Advertisement
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
FEED
