SWS Financial Services

A subsidiary of Hilltop Holdings Inc.

1201 Elm St.

Dallas, TX 75270

(214) 859-1800

swst.com

Year founded: 1972

Year end: June 30

No. of retail offices: 170

All 2014-2011 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.

You are currently viewing a limited portion of this firm's profile.

Click here to see the information available to Data Center subscribers.

  • 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)

Click here to subscribe

2014 2013 2012
No. of reps259287308
No. of producing reps220245263
No. of reps producing $100K-$499K /year9010797

Payout grid and comparison is available to Data Center subscribers only.

Click here to sign up now.

2014 2013 2012
Total revenues$36,355,835$38,161,069$40,187,405
Commission revenues$31,821,426$34,619,737$37,240,335
Fee revenues$2,894,557$2,337,147$1,902,799
Total revenues: Other$1,639,853$1,204,185$1,044,271
2014 2013 2012
Total account assets$5,985,418,124$4,451,113,138$4,144,606,076
Fee-based assets$304,391,383$226,431,871$184,507,532
Total account assets: Other$5,681,026,741$4,224,681,267$3,960,098,544
Average assets per rep$23,109,722$15,509,105$13,456,513
2014 2013 2012
Excess net capital$890,802$462,942$400,906
Total operating expenses$33,150,652$35,742,090$38,123,946
Pre-tax earnings$2,979,522$2,264,857$1,738,576
Number of active client accounts25,78127,88828,681
CEOLarry G Tate
Allows advisers to use social media
Social media sites allowed
Dedicated mobile application for advisers?
Primary purpose of mobile application
    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.

For comments or suggestions about the BD Data Center, please contact InvestmentNews Data.

Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.