First Midwest Securities Inc.

207 W. Jefferson St., Suite 102

Bloomington, IL 61701

(800) 662-8452

myFMSI.com

Year founded: 1989

Year end: Dec. 31

All 2013-2011 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

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  • No. of reps, male
  • No. of reps, female
  • No. of producing reps, male
  • No. of producing reps, female
  • No. of reps producing $500K+ /year
  • No. of CFPs
  • No. of full-time employees
  • No. of fee-based advisers served
  • Average payout per rep, per year
  • Avg. annual production of top 20% reps
  • Total payout, per year
  • Cost of E&O insurance per rep, per year
  • Affiliation fees charged per rep, per year
  • Affiliation fee coverage
  • Securities revenues
  • Securities revenues: Stocks
  • Securities revenues: Bonds
  • Securities revenues: ETFs
  • Securities revenues: Other
  • Mutual fund revenues
  • Annuities revenues
  • Annuities revenues: Fixed
  • Annuities revenues: Variable
  • Annuities revenues: Other
  • Insurance revenue
  • Insurance revenues: Life
  • Insurance revenues: Disabilities
  • Insurance revenues: LTC
  • Insurance revenues: Other
  • Alternative revenues
  • Alternative revenues: Hedge funds
  • Alternative revenues: Managed futures
  • Alternative revenues: Private placements
  • Alternative revenues: REITs
  • Alternative revenues: Other
  • Other commission revenues
  • Fee revenues: Rep-managed accounts
  • Fee revenues: Firm-managed accounts
  • Fee revenues: Outside-managed accounts
  • Fee revenues: Other
  • Fee-based assets: Clearing firm
  • Fee-based assets: Advisory firm platforms
  • Fee-based assets: Third-party money managers
  • Fee-based assets: Other
  • Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
  • Allows an adviser to have his/her own RIA
  • RIA platform AUM
  • Retail accounts
  • Advisory accounts
  • Other types of accounts
  • Other types of accounts (specified)
  • Social media sites allowed
  • Dedicated mobile application for advisers?
  • Primary purpose of mobile application

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2013 2012 2011
No. of reps122
No. of producing reps122
No. of reps producing $100K-$499K /year59

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2013 2012 2011
Total revenues$17,848,000
Commission revenues$14,742,000
Fee revenues$717,000
Total revenues: Other$2,389,000
2013 2012 2011
Total account assets$1,800,000,000
Fee-based assets$137,000,000
Total account assets: Other$1,663,000,000
Average assets per rep$14,754,098
2013 2012 2011
Excess net capital$650,000
Total operating expenses$18,200,000
Pre-tax earnings$-400,000
Number of active client accounts15,000
CEOTerry Buffalo
Allows advisers to use social media
    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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