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The Who's Who List of Independent Broker-Dealers for 2011

By Editorial Staff
June 16, 2011
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Here's a handy, alphabetical listing of all the independent broker-dealers that participated in Financial Planning's 2011 survey along with their corporate contact information, top executives and sales rank for the year. Did your company make the cut?

You can also take a more detailed look at the 50 largest independent broker-dealers to see which firms are on the rise, losing ground or leading the pack.

The complete list in alphabetical order:

AMERIcan Portfolios Financial services

4250 Veterans Memorial Highway, Ste. 420E

Holbrook, NY 11741

Phone 631-439-4600

Website americanportfolios.com

Year founded 2001

CEO/president Lon T. Dolber

Recruiting executive Timothy O’Grady

Clearing firm Pershing

Parent co. American Portfolios Holdings

2011 total revenue rank 40

 

AMERIPRISE FINANCIAL SERVICES

707 Second Avenue S.

Minneapolis, MN 55474

Phone 612-671-3131

Website ameriprise.com

Year founded 1894

CEO/president James Cracchiolo

Recruiting executive Dave Manish

Parent co. Ameriprise Financial

2011 total revenue rank 2

 

AMERITAS INVESTMENT

5900 O St.

Lincoln, NE 65810

Phone 800-335-9858

Website aicinvest.com

Year founded 1983

CEO/president Salene Hitchcock-Gear

Recruiting executive Wendell Hutsell

Clearing firm Pershing

Parent co. Ameritas Life Insurance Co.

2011 total revenue rank 37

 

AXA ADVISORS

1290 Ave. of the Americas

New York, NY 10104

Phone 212-554-1234

Website axa-equitable.com

Year founded 1999

CEO/president Christine Nigro

Recruiting executive Monica Valdes

Clearing firm LPL Financial

Parent co. AXA Financial

2011 total revenue rank 5

 

Berthel fisher & Co. Financial services.

701 Tama St., Bldg. B, PO Box 609

Marion, IA 52302

Phone 319-447-5700

Website www.berthel.com

Year founded 1985

CEO/president Thomas J. Berthel

Recruiting executive Julie K. Driscoll

Clearing firm National Financial

Parent co. Berthel Fisher & Co.

2011 total revenue rank 62

 

CADARET GRANT

1 Lincoln Center

Syracuse, NY 13202

Phone 315-471-2191

Website cadaretgrant.com

Year founded 1985

CEO/president Arthur F. Grant

Recruiting executive Peter Grifo

Clearing firm Pershing

2011 total revenue rank 34

 

CAMBRIDGE INVESTMENT RESEARCH

1776 Pleasant Plain Rd.

Fairfield, IA 52556

Phone 800-777-6080

Website joincambridge.com

Year founded 1981

CEO/president Eric Schwartz

Recruiting executive Kyle Selberg

Clearing firm National Financial, Pershing

2011 total revenue rank 11

 

CENTAURUS FINANCIAL

2300 E. Katella Ave., Ste. 200

Anaheim, CA 92806

Phone 714-456-1790

Website centaurusfinancial.com

Year founded 1992

CEO/president James R. King

Recruiting executive Robert Keilly

Clearing firm Pershing

Parent co. Federation of Financial Services

2011 total revenue rank: 46

 

CFG/H. BECK

11140 Rockville Pike, 4th Fl.

Rockville, MD 20852

Phone 800-333-6884

Website cfginc.com

Year founded 1981

CEO/president Eric G. Meyers

Recruiting executive Steven R. Porter

Clearing firm Pershing

Parent co. Securian Financial

2011 total revenue rank 47

 

COMMONWEALTH FINANCIAL NETWORK

29 Sawyer Rd.

Waltham, MA 02453

Phone 866-462-3638

Website commonwealth.com

Year founded 1979

CEO/president Wayne M.Bloom

Recruiting executive Andrew Daniels

Clearing firm National Financial

2011 total revenue rank 4

 

COORDINATED CAPITAL SECURITIES

704 River Pl.

Madison, WI 53716

Phone 608-221-4545

Website www.ccsmadison.com

Year founded 1983

CEO/president Mari Buechner

Recruiting executive Mari Buechner

Clearing firm First Clearing

2011 total revenue rank 81

 

CROWN CAPITAL SECURITIES

725 Town & Country Rd., Ste. 530

Orange, CA 92868

Phone 800-803-8886

Website www.crowncapitalsecurities.com

Year founded 1999

CEO/president Darol K. Paulsen