Securities brokerage firms: ranked by number of full-time, registered securities brokers in L.A. County.
SECURITIES BROKERAGE FIRMS
Ranked by number of full-time, registered securities brokers in L.A.
County
Rank Brokerage (Ranking in 2005) L.A. County Employment
* name * securities brokers
* address * investment bankers
* total employees
1 Smith Barney (1) 543
444 S. Flower St., 26th Floor 0
Los Angeles 90071 850
2 Farmers Financial Solutions LLC (3) 475
2423 Galena Ave. 0
Simi Valley 93065 476
3 Wells Fargo (7) 468
333 S. Grand Ave. 5
Los Angeles 90071 8,458
4 Merrill Lynch (4) 435
350 S. Grand Avel, Suite 2700 11
Los Angeles 90071 748
5 AIG Advisor Group (2) 431
1 SunAmerica Center 0
Los Angeles 90067 431
6 Morgan Stanley (6) 407
1999 Avenue of the Stars, 24th Floor 0
Los Angeles 90067 558
7 UBS Financial Services Inc. (5) 386
725 S. Figueroa St., 41 st Floor 11
Los Angeles 90017 633
8 Wachovia Securities LLC (8) 232
385 E. Colorado Blvd., Suite 260 0
Pasadena 91101 311
9 Transamerica Financial Advisors Inc. 219
(9) 0
1150 S. Olive St., Suite T-2501 267
Los Angeles 90015
10 Crowell Weedon & Co. (10) 100
1 Wilshire Blvd. 0
Los Angeles 90017 157
11 Western International Securities Inc. 97
(13) 1
70 S. Lake Ave., Suite 700 116
Pasadena 90010
12 A.G. Edwards & Sons Inc. (11) 93
333 S. Hope St., Suite 3700 8
Los Angeles 90071 140
13 Wedbush Morgan Securities Inc. (12) 70
1000 Wilshire Blvd. 13
Los Angeles 90017 360
14 Bear Stearns & Co. Inc. (14) 70
1999 Avenue of the Stars, Suite 3200 5
Los Angeles 90067 250
15 Charles Schwab & Co. Inc. (16) 62
10990 Wilshire Blvd., Suite 140 0
Los Angeles 90024 87
16 Jefferies & Co. Inc. (17) 60
11100 Santa Monica Blvd. 50
Los Angeles 90025 250
17 RBC Dain Rauscher (15) 57
9665 Wilshire Blvd., Fourth Floor 5
Beverly Hills 90212 111
18 Imperial Capital LLC (20) 57
150 S. Rodeo Drive, Suite 100 14
Beverly Hills 90212 81
19 Edward Jones (18) 51
23548 Calabasas Road, Suite 101 0
Calabasas 91302 118
20 M.L. Stern & Co. LLC (21) 48
8350 Wilshire Blvd. 0
Beverly Hills 90211 135
21 City National Securities Inc. 48
400 N. Roxbury Drive 0
Beverly Hills 90210 48
22 Brooks1reet Securities Corp. (19) 30
9401 Wilshire Blvd., Suite 705 5
Beverly Hills 90212 50
23 H & R Block Financial Advisors (24) 25
9300 Wilshire Blvd., Suite 101 0
Beverly Hills 90212 50
24 Clark Securities Inc. (25) 12
633 W. Fifth St., 52nd Floor 0
Los Angeles 90071 17
25 First Republic Securities Co. LLC 5
1888 Century Park East 16
Los Angeles 90067 85
Rank Services Offered
(partial list)
1 wealth and financial planning, hedge funds,
portfolio management, estate planning,
philanthropic services, lending
2 mutual funds, 529 college savings plans,
retirement plans, qualified tax saving investment
plans, variable life insurance
3 retail brokerage, institutional brokerage, public
finance, banking and trust services
4 capital markets services, investment banking and
advisory services, wealth management, asset
management
5 mutual funds, no-load mutual funds, variable and
fixed annuities, stocks, bonds, insurance
6 brokerage, investment management, credit
services
7 brokerage, wealth management, retirement
planning, insurance, investments, lending services
8 securities transactions, financial planning, banking
and financial products, estate planning, trust
services
9 financial planning, retirement planning, education
planning, estate planning, fee-based asset
management
10 personal financial planning, investment advisory
services, customized retirement strategies,
tax-advantaged investments
11 independent brokerage
12 securities and commodities brokerage, investment
banking, trust, asset management, retirement
planning
13 brokerage, asset management, investment
banking, private capital, research, correspondent
clearing, client banking
14 private client services, investment banking, public
finance, institutional equity sales, fixed income
sales, commercial mortgage
15 investment advisory services, personal financial
planning, active trader services, banking services,
estate planning
16 sales and trading, investment banking, security
underwriting, financial advisory, capital raising,
mergers and acquisitions
17 securities
18 corporate finance, sales and trading of high yield
and distressed bonds, convertible bonds, bank
debt, equities
19 stocks, bonds, mutual funds, CDs, financial
services
20 bonds, stocks, mutual funds, annuities, insurance,
retirement plans,
managed accounts
21 municipal securities broker/dealer, mutual funds,
corporate debt securities, equity securities, options
22 equities, options, fixed income, commodities,
insurance, private placements, corporate finance
23 financial planning, estate planning, securities
transactions
24 variable products and mutual funds to institutional
consulting clients
25 fixed income, short-term cash management,
alternative investments, self-directed brokerage
Rank Parent Company Profile
* headquarters
* year established (1)
* offices (county/total)
1 CitiGroup Inc. New York
1863 (2)
18/600
2 Farmers Insurance Group Simi Valley
2000
38/618
3 Wells Fargo & Co. San Francisco
1852
207/1,900
4 Merrill Lynch & Co. Inc. New York
1925
16/741
5 American International Group Los Angeles
Inc. 1989
207/1,639
6 same New York
1930
12/600
7 UBS AG Zurich, Switzerland
1946
9/374
8 Wachovia Corp. Richmond, Va.
1934
13/2,726
9 Aegon N.V. Los Angeles
1967
19/204
10 same Los Angeles
1932
6/11
11 Concept Brokerage Holding Pasadena
Corp. 1996
6/26
12 same St. Louis
1988
7/737
13 Wedbush Inc. Los Angeles
1925
3/24
14 same New York
1968
1/19
15 same San Francisco
1975
11/200
16 Jefferies Group Inc. New York
1962
1/2,000
17 Royal Bank of Canada Minneapolis (3)
1909
6/150
18 Imperial Capital Group LLC Beverly Hills
1997
1/3
19 same St. Louis
1922
51/9,200
20 Pacific Life Insurance Co. Beverly Hills
1980
1/7
21 City National Bank Beverly Hills
2000
1/3
22 same Irvine
1990
10/250
23 H & R Block Kansas City, Mo.
1989
2/400
24 same Los Angeles
1990
1/6
25 First Republic Bank San Francisco
2001
4/30
Rank Top Local Executive
* name
* title
* phone
1 Jerrold Eberhardt
sr. executive vice president
(213) 244-1500
2 Don Mealer
president
(866) 888-9739
3 Laura Schulte
regional president
(800) 869-3557
4 Gregory J. Mech
division director, Western division
(949) 223-6212
5 Jay Wintrob
ceo, president, AIG Retirement Services
(310) 772-6000
6 Margaret Black
managing director
(310) 788-2082
7 James E. Layden
sr. v.p., Southern Pacific regional directo
(213) 253-5458
8 Terry Chase
sr. managing director, regional president
(800) 627-8625
9 Sandra C. Brown
president
(213) 741-7702
10 Andrew E. Crowell
managing partner
(213) 620-1850
11 Donald Bizub
ceo
(888) 793-7717
12 Rod Essen
managing director/regional manager
(213) 613-2360
13 Edward Wedbush
same
(213) 688-8000
14 John R. Loftus/Garrett Bland
sr. managing director/executive director
(310) 201-2600
15 Robert Kightlinger
regional branch executive
(800) 435-4000
16 Chris Kanoff
exec. v. p., dir. of investment banking
(310) 445-1199
17 Chris Horner
sr. managing dir., complex dir.
(310) 205-7745
18 Jason Reese/Randall Wooster
co-presidents
(310) 246-3700
19 Maria Pisa
regional leader, principal
(800) 335-6637
20 Milford L. Stern
ceo, president
(323) 658-4400
21 Michael Nunnelee
president
(310) 888-6400
22 Bambi Holzer
branch manager
(800) 268-2578
23 Robert Burakoff
complex manager
(310) 273-8190
24 Brenda Imes
v.p., chief compliance officer
(213) 438-6300
25 Simon Clark
regional managing director
(310) 407-7036
Note: The information on this list was provided by representatives of
the companies themselves. Brokerages are ranked by the number of
registered, full-time securities brokers and the number of employess in
L.A. County offices, respectively.
To the best of our knowledge, this information is accurate as of press
time. While every effort is made to ensure the accuracy and
thoroughness of the list, omissions and typographical errors sometimes
occur. Please send corrections or additions on company letterhead to
the Research Department, Los Angeles Business Journal, 5700 Wilshire
Blvd., Suite 170, Los Angeles 90036. [c] 2006 Los Angeles Business
Journal.This list may not be reprinted in whole or in part without
prior written permission from the editor. Reprints are available from
Wright's Reprints, (877) 652-5295.
(1) In L.A. County
(2) Year established companywide.
(3) U.S. headquarters.
Researched by David Nusbaum
COPYRIGHT 2007 CBJ, L.P.
No portion of this article can be reproduced without the express written permission from the copyright holder.
Copyright 2007, Gale Group. All rights reserved. Gale Group is a Thomson Corporation Company.
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