Additional profiles

The following profiles, listed in alphabetical order, are of companies that provided incomplete data.

The Advisors Group

7315 Wisconsin Ave.

Bethesda, MD 20814

(800) 777-1500

advisorsgroup.com

Financial data:

Excess net capital $662,759

Full-time employees 350

Clearing firm:

National Financial Services LLC

Associated Securities Corp.

5933 W. Century Blvd., Ninth Floor

Los Angeles, CA 90045

(310) 670-0800

afgweb.com

Chief executive:

Neal E. Nakagiri

Financial data:

Excess net capital . . . $2.8M

Full-time employees . 70

Clearing firm:

Pershing LLC

Brecek & Young Advisors Inc.

1110 Iron Point Road, Suite 100

Folsom, CA 95630

(916) 932-4100

brecek.com

Chief executives:

Roland Brecek and Hal Young

Recruiting contact:

Bennie Williams

Capital Analysts Inc.

Three Radnor Corporate Center

Suite 220

Radnor, PA 19087

(610) 995-1500

capitalanalysts.com

Chief executive:

Robert S. Cogan

Recruiting contact:

Keith Mistretta

Financial data:

Excess net capital . . $966,000

Fiscal year

Latest Previous

($M) ($M)

Gross revenue 34.20 41.65

Operating expenses 34.19

Fee revenue 8.27 7.54

Number of reps 100-plus

Full-time employees 50

Fee-based advisers serviced 225

Fee-based advisers’ assets managed, $2B

Clearing firm:

National Financial Services LLC

Continental Capital

Investment Services Inc.

5580 Monroe St., Suite 100

Sylvania, OH 43560

(419) 885-7525

Full-time employees 30

Clearing firm:

First Clearing Corp.

GBS Financial Corp.

558 B St., Suite 200

Santa Rosa, CA 95401

(707) 568-2400

gbsfinancial.com

Chief executive:

Donald Gloisten

Recruiting contact:

Girard Gloisten

Financial data:

Excess net capital $300,000

Fiscal year

Latest Previous

($M) ($M)

Gross revenue 4.00 4.20

Fee revenue 0.40 0.45

Number of reps. . . . . . . . . . . . . . . . . . . .30

Full-time employees 9

Fee-based advisers serviced 7

Fee-based advisers’ assets managed $35M

Clearing firms:

Bear Stearns & Co. Inc. and Wedbush Morgan

ePLANNING Securities Inc.

3017 Douglas Road

Suite 250

Roseville, CA 95661

(888) 815-1000

eplanning.com

Chief executive:

Cliff Gamble

Recruiting contact:

Richard Boone

Financial data:

Number of reps 60

Full-time employees 9

Fee-based advisers serviced 60

Fee-based advisers’ assets managed $500M

Payout ratios (%):

Mutual funds 90

Insurance 90

Variable annuities 90

Limited partnerships 90

Securities 90

Clearing firm:

Bear Stearns & Co. Inc.

Hornor Townsend & Kent Inc.

600 Dresher Road

Horsham, PA 19044

(203) 225-7637

htk.com

Chief executive:

Steve Miller

Recruiting contact:

Pat Henry

Financial data:

Full-time employees 50

Fee-based advisers serviced 450

Fee-based advisers’ assets managed $350M

Clearing firm:

Pershing LLC

H.D. Vest Investment Services

6333 North State Highway 161

Fourth Floor

Irving, TX 75038

(800) 821-8254

hdvest.com

Chief executive:

Roger Ochs

Recruiting contact:

Jaco Jordaan

Financial data:

Excess net capital . $8.7M

Fiscal year

Latest Previous

($M) ($M)

Gross revenue 160.0 151.0

Operating expenses 149.4

Fee revenue 26.4 29.1

Full-time employees 311

Fee-based advisers serviced 1,946

Fee-based advisers’ assets managed $1.5B

Clearing firm:

National Financial Services LLC

InterSecurities Inc.

570 Carillon Parkway

St. Petersburg, FL 33716

(877) 474-4876

intersecurities.com

Chief executive:

Kevin Bachmann

Recruiting contact:

Sheldon Clark

Financial data:

Excess net capital $8.7M

Fiscal year

Latest Previous

($M) ($M)

Gross revenue 125 121

Operating expenses N/A

Fee revenue 10 9

Number of reps 270

Full-time employees 150

Fee-based advisers serviced 1,100

Fee-based advisers’ assets managed $500M

Clearing firm:

Pershing LLC

Main Street Securities LLC

1407 Main St.

Hays, KS

(800) 752-2439

mainstreetsecurities.com

Chief executive:

Bobb Meckenstock

Recruiting contact:

Kyle Herrman

Full-time employees 65

Fee-based advisers serviced 18

Clearing firm:

RBC Dain Correspondent Services

Montauk Financial Group

Parkway 109 Office Center

Red Bank, NJ 07701

(800) 876-3672

montaukfinancial.com

Chief executive:

Herb Kurinsky

Full-time employees 141

Clearing firm:

Fiserv Securities Inc.

MONY Securities Corp.

1740 Broadway

New York, NY 10019

(212) 708-2000

mony.com

Chief executive:

Phillip D’Ambrisi

Financial data:

Excess net capital $574,745

Full-time employees 82

Clearing firm:

National Financial Services Corp.

Mutual Service Corp.

250 Australian Ave. S., Suite 1800

West Palm Beach, FL 33401

(800) 749-8900

mutualservice.com

Full-time employees 156

Clearing firm:

Pershing LLC

Nathan & Lewis Securities Inc.

260 Madison Ave., 11th Floor

New York, NY 10016

(212) 354-8800

nlfs.com

Financial data:

Full-time employees 151

Excess net capital $11.95M

Clearing firm:

Pershing LLC

Nutmeg Securities Ltd.

1960 Bronson Road

Building Two

Fairfield, CT 06824

(203) 255-3838

nutmegsecurities.com

Chief executive:

Matthew Rochlin

Recruiting contact:

Marissa Santangelo

Financial data:

Excess net capital $422,000

Fiscal year

Latest Previous

($M) ($M)

Gross revenue 20.18 21.00

Operating expenses 19.00

Number of reps 35

Full-time employees 46

Clearing firm:

Pershing LLC

NYLIFE Securities Inc.

335 Madison Ave., Suite 200

New York, NY 10017

(212) 351-6000

nylifesecurities.com

Chief executive:

Gerard Rocchi

Financial data:

Fiscal year

Latest Previous

($M) ($M)

Gross revenue 199.6 264.2

Operating expenses 29.5

Fee revenue 4.2 3.1

Full-time employees 120

Fee-based advisers’ assets managed $460.9M

Clearing firm:

National Financial Services LLC

Sea Port Group Securities LLC

317 Madison Ave., No. 811

New York, NY 10017

(212) 329-8040

Chief executive:

Stephen Smith

Recruiting contact:

Marc Baum

Financial data:

Excess net capital $1M

Number of reps 8

Full-time employees 22

Clearing firm:

BNY Clearing Services

Sigma Financial Corp.

4261 Park Road

Ann Arbor, MI 48103

(800) 373-1612

sigmafinancial.com

Chief executive:

Jerome Rydell

Recruiting contact:

Jennifer Bacarella

Financial data:

Full-time employees 65

Fee-based advisers serviced 400

Payout ratios (%):

Mutual funds 88

Insurance 88

Variable annuities 88

Limited partnerships 88

Securities 78

Clearing firm:

First Clearing Corp.

Tower Square Securities Inc.

One Tower Square, 2-MS

Hartford, CT 06183

(800) 842-6925

towersquare.com

Chief executive:

Edward Cassidy

Full-time employees 54

Clearing firm:

Pershing LLC

Trade-PMR

P.O. Box 358230

Gainesville, FL 32635-8230

(352) 332-8723

tradepmr.com

Chief executive:

Robb Baldwin

Recruiting contact:

Robb Baldwin

Financial data:

Excess net capital $75,000

Fiscal year

Latest Previous

($M) ($M)

Gross revenue 5.0 3.0

Operating expenses 2.8

Fee revenue 3.0 2.1

Number of reps 20

Full-time employees 7

Fee-based advisers serviced 50

Fee-based advisers’ assets managed $100M

Clearing firm:

Sal Financial Services Inc.

Trusted Securities Advisors Corp.

7760 France Ave. S.

Suite 420

Minneapolis, MN 55435

(952) 842-9909

trustedadvisors.com

Chief executive:

Rich Engebretson

Recruiting contact:

Steve Andros

Clearing firm:

National Financial Services LLC

Wachovia Securities Inc.

Riverfront Plaza

901 E. Byrd St.

Richmond, VA 23219

(800) 627-8625

wachoviasec.com

Chief executive:

Danny Ludeman

Recruiting contact:

Local branch managers

Financial data:

Number of reps 3,560

Full-time employees 10,000

Fee-based advisers serviced 4,100

Fee-based advisers’ assets managed $21.07B

Clearing firm:

First Clearing Corp. (affiliate)

WRP Investments Inc.

4407 Belmont Ave.

Liberty Township, OH 44505

(330) 759-2023

wrpinvestments.com

Chief executive:

David M. Pintaric

Recruiting contact:

Matt Kelley

Financial data:

Fiscal year

Latest Previous

($M) ($M)

Gross revenue 15 15

Number of reps 100

Full-time employees 225

Fee-based advisers serviced 95

Fee-based advisers’ assets managed $125M

Clearing firm:

National Financial Services LLC