National Planning Holdings Inc.

National Planning Holdings Inc.

Parent of INVEST Financial Corp.

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  • 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?

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Client demand for simpler technology challenges independent broker-dealers

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Top Jackson National exec Clifford Jack to step down

December 16, 2014 - Clifford Jack, a longtime executive at Jackson National Life Insurance Co. and the progenitor of its independent broker-dealer network National Planning Holdings Inc., is leaving the company. Mr. Jack, 51, joined Jackson National in 1995 and is currently...

Schorsch REIT suspension still in place at major broker-dealers

November 26, 2014 - Despite RCS Capital Corp.'s statement Nov.24 that broker-dealers had reinstated 51 selling agreements for products, some major independent broker-dealers and large broker-dealer networks still have suspensions in place for new sales of nontraded real...

Broker-dealers slap a stop order on Nicholas Schorsch's REITs

November 9, 2014 - Independent broker-dealers with their nearly 40,000 registered reps and investment advisers have pulled the plug, at least temporarily, on selling Nicholas Schorsch's nontraded real estate investment trusts after a $23 million accounting error came to...

LPL, AIG Advisor Group broker-dealer network putting the brakes on sales of Schorsch-linked nontraded REITs

November 4, 2014 - Two major independent broker-dealers, LPL Financial Holdings and the AIG Advisor Group network, have cut ties, at least for now, with REITs associated with Nicholas Schorsch, the embattled chairman of a sprawling real estate investment empire. LPL, the...

Securities America halts sales of ARC nontraded REIT

October 31, 2014 - Securities America Inc., with 1,772 registered reps and advisers, confirmed Friday it had temporarily suspended sales of two American Realty Capital-related REITs: the Phillips Edison-ARC Grocery Center REIT II and Cole Capital Properties V, one day after...

    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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