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: 2,478

No. franchises: 1,724

Year founded: 1984

Year end: Dec. 31

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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

2017 2016 2015
No. of reps2,4782,2092,078
No. of producing reps2,2092,078
No. of reps producing $100K-$499K /year832840

Payout grid is available to Data Center subscribers only.

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

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LPL Financial signs up 953 NPH advisers and $34.4 billion in assets

February 1, 2018 - LPL Financial Holdings Inc. reported Thursday that it was on track to hit its target of bringing over 70% of the revenue of National Planning Holdings, a company it acquired last year. In its fourth-quarter earnings report, LPL did not report how much...

Finra suspends, fines broker for posting fake sex ads

January 24, 2018 - The Financial Industry Regulatory Authority Inc. is suspending and fining Paul Betenbaugh, a former registered representative with Edward Jones, for impersonating a competing adviser and using that adviser's information to create explicit internet ads...

Securities America latest broker-dealer to let advisers use text messaging

January 18, 2018 - More financial institutions are bringing text messaging to their advisers. Securities America, a subsidiary of Ladenburg Thalmann Financial Services, has a new app that lets advisers use their personal mobile devices to send and receive texts from clients....

William Galvin fines Securities America over radio ads

December 27, 2017 - Massachusetts' securities regulator has fined Securities America $125,000 in connection with failure to supervise one of its agents whose radio advertising campaign allegedly used the dangers of Alzheimer's disease to gain access to seniors' brokerage...

LPL signs $530 million NPH-firm, Fross & Fross Wealth Management

December 7, 2017 - LPL Financial has retained Fross & Fross Wealth Management, a $530 million firm previously affiliated with SII Investments, a subsidiary of National Planning Holdings. Fross & Fross, located in the The Villages, Fla., is the latest firm to choose between...

    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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