Broker-dealer firm · Hunt Valley, MD
Global Brokerage Services, Inc.
SEC-registered investment adviser · CRD 37505 · SEC 801-131268
At a glance
Global Brokerage Services, Inc. is an SEC-registered investment adviser based in Hunt Valley, Maryland, with $163 million in regulatory assets under management as of its Form ADV filed August 18, 2026. Its largest client group by assets is individuals, and it reports 370 individual clients. By Form ADV it is a broker-dealer firm, ranked 298th of 391 broker-dealer firms and 13,270th of 17,210 SEC-registered advisers by assets.
Main office 410-785-4990globalbrokers.netAs filed on Form ADV
- Regulatory AUM
- $163M
- Rank among broker-dealer firms
- #298 of 391
- Rank among all SEC RIAs
- #13,270 of 17,210
- Rank in Maryland
- #198 of 227
- Individual clients
- 370
- High-net-worth clients
- 98
- Accounts
- 587
- Discretionary
- 0% of AUM
- Employees
- 6
- Advisory staff
- 6
- Offices
- 5
Owners and executives on its Form ADV
- Thomas Wesley JohnsonPresident, CEO, CFO, COO, CLO, CCO
- William Burton SweigartVice President
Custody and brokerage
Broker-dealer
Hybrid RIA
Global Brokerage Services, Inc. is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Global Brokerage Services, Inc..
- Global Brokerage Services, Inc. ↗CRD 37505
Its Form ADV brochure (filed August 2026) names Global Brokerage Services as the broker-dealer its advisers are registered with.
In addition to providing advisory services, our IARs will likely also sell you securities products and other investment and insurance products in their capacity as registered representatives of GBS and as licensed insurance agents.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 272 | $95M | 58% |
| High-net-worth individuals | 98 | $68M | 42% |
Disciplinary disclosures
Global Brokerage Services, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Other
Form ADV and brochures on the SEC’s adviser search ↗globalbrokers.net ↗
AtlasMembers
The full record on Global Brokerage Services, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 1 years of filings
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- Growth over one, three and five years
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- Rank against 130 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Global Brokerage Services, Inc. manage?
Global Brokerage Services, Inc. reports $163 million in regulatory assets under management across 587 accounts, on its Form ADV filed August 18, 2026.
What kind of firm is Global Brokerage Services, Inc.?
Global Brokerage Services, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Global Brokerage Services, Inc.’s clients?
By assets, its largest client types are individuals ($95 million, 272 clients); high-net-worth individuals ($68 million, 98 clients).
Does Global Brokerage Services, Inc. have any disciplinary history?
Global Brokerage Services, Inc. answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Global Brokerage Services, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-18), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →