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: 2,506

No. franchises: 1,724

AUM: $86,850,000,000

Year founded: 1984

Year end: Dec. 31

No. of retail offices: 2,506

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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 reps2,5062,2092,078
No. of producing reps2,5062,2092,078
No. of reps producing $100K-$499K /year912832840

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.

2017 2016 2015
Total revenues$637,300,000$535,725,000$551,900,000
Commission revenues$257,600,000$229,700,000$250,500,000
Fee revenues$313,800,000$248,500,000$242,900,000
Total revenues: Other$65,900,000$57,525,000$58,500,000
2017 2016 2015
Total account assets$86,850,000,000$66,000,000,000$57,800,000,000
Fee-based assets$38,100,000,000$26,300,000,000$22,300,000,000
Total account assets: Other$48,750,000,000$39,700,000,000$35,500,000,000
Average assets per rep$34,656,824$29,877,773$27,815,207
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

Ex-Securities America broker suspended for hidden options trades that hurt client

December 11, 2018 - A Securities America broker who was fired has been suspended from the industry for six months in the wake of allegations that he traded options in a client's account without notifying his firm. The broker, Michael D. Jackson, recommended that a customer...

Ameriprise Financial signs on $444 million team from FSC Securities

October 30, 2018 - Ameriprise Financial Inc. has signed on a $444 million team from FSC Securities Corp. Dale Cebert, a financial adviser based in The Villages, Fla., was with FSC Securities for four years before joining Ameriprise. Mr. Cebert, whose new title is private...

LPL reels in $520 million team from rival Cambridge

October 18, 2018 - LPL Financial said on Thursday that a large, 14-person team in Cedar Rapids, Iowa, with $520 million in client assets recently left Cambridge Investment Research Inc. to join LPL. Premier Investments of Iowa is led by Jeff Johnston, president, and Brock...

LPL reels in $275 million team from Securities America

October 9, 2018 - LPL Financial said on Tuesday that it recently snagged a team of eight advisers based in Colorado with close to $275 million in brokerage and advisory assets from rival Securities America Inc., one of the broker-dealers in the Ladenburg Thalmann Financial...

LPL offers generous recruiting package to rivals at PE-owned broker-dealers

September 26, 2018 - LPL Financial continues to take aim at rival broker-dealers owned by private-equity firms and this month reintroduced a special recruiting deal that could be particularly lucrative to recruits from those firms. Among the firms LPL is targeting: Kestra...

Ladenburg chairman Phillip Frost steps down

September 21, 2018 - Dr. Phillip Frost, who was charged this month with fraud, said Thursday evening that he was retiring as non-executive chairman of Ladenburg Thalmann Financial Services Inc. Dr. Frost and nine other individuals were charged Sept. 7 in a Securities and...

Chairman should leave Ladenburg Thalmann

September 20, 2018 - It's time for Dr. Phillip Frost to resign as non-executive chairman of Ladenburg Thalmann Financial Services Inc., the home of 4,300 retail brokers and financial advisers. The risk to Ladenburg Thalmann's reputation, as well as to the four independent...

New iPhone can end the days of carrying around two phones

September 13, 2018 - Apple introduced the world to three new iPhones and a new Apple Watch on Wednesday, focusing on evolutionary upgrades — a faster processor, better camera, crisper screen and longer battery life. But more than revolutionary new features, one announcement...

    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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