Girard Securities Inc.

Girard Securities Inc.

A member of Cetera Financial Group


9560 Waples St.

San Diego, CA 92121

(858) 622-2140

Year founded: 1986

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

CEOSusan W. Tietjen
Recruiting ContactScott Tietjen
(858) 622-2140 ext 239
Compliance ContactCheryl Appleby
(858) 622-2140
Marketing ContactJason Rogers
(858) 622-2140 ext 216
Technology Operations ContactMukesh Mehta

Recruitment & Staffing

2017 2016 2015
No. of reps287345
No. of producing reps200213
No. of reps producing $100K-$499K /year00
2016 2015 2014
Total revenues$49,668,098$54,135,401$56,320,000
Commission revenues$29,099,800$34,390,9240
Fee revenues$15,433,351$15,140,795$10,353,441
Total revenues: Other$5,134,947$4,603,6820
2016 2015 2014
Total account assets$8,032,000,000$7,778,000,000$10,557,447,502
Fee-based assets$1,717,000,000$1,625,000,000$1,700,922,838
Total account assets: Other$6,315,000,000$6,153,000,000$8,856,524,664
Average assets per rep$27,986,063$22,544,928$29,326,243

Can Robert Moore save Cetera?

November 11, 2017 - Cetera Financial Group's Halloween office party this year, CEO Robert Moore dressed up as the Cowardly Lion from the "Wizard of Oz." A more appropriate costume might have been Hercules, who famously completed 12 labors as a penance, since many observers...

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 Visit for more-complete profiles....

The best way to compete with robo-advisers

June 11, 2015 - How can you compete with robo-advisers? Automate, automate, automate! Every hour an adviser spends manually filling out new account forms, tracking down approvals or collecting client signatures is time he can't spend building his book. Girard Securities,...

RCAP earnings down on weaker sales of nontraded REITs

May 7, 2015 - On the back of a sharp slump in sales of nontraded real estate investment trusts, RCS Capital Corp. reported a pro forma net loss of $13.5 million for the first quarter of 2015, nearly doubling the loss of $7.4 million in the first quarter of 2014. Driving...

RCAP closes another independent B-D deal

March 19, 2015 - RCS Capital Corp. completed the purchase of Girard Securities Thursday, the second independent broker-dealer acquisition in as many weeks. Girard, a mid-sized firm with a strong history of family leadership, will be the eleventh independent broker-dealer...

RCAP back on acquisition trail

March 12, 2015 - RCS Capital Corp. resumed building out its retail broker-dealer network Thursday, announcing it had closed on its acquisition of VSR Financial Services Inc., a mid-sized independent broker-dealer known for selling alternative investments. VSR will become...

RCS Capital Corp. suffers big revenue hit in fourth quarter

February 24, 2015 - RCS Capital Corp., or RCAP, had a challenging fourth quarter as the wholesaling unit responsible for marketing nontraded real estate investment trusts suffered a revenue drop of more than 50%. `The wholesaling unit, led by Realty Capital Securities, raised...

SEC audit of Girard Securities focusing on supervision of branch offices

January 29, 2015 - Girard Securities has told its advisers that an SEC audit of the firm is focusing on supervision of branch offices, part of an industry-wide move by the agency. “On the first Monday of 2015, the first call I received was from the SEC informing me that...

  • 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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