SII Investments Inc.

SII Investments Inc.

A subsidiary of National Planning Holdings Inc.

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5555 W. Grande Market Drive

Appleton, WI 54913

(800) 426-5975

siionline.com

Year founded: 1968

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

CEOTodd Kinart
Recruiting ContactSteve VanDomelen
(920) 996-2699
E-mail
Compliance ContactDavid Loasby
(920) 996-2655
E-mail
Marketing ContactPamela Koehler-Zastrow
9202257477
E-mail
Technology Operations ContactBrian Carlson
(920) 996-2616
E-mail

Recruitment & Staffing

2017 2016 2015
No. of reps556564
No. of producing reps537564
No. of reps producing $100K-$499K /year244258
2017 2016 2015
Total revenues$169,331,000$177,357,000
Commission revenues$93,138,000$105,669,000
Fee revenues$64,166,000$57,813,000
Total revenues: Other$12,027,000$13,875,000
2017 2016 2015
Total account assets$20,601,654,000$19,979,659,000
Fee-based assets$6,523,205,000$6,523,588,000
Total account assets: Other$14,078,449,000$13,456,071,000
Average assets per rep$37,053,335$35,424,927
Social Media & Mobile
Allows advisers to use social mediaY
Social media sites allowedFacebook
LinkedIn
Twitter
Dedicated mobile application for advisers?N
Primary purpose of mobile application

Galvin orders SII to pay restitution on nontraded REIT sales

September 7, 2018 - Massachusetts Secretary of the Commonwealth William Galvin banged away Friday on another independent broker-dealer for sales of nontraded real estate investment trusts, this time ordering SII Investments Inc. to pay money back to clients who bought the...

Finra whacks Advisor Group, NPH with $2.7 million in fines over variable annuity sales

July 25, 2018 - The Financial Industry Regulatory Authority Inc. has censured four broker-dealers of Advisor Group and four National Planning B-Ds for poor supervision of variable annuity exchanges, fining them a total of almost $2.7 million. The individual broker-dealers...

SEC bars adviser charged with stealing more than $1 million from clients

April 17, 2018 - The Securities and Exchange Commission has barred Scott Newsholme, an unregistered investment adviser, after he pleaded guilty last week in federal court to wire fraud, aggravated identity theft and aiding and abetting preparation of false tax returns....

Texas hybrid switches affiliation to Kestra from SII

April 9, 2018 - Griffin Financial, a hybrid advisory firm managing $120 million in assets, has switched its broker-dealer and advisory affiliations from SII Investments to Kestra Financial. Griffin is based in Austin, Texas, and is led by Kitt Griffin and Steven Livitz....

LPL wraps up NPH adviser move, declines to say whether it reached revenue goal

February 26, 2018 - LPL Financial said Monday it had wrapped up its acquisition of advisers from National Planning Holdings, but declined to say whether it had reached its goal of moving over 70% of the revenue generated by the network's advisers. Last August, LPL announced...

Independent Financial Group snags $875 million hybrid team

January 2, 2018 - Scarborough Capital Management, a hybrid firm that manages $875 million, has switched its broker-dealer affiliation from SII Investments to Independent Financial Group. SII is one of four firms that made up the National Planning Holdings network, which...

    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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