Securities America Inc.

Securities America Inc.

A subsidiary of Ladenburg Thalmann Financial Services Inc.

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12325 Port Grace Blvd.

La Vista, NE 68128

(800) 747-6111

securitiesamerica.com

Clearing firm: National Financial Services LLC, Pershing LLC

No. advisers: 2,209

No. franchises: 1,460

AUM: $66,000,000,000

Year founded: 1984

Year end: Dec. 31

No. of retail offices: 2,209

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Additional data available to 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
  • Offers robo-advisory platform?
  • If not, when plans to offer a robo-platform
  • Robo-advice services offered
  • How robo-platform developed
  • Charge for robo-advisory services?

For More Information

CEOJim Nagengast
Recruiting ContactGregg Johnson
(800) 747-6111
E-mail
Compliance ContactMark Lasswell
(402) 399-9111
E-mail
Marketing ContactJanine Wertheim
(800) 747-6111
E-mail
Technology Operations ContactDoreen Griffith
(800) 747-6111
E-mail

Recruitment & Staffing

2016 2015 2014
No. of reps2,2092,0782,042
No. of producing reps2,2092,0781,982
No. of reps producing $100K-$499K /year832840829

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Subscribe or log in to the B-D Data Center for access to all available data.

2016 2015 2014
Total revenues$535,725,000$551,900,000$525,500,000
Commission revenues$229,700,000$250,500,000$242,300,000
Fee revenues$248,500,000$242,900,000$223,800,000
Total revenues: Other$57,525,000$58,500,000$59,400,000
2016 2015 2014
Total account assets$66,000,000,000$57,800,000,000$56,600,000,000
Fee-based assets$26,300,000,000$22,300,000,000$21,400,000,000
Total account assets: Other$39,700,000,000$35,500,000,000$35,200,000,000
Average assets per rep$29,877,773$27,815,207$27,717,924
Social Media & Mobile
Allows advisers to use social mediaY
Social media sites allowedFacebook
LinkedIn
Twitter
Dedicated mobile application for advisers?Y
Primary purpose of mobile applicationEasy access to important client information

Top clearing and custody firms for financial advisers

August 7, 2017 - CLEARING FIRMS Listed by reported number of broker-dealer clients Firm Phone/website # of clients % change vs. 2016 Contact Phone/email Pershing (800) 445-4467 714* -3.90% Michael Row (800) 445-4467 One Pershing Plaza, Jersey City, NJ 07399 pershing.com/who-we-serve/broker-dealers...

Independent broker-dealer Triad Advisors sues former advisers

May 7, 2017 - In a highly unusual move by an independent broker-dealer, Triad Advisors Inc. is suing a group of former advisers who left the firm to start their own broker-dealer. Last October, Triad sued the advisers, David Millican, Jeffrey Shaver and Joseph Young,...

Top independent broker-dealers by revenue and payout

April 23, 2017 - Top 50 IBDs ranked by 2016 revenue Bubble view By group Table view Firm 2016 revenue ($M) % change vs. 2015 2016 commission revenue ($M) % change vs. 2015 2016 fee revenue ($M) % change vs. 2015 2016 other revenue ($M) % change vs. 2015 1 LPL Financial...

Securities America to pay another $1 million to Medical Capital Holdings investors in Massachusetts

March 2, 2017 - Almost six years after reaching a settlement with the Massachusetts Securities Division, Securities America Inc. will make a final payment of $1 million to investors, many of them seniors, who bought promissory notes issued by Medical Capital Holdings,...

Finra's new chief Robert Cook vows to take a 'fresh look' at enforcement

January 24, 2017 - Striking a conciliatory tone with broker-dealers, Robert Cook, the recently appointed head of Finra acknowledged Monday night that he'd heard loud and clear the complaints brokerage industry executives had with their principal regulator. Since stepping...

Top independent broker-dealers reveal their payout tables

January 22, 2017 - The 2017 InvestmentNews independent-broker-dealer directory is based on information provided by 90 eligible firms. To be considered for future listings, contact INResearch@investmentnews.com. Visit InvestmentNews.com/bddata for more-complete profiles....

2017 to be year of independent broker-dealer mergers

January 22, 2017 - If past is prologue, 2017 should see a steady pace of independent broker-dealer consolidation and mergers and acquisitions. Last year saw transactions involving firms that house thousands of registered reps and financial advisers as the industry scrambled...

DOL fiduciary rule hastening death of L-share variable annuities

January 11, 2017 - The specter of the Department of Labor's fiduciary rule is accelerating the demise of L-share variable annuities. Variable annuities sold in an L-share class had already been reeling prior to the DOL issuing the final version of its conflict-of-interest...

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

All 2011-2016 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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