{"url":"https://nivawealth.com/firms/global-brokerage-services-37505","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/37505","regulatoryAum":162800000,"crd":"37505","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3077224","suffix":null,"lastName":"ADLER","firstName":"ANDREW","middleName":"MICHAEL"},{"crd":"8158594","suffix":null,"lastName":"Davis","firstName":"Jessica","middleName":"Marie"},{"crd":"2480594","suffix":null,"lastName":"HEIGES","firstName":"DAVID","middleName":"KENNETH"},{"crd":"1803129","suffix":null,"lastName":"JOHNSON","firstName":"THOMAS","middleName":"WESLEY"},{"crd":"2720174","suffix":null,"lastName":"MURPHY","firstName":"JERRY","middleName":"DRAKE"},{"crd":"2560357","suffix":null,"lastName":"SWEIGART","firstName":"WILLIAM","middleName":"BURTON"}],"total":6,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-02-13","regulatoryAum":117800000,"clients":380,"employees":5,"offices":4},{"filedOn":"2026-08-18","regulatoryAum":162800000,"clients":370,"employees":6,"offices":5}],"secFileNumber":"801-131268","legalName":"Global Brokerage Services, Inc.","displayName":"Global Brokerage Services","slug":"global-brokerage-services-37505","website":"https://globalbrokers.net/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Maryland corporation","fiscalYearEnd":"June","headquarters":{"street":"11350 McCormick Road, Epiii, Suite 1204","city":"Hunt Valley","state":"MD","stateName":"Maryland","country":"United States","postalCode":"21031"},"tradeNames":[],"registration":{"secApproved":"10 October 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":440000,"staff":{"employees":6,"advisory":6,"brokerDealerReps":6,"insuranceAgents":4,"promoters":0},"aum":{"regulatory":162800000,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":162800000,"nonDiscretionaryAccounts":587,"wrapProgram":162800000,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":272,"regulatoryAum":94800000},{"label":"High-net-worth individuals","clients":98,"regulatoryAum":68000000},{"label":"Banking or thrift institutions","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Pension and profit-sharing plans","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Charitable organizations","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"State or municipal government entities","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Other investment advisers","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Insurance companies","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Sovereign wealth funds and foreign official institutions","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Corporations and other businesses","clients":0,"fewerThan5":true,"regulatoryAum":0},{"label":"Other","clients":0,"fewerThan5":true,"regulatoryAum":0}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T11:40:40.821556+00:00","documents":[{"name":"FORM ADV PART2A: WRAP FEE PLATFORM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055231","versionId":1055231,"submittedOn":"2026-08-18"}]},"custodians":[{"name":"Hilltop Securities Inc.","shortName":"Hilltop Securities","location":"Dallas, TX","smaAssets":162800000}],"custodyNote":"Global Brokerage Services does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Thomas Wesley Johnson","title":"President, CEO, CFO, COO, Clo, CCO","crd":"1803129"},{"name":"William Burton Sweigart","title":"Vice President","crd":"2560357"}],"ownership":[{"label":"Thomas Wesley Johnson","detail":"President, ceo, cfo, coo, clo, cco in the 50% to 75% ownership band and a control person, since October 1994."},{"label":"William Burton Sweigart","detail":"Vice president in the 50% to 75% ownership band and a control person, since October 1994."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":3},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Maryland","offices":1,"addresses":[{"street":"11350 McCormick Road, Epiii, Suite 1204","city":"Hunt Valley","headquarters":true}]},{"state":"Pennsylvania","offices":1,"addresses":[{"street":"22 E. Middle St","city":"Gettysburg"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"410-785-4990","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":96},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"18 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/37505/PDF/37505.pdf","brochureDate":"18 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1055231","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Global Brokerage Services have?","answer":"Global Brokerage Services has 370 clients and manages $163 million for them, as of August 2026. They include 272 individual clients and 98 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Global Brokerage Services offer?","answer":"Global Brokerage Services provides portfolio management for individuals and small businesses and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Global Brokerage Services use?","answer":"Global Brokerage Services’ separately managed account assets are held at Hilltop Securities Inc. (Dallas, TX), with $163M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Global Brokerage Services have?","answer":"Global Brokerage Services has 6 investment adviser representatives registered with state securities authorities, out of 6 employees, and 6 perform investment advisory functions. 6 employees are registered representatives of a broker-dealer and 4 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Global Brokerage Services invest in?","answer":"At the end of its last fiscal year, Global Brokerage Services’ separately managed accounts held 96% exchange-traded equities and 4% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Global Brokerage Services?","answer":"Global Brokerage Services’ direct owners are Thomas Wesley Johnson (50% to 75%) and William Burton Sweigart (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 18 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Global Brokerage Services get paid?","answer":"Global Brokerage Services is paid through a percentage of assets under management and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Global Brokerage Services?","answer":"Global Brokerage Services’ main office is at 11350 McCormick Road, Epiii, Suite 1204, Hunt Valley, MD 21031. Its phone number is 410-785-4990. Its website is globalbrokers.net.","source":"Form ADV Part 1A, Item 1.F, filed 18 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}