Securities brokerage firms.
SECURITIES BROKERAGE FIRMS
Ranked by number of full-time, registered securities brokers in
L.A. County
Rank Brokerage (Ranking in 2006) L.A. County Employment
* name * securities brokers
* address * investment bankers
* total employees
1 Smith Barney (1) 517
444 S. Flower St., 26th Floor 0
Los Angeles 90071 850
2 AIG Advisor Group (5) 508
1 SunAmerica Center N/A
Los Angeles 90067 N/A
3 Wells Fargo (3) 474
333 S. Grand Ave. 5
Los Angeles 90071 699
4 Farmers Financial 468
Solutions LLC (2) 0
30801 Agoura Road, Building 1 471
Agoura Hills 91301
5 Merrill Lynch (4) 449
350 S. Grand Ave., Suite 2700 15
Los Angeles 90071 768
6 Morgan Stanley (6) 421
1999 Avenue of the Stars, 0
24th Floor 691
Los Angeles 90067
7 UBS Financial 375
Services Inc. (7) N/A
725 S. Figueroa St., 615
41st Floor
Los Angeles 90017
8 Transamerica Financial 218
Advisors Inc. (9) 0
1150 S. Olive St., 269
Suite T-2501
Los Angeles 90015
9 Wachovia Securities LLC (8) 126
225 S. Lake Ave., Suite 700 0
Pasadena 91101 159
10 Wedbush Morgan Securities (13) 108
1000 Wilshire Blvd. 12
Los Angeles 90017 369
11 A.G. Edwards & Sons Inc. (12) 94
333 S. Hope St., Suite 3700 6
Los Angeles 90071 142
12 Jefferies & Co. Inc. (16) 90
11100 Santa Monica Blvd. 40
Los Angeles 90025 263
13 Crowell Weedon & Co. (10) 86
1 Wilshire Blvd. 4
Los Angeles 90017 134
14 Western International 84
Securities Inc. (11) 1
70 S. Lake Ave., Suite 700 102
Pasadena 90010
15 Bear Stearns & Co. Inc. (14) 73
1999 Avenue of the Stars, 20
Suite 3200 260
Los Angeles 90067
16 Brookstreet Securities 66
Corp. (22) 0
9401 Wilshire Blvd., N/A
Suite 705
Beverly Hills 90212
17 RBC Dain Rauscher (17) 60
9665 Wilshire Blvd., 5
Fourth Floor 113
Beverly Hills 90212
18 Imperial Capital LLC (18) 60
150 S. Rodeo Drive, Suite 100 18
Beverly Hills 90212 87
19 Charles Schwab & Co. Inc. (15) 57
1900 Avenue of the Stars, 0
Suite 101 83
Los Angeles 90067
20 Edward Jones (19) 52
870 Hampshire Road, Suite A 0
Westlake Village 91361 133
21 M. L. Stern & Co. LLC (20) 48
8350 Wilshire Blvd. 0
Beverly Hills 90211 99
22 City National 48
Securities Inc. (21) 0
400 N. Roxbury Drive 48
Beverly Hills 90210
23 H & R Block Financial 40
Advisors (23) 0
9300 Wilshire Blvd. 60
Beverly Hills 90212
24 Zahorik Financial 28
Services Inc. 0
150 E. Colorado Blvd., N/A
Suite 100
Pasadena 91105
25 B. Riley & Co. 27
11100 Santa Monica Blvd., 4
Suite 800 32
Los Angeles 90025
Rank Brokerage (Ranking in 2006) Services Offered
* name (partial list)
* address
1 Smith Barney (1) wealth and financial
444 S. Flower St., 26th Floor planning, hedge funds,
Los Angeles 90071 portfolio management, estate
planning, philanthropic
services, lending
2 AIG Advisor Group (5) mutual funds, no-load mutual
1 SunAmerica Center funds, variable and fixed
Los Angeles 90067 annuities, stocks, bonds,
insurance
3 Wells Fargo (3) retail brokerage, investment
333 S. Grand Ave. management, insurance,
Los Angeles 90071 wealth management,
institutional brokerage,
public finance, banking and
trust services
4 Farmers Financial mutual funds, 529 college
Solutions LLC (2) savings plans, retirement
30801 Agoura Road, Building 1 plans, qualified tax saving
Agoura Hills 91301 investment plans, variable
life insurance
5 Merrill Lynch (4) advice and planning, business
350 S. Grand Ave., Suite 2700 banking, credit and lending,
Los Angeles 90071 estate planning, investments,
retirement
6 Morgan Stanley (6) investment, financial
1999 Avenue of the Stars, planning, cash management and
24th Floor lending, including mortgages,
Los Angeles 90067 small business, retirement,
insurance and private wealth
management
7 UBS Financial brokerage, wealth management,
Services Inc. (7) retirement planning,
725 S. Figueroa St., insurance, investments,
41st Floor lending services
Los Angeles 90017
8 Transamerica Financial financial planning,
Advisors Inc. (9) retirement planning,
1150 S. Olive St., planning for education
Suite T-2501 expenses, estate planning,
Los Angeles 90015 fee-based asset management,
securities brokerage
9 Wachovia Securities LLC (8) investment and retirement
225 S. Lake Ave., Suite 700 planning, access to lending
Pasadena 91101 and other trust services,
other financial services
10 Wedbush Morgan Securities (13) brokerage, asset management,
1000 Wilshire Blvd. investment banking, private
Los Angeles 90017 capital, research,
correspondent clearing,
client banking, prime
brokerage
11 A.G. Edwards & Sons Inc. (12) securities and commodities
333 S. Hope St., Suite 3700 brokerage, investment
Los Angeles 90071 banking, trust, asset
management, retirement
planning
12 Jefferies & Co. Inc. (16) sales and trading, investment
11100 Santa Monica Blvd. banking, security
Los Angeles 90025 underwriting, financial
advisory, capital raising,
mergers and acquisitions
13 Crowell Weedon & Co. (10) personal financial planning,
1 Wilshire Blvd. investment advisory services,
Los Angeles 90017 customized retirement
strategies, tax-advantaged
investments, corporate
finance, institutional
trading
14 Western International independent brokerage
Securities Inc. (11)
70 S. Lake Ave., Suite 700
Pasadena 90010
15 Bear Stearns & Co. Inc. (14) private client services,
1999 Avenue of the Stars, investment banking, public
Suite 3200 finance, institutional
Los Angeles 90067 equity sales, fixed income
sales, commercial mortgage,
prime brokerage/clearing
16 Brookstreet Securities equities, options, fixed
Corp. (22) income, commodities,
9401 Wilshire Blvd., insurance, private
Suite 705 placements, corporate
Beverly Hills 90212 finance
17 RBC Dain Rauscher (17) full service securities firm
9665 Wilshire Blvd.,
Fourth Floor
Beverly Hills 90212
18 Imperial Capital LLC (18) corporate finance,
150 S. Rodeo Drive, Suite 100 restructuring and advisory
Beverly Hills 90212 services, sales and trading
of high yield and distressed
bonds, convertible bonds,
bank debt, equities
19 Charles Schwab & Co. Inc. (15) investment advisory services,
1900 Avenue of the Stars, personal financial planning,
Suite 101 active trader services,
Los Angeles 90067 banking services, estate
planning
20 Edward Jones (19) stocks, bonds, mutual funds,
870 Hampshire Road, Suite A CDs, financial services
Westlake Village 91361
21 M. L. Stern & Co. LLC (20) bonds, stocks, mutual funds,
8350 Wilshire Blvd. annuities, insurance,
Beverly Hills 90211 retirement plans, managed
accounts
22 City National municipal securities broker/
Securities Inc. (21) dealer, mutual funds,
400 N. Roxbury Drive corporate debt securities,
Beverly Hills 90210 equity securities, options
23 H & R Block Financial financial planning, estate
Advisors (23) planning, securities
9300 Wilshire Blvd. transactions
Beverly Hills 90212
24 Zahorik Financial retirement plans, investment
Services Inc. advisory, insurance, employee
150 E. Colorado Blvd., benefits
Suite 100
Pasadena 91105
25 B. Riley & Co. investment banking, equity
11100 Santa Monica Blvd., research, institutional
Suite 800 trading and market making
Los Angeles 90025
Rank Brokerage (Ranking in 2006) Profile
* name * parent company
* address * headquarters
* offices (county/total)
1 Smith Barney (1) CitiGroup Inc.
444 S. Flower St., 26th Floor New York
Los Angeles 90071 18/635
2 AIG Advisor Group (5) American International
1 SunAmerica Center Group Inc.
Los Angeles 90067 New York
N/A/N/A
3 Wells Fargo (3) Wells Fargo &Co.
333 S. Grand Ave. San Francisco
Los Angeles 90071 248/N/A
4 Farmers Financial Farmers Insurance Group
Solutions LLC (2) Agoura Hills
30801 Agoura Road, Building 1 45/627
Agoura Hills 91301
5 Merrill Lynch (4) Merrill Lynch & Co. Inc.
350 S. Grand Ave., Suite 2700 New York
Los Angeles 90071 16/717
6 Morgan Stanley (6) Morgan Stanley
1999 Avenue of the Stars, New York
24th Floor 14/600
Los Angeles 90067
7 UBS Financial UBS AG
Services Inc. (7) Zurich, Switzerland
725 S. Figueroa St., 8/N/A
41st Floor
Los Angeles 90017
8 Transamerica Financial The Aegon Group
Advisors Inc. (9) Los Angeles
1150 S. Olive St., 1/1
Suite T-2501
Los Angeles 90015
9 Wachovia Securities LLC (8) Wachovia Corp.
225 S. Lake Ave., Suite 700 Richmond, Va.
Pasadena 91101 6/2,685
10 Wedbush Morgan Securities (13) Wedbush Inc.
1000 Wilshire Blvd. Los Angeles
Los Angeles 90017 3/24
11 A.G. Edwards & Sons Inc. (12) A.G. Edwards Inc.
333 S. Hope St., Suite 3700 St. Louis
Los Angeles 90071 7/737
12 Jefferies & Co. Inc. (16) Jefferies Group Inc.
11100 Santa Monica Blvd. New York
Los Angeles 90025 1/27
13 Crowell Weedon & Co. (10) N/A
1 Wilshire Blvd. Los Angeles
Los Angeles 90017 6/11
14 Western International Concept Brokerage
Securities Inc. (11) Holding Corp.
70 S. Lake Ave., Suite 700 Pasadena
Pasadena 90010 6/26
15 Bear Stearns & Co. Inc. (14) N/A
1999 Avenue of the Stars, New York
Suite 3200 1/19
Los Angeles 90067
16 Brookstreet Securities N/A
Corp. (22) Irvine
9401 Wilshire Blvd., 34/336
Suite 705
Beverly Hills 90212
17 RBC Dain Rauscher (17) Royal Bank of Canada
9665 Wilshire Blvd., Minneapolis'
Fourth Floor 6/150
Beverly Hills 90212
18 Imperial Capital LLC (18) Imperial Capital Group LLC
150 S. Rodeo Drive, Suite 100 Beverly Hills
Beverly Hills 90212 1/4
19 Charles Schwab & Co. Inc. (15) N/A
1900 Avenue of the Stars, San Francisco
Suite 101 12/273
Los Angeles 90067
20 Edward Jones (19) N/A
870 Hampshire Road, Suite A St. Louis
Westlake Village 91361 51/9,735
21 M. L. Stern & Co. LLC (20) Pacific Life Insurance Co.
8350 Wilshire Blvd. Beverly Hills
Beverly Hills 90211 1/8
22 City National City National Bank
Securities Inc. (21) Beverly Hills
400 N. Roxbury Drive 3/6
Beverly Hills 90210
23 H & R Block Financial H & R Block
Advisors (23) Kansas City, Mo.
9300 Wilshire Blvd. 2/400
Beverly Hills 90212
24 Zahorik Financial Zahorik Financial & Insurance
Services Inc. Services Inc.
150 E. Colorado Blvd., Pasadena
Suite 100 1/20
Pasadena 91105
25 B. Riley & Co. N/A
11100 Santa Monica Blvd., Los Angeles
Suite 800 1/4
Los Angeles 90025
Rank Brokerage (Ranking in 2006) Top Local Executive
* name * name
* address * title
* phone
1 Smith Barney (1) Jerrold Eberhardt
444 S. Flower St., 26th Floor sr. executive vice president
Los Angeles 90071 (213) 244-1500
2 AIG Advisor Group (5) Jay Wintrob
1 SunAmerica Center ceo, president, AIG
Los Angeles 90067 Retirement Services
(310) 772-6000
3 Wells Fargo (3) Laura Schulte
333 S. Grand Ave. regional president
Los Angeles 90071 (800) 869-3557
4 Farmers Financial Don Mealer
Solutions LLC (2) president
30801 Agoura Road, Building 1 (866) 888-9739
Agoura Hills 91301
5 Merrill Lynch (4) Gregory J. Mech
350 S. Grand Ave., Suite 2700 division director,
Los Angeles 90071 Western division
(949) 223-6212
6 Morgan Stanley (6) Margaret Black
1999 Avenue of the Stars, managing director
24th Floor (310) 788-2080
Los Angeles 90067
7 UBS Financial James E. Layden
Services Inc. (7) sr. v.p., Southern Pacific
725 S. Figueroa St., reg. manager
41st Floor (213) 253-5458
Los Angeles 90017
8 Transamerica Financial Sandra C. Brown
Advisors Inc. (9) president, coo
1150 S. Olive St., (213) 741-7702
Suite T-2501
Los Angeles 90015
9 Wachovia Securities LLC (8) Steve Townsend
225 S. Lake Ave., Suite 700 market manager
Pasadena 91101 (800) 627-8625
10 Wedbush Morgan Securities (13) Edward Wedbush
1000 Wilshire Blvd. ceo, president
Los Angeles 90017 (213) 688-8000
11 A.G. Edwards & Sons Inc. (12) Rod Essen
333 S. Hope St., Suite 3700 managing director/regional
Los Angeles 90071 manager
(213) 613-2360
12 Jefferies & Co. Inc. (16) Chris Kanoff
11100 Santa Monica Blvd. exec. v. p., dir. of
Los Angeles 90025 investment banking
(310) 445-1199
13 Crowell Weedon & Co. (10) Andrew E. Crowell
1 Wilshire Blvd. managing partner
Los Angeles 90017 (213) 620-1850
14 Western International Donald Bizub
Securities Inc. (11) ceo
70 S. Lake Ave., Suite 700 (888) 793-7717
Pasadena 90010
15 Bear Stearns & Co. Inc. (14) John R. Loftus/Garrett Bland
1999 Avenue of the Stars, sr. managing directors, branch
Suite 3200 manager/exec. director
Los Angeles 90067 (310) 201-2600
16 Brookstreet Securities Bambi Holzer
Corp. (22) branch manager
9401 Wilshire Blvd., (800) 268-2578
Suite 705
Beverly Hills 90212
17 RBC Dain Rauscher (17) Chris Horner
9665 Wilshire Blvd., sr. managing dir.,
Fourth Floor complex dir.
Beverly Hills 90212 (310) 205-7745
18 Imperial Capital LLC (18) Jason Reese/Randall Wooster
150 S. Rodeo Drive, Suite 100 co-presidents
Beverly Hills 90212 (310) 246-3700
19 Charles Schwab & Co. Inc. (15) Robert Kightlinger
1900 Avenue of the Stars, regional branch executive
Suite 101 (800) 435-4000
Los Angeles 90067
20 Edward Jones (19) Chris Hardt
870 Hampshire Road, Suite A regional leader
Westlake Village 91361 (805) 496-6891
21 M. L. Stern & Co. LLC (20) Milford L. Stern
8350 Wilshire Blvd. ceo, president
Beverly Hills 90211 (323) 658-4400
22 City National Michael Nunnelee
Securities Inc. (21) president
400 N. Roxbury Drive (310) 888-6400
Beverly Hills 90210
23 H & R Block Financial Robert Burakoff
Advisors (23) regional director
9300 Wilshire Blvd. (310) 273-8190
Beverly Hills 90212
24 Zahorik Financial Randy Russell
Services Inc. ceo, president
150 E. Colorado Blvd., (800) 266-0859
Suite 100
Pasadena 91105
25 B. Riley & Co. Thomas Kelleher
11100 Santa Monica Blvd., ceo
Suite 800 (310) 966-1444
Los Angeles 90025
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 employees
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] 2007 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) U.S. headquarters.
Reprinted from the February 5, 2007 issue
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.
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