SourcingSourcing

GLOBAL BROKERAGE SERVICES, INC.

A70
CRD 37505·SEC 801-131268·HUNT VALLEY, MD
AUM
$137.3M
$100M-$500M
Est. Revenue
$1.4M
@ 1% on AUM
Est. EBITDA
$412K
@ 30% margin
Est. Deal Value
$3.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
GLOBAL BROKERAGE SERVICES, INC.
CRD
37505
SEC file #
801-131268
EIN
260347905
DBA names
—

Economics

AUM
$137.3M
AUM band
$100M-$500M
AUM trajectory
'25'26
$137.3M → $137.3M▬ 0%
Client mix
Individuals Other281
Individuals High Net Worth105

Operations

Employees (total)
5
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'25'26
5 advisors → 5 advisors▬ 0%
Primary office
HUNT VALLEY MD
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMOther Compensation

Filings

Latest ADV filing
08/18/2025
ADV-W filed at
—
Website
globalbrokers.net

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
JOHNSON, THOMAS WESLEY
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
JOHNSON, THOMAS WESLEY
SWEIGART, WILLIAM BURTON
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
GLOBALBROKERS.NET
Rdap Domain Creation Date
2001-10-27T11:22:56Z
Rdap Firm Age Years
25
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001451768
Edgar Registered
Yes
Edgar Filing Count
6
Edgar First Filing Date
2009-01-28
Edgar Last Filing Date
2010-08-18
Edgar Form D Count
6
Edgar Form D Offerings
2010-08-182010-08-18 · 0001140361-10-034269
2010-05-032010-05-03 · 0001140361-10-018512

Local market & wealth

Rank targets by how wealthy the local market is

Fdic Zip Total Deposits
6,187,499,000
Fdic Zip Branch Count
57
Fdic Zip Top Banks
Eastern Savings Bank, FSB
Manufacturers and Traders Trust Company

Compliance & brand

Firm Registration Status
active

All other collected signals (21)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
10
Bc Firm Active IA Count
6
Bc Firm IAR Count
10
Custodian Candidates
Full
E*trade4
Hilltop Securities4
Edgar Addresses
Mailing
ATEL FINANCIAL SERVICES, LLC600 CALIFORNIA STREET, 6TH FLOORSAN FRANCISCO, CA 94108
Business
ATEL FINANCIAL SERVICES, LLC600 CALIFORNIA STREET, 6TH FLOORSAN FRANCISCO, CA 94108
Edgar EIN
260347905
Edgar Recent Filings
D/A2010-08-18 · 0001140361-10-034269
D/A2010-05-03 · 0001140361-10-018512
Fdic Zip Branches Raw
Eastern Savings Bank, FSBHunt Valley, MD
Eastern Savings Bank, FSBHunt Valley, MD
Fdic Zip HHI
6397.58
Fdic Zip Top Bank Share Pct
78.83
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-10-27T11:22:56Z
Rdap Domain Last Changed
2024-08-28T07:31:13Z
Rdap Nameservers
Ns61.worldnic.comNs62.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1803129
Trust Company Affiliate
No

People (10)

10
SWEIGART, WILLIAM BURTON
IAR · Direct Owner · 62.5%
2560357
JOHNSON, THOMAS WESLEY
IAR · Direct Owner · 62.5%
1803129
DAVID KENNETH HEIGES
IAR
2480594
ANDREW MICHAEL ADLER
IAR
3077224
JERRY DRAKE MURPHY
IAR
2720174
MARK HOWLAND RUSSO
IAR
2956556
PATRICK HURSON HALL
IAR
1868584
ROBERT DOUGLAS PEET
IAR
1180954
OLIVIA THERESA SURRATT
IAR
1347106
Jessica Marie Davis
IAR
8158594