WY

Keystone Capital Corp. - San Diego, CA

Kovack Securities, Inc.  - Fort Lauderdale, FL

Lincoln Financial Network

     Lincoln Financial Advisors - Ft. Wayne, IN
Lincoln Financial Securities - Concord, NH
Lincoln Investment Planning - Wyncote, PA

LPL Holdings, Inc.

     LPL Financial Corporation - Boston, MA and San Diego, CA

     UVEST Financial Services Group, Inc. - Charlotte, NC

M Holdings Securities, Inc. - Portland, OR

Madison Avenue Securities - San Diego, CA

Maplewood Investment Advisors - Dallas, TX

MetLife Broker/Dealer Group

     MetLife Securities  - Iselin, NJ
     New England Securities - Boston, MA
     Tower Square Securities - Hartford, CT
      Walnut Street Securities - St. Louis, MO  

Midwestern Securities Trading Company, LLC - East Peoria, IL

MML Investors Services, Inc. - Springfield, MA

Moloney Securities Co., Inc. - Manchester, MO

Money Concepts Capital Corp. - Palm Beach Gardens, FL

Mutual of Omaha Investor Services, Inc. – Omaha, NE

MWA Financial Services - Rock Island, IL

National Planning Holdings 

     INVEST Financial - Tampa, FL

     Investment Centers of America - Bismarck, ND

     National Planning Corp. - Santa Monica, CA

     SII Investments - Appleton, WI

NEXT Financial Group - Houston, TX

NFP Securities - Austin, TX

Northwestern Mutual Investment Services, LLC - Milwaukee, WI

NPB Financial Group, LLC - Burbank, CA

OneAmerica Securities, Inc. - Indianapolis, IN

Pacific West Financial Group - Renton, WA

Park Avenue Securities - Bethlehem, PA

PFS Investments, Inc. - Duluth, GA

PlanMember Securities Corp. - Carpenteria, CA

Princor Financial Services Corporation - Des Moines, IA

ProEquities, Inc. - Birmingham, AL

Prospera Financial Services, Inc. - Dallas, TX

Questar Capital - Minneapolis, MN

Raymond James Financial Services - St. Petersburg, FL

Regulus Advisors, LLC - Kentwood, MI

Reliance Worldwide Investments, LLC - Riverwoods, IL

Saxony Securities, Inc. - St. Louis, MO

Securian Financial Services, Inc. - St. Paul, MN

Securities America, Inc. - La Vista, NE

Securities Service Network, Inc. - Knoxville, TN

Signator Investors, Inc. - Boston, MA

Spire Securities, LLC - Reston, VA

Sterne Agee Financial Services - Birmingham, AL

Summit Brokerage Services, Inc. - Boca Raton, FL

Sunset Financial Services - Kansas City, MO

The Investment Center, Inc. - Bedminster, NJ

The O.N. Equity Sales Company (ONESCO) - Cincinnati, OH

The Strategic Financial Alliance, Inc. - Atlanta, GA

Thrivent Investment Management - Minneapolis, MN

Transamerica Financial Advisors, Inc. - St. Petersburg, FL

Triad Advisors, Inc. - Norcross, GA

United Planners' Financial Services of America - Scottsdale, AZ

USI Securities, Inc. - Glastonbury, CT

Valmark Securities, Inc. - Akron, OH

VSR Financial Services - Overland Park, KS

Waddell & Reed, Inc. - Shawnee Mission, KS

Wall Street Financial Group, Inc. - Fairport, NY

Western International Securities - Pasadena, CA

WFG Investments, Inc. - Dallas, TX

WFP Securities, Inc. - San Diego, CA

Woodbury Financial Services - Woodbury, MN

Woodstock Financial Group, Inc. - Woodstock, GA

World Group Securities, Inc. - Duluth, GA

WRP Investments, Inc. - Youngstown, OH


Jan 18, 2011 9:20 pm

I think the normal questions apply.  Ticket charges, hair cuts, any fees, e&o, support, compliance, ownership, their vision, 5 and 10 year plans, backoffice to FA ratio, mutual fund agreements, their capital situation, financial statement, avg. tenure of their reps, u4s of owners / officers, and of course speaking with as many advisors utilizing their services as possible