LIST SECURITIES BROKERAGE FIRMS

THE LIST

SECURITIES BROKERAGE FIRMS

Ranked by full-time registered securities brokers in L.A. County

Rank

1 2

Brokerage

? name ? address ? website

Morgan Stanley Wealth Management 444 S. Flower St., 26th Floor Los Angeles 90071;

Merrill Lynch 100 Wilshire Blvd. Los Angeles 90401;

L.A. County Employment

? securities brokers

? total employees

Services Offered (partial list)

678 brokerage and investment advisory, financial and wealth 1,174 planning

472 brokerage, investment advisory, banking, trust, and other 686 financial services and products

Profile

? headquarters ? offices (L.A./total)

Top Local Executive

? name ? title ? phone

New York 16 / NA

Charlotte, N.C. 423 / 3,073

Curtis Peterson Regional Director (213) 553-3320

Jeff Markham Region Executive (800) 937-0620

Wells Fargo Advisors

3

707 Wilshire Blvd.

382 financial advisory, brokerage, asset management, retirement St. Louis

1,179 planning

114 / 3,219

Terry Chase Regional President of the Western

Los Angeles 90017;

Region

(800) 869-3557

UBS Financial Services Inc.

4

2000 Avenue of the Stars, Seventh Floor

Los Angeles 90067;

375 brokerage, wealth management, retirement planning, NA insurance, investments, lending services, investment banking

Zurich & Basel, Switzerland 11 / 350

Todd Locicero Managing Director, Private Wealth Management Market Head (888) 843-6991

Farmers Financial Solutions

5

31051 Agoura Road

322 mutual funds, 529 college savings plans, retirement plans, NA qualified tax saving investment plans, variable life insurance

Westlake Village John Mueting

322 / 4,771

President

Westlake Village 91361;

(866) 888-9739

Western International Securities Inc.

6

70 S. Lake Ave, Seventh Floor

Pasadena 91101;

191 independent broker dealer, fee-based asset management, 50 financial planning, investment adviser services

Pasadena 48 / 177

Donald Bizub CEO (888) 793-7717

Wedbush Securities

7

1000 Wilshire Blvd.

Los Angeles 90017;

Fidelity Investments

8

12201 Seal Beach Blvd.

Seal Beach 90740;

168 brokerage, investment advisory, wealth management, 326 retirement planning, investment banking, equity research,

correspondent clearing

155 wealth management, brokerage, investment guidance and 165 planning, income products and annuities, active trader

services, IRAs, charitable giving

Los Angeles NA / 100

Boston 10 / 209

Rich Jablonski Gary Wedbush Co-Presidents (213) 688-8000

Linda Park Market Leader (800) 544-5853

NA - Not Available Note: The information on this list was provided by representatives of the companies. Brokerages are ranked by the number of registered, full-time securities brokers in L.A. County offices. 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. ?2019 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 Media (877) 652-5295.

Researched by Joshua Niv

Sponsored

Continued on page 16

16 LOS ANGELES BUSINESS JOURNAL

THE LIST

FEBRUARY 18, 2019

SECURITIES BROKERAGE FIRMS Continued from page 15

Rank

9

Brokerage

? name ? address ? website

Northwestern Mutual Investment Services 515 S. Flower St., 34th Floor Los Angeles 90071; losangeles.

L.A. County Employment

? securities brokers

? total employees

Services Offered (partial list)

100 wealth management, advisory, brokerage, private client 250 services, life insurance, long-term care, disability, retirement,

investments, planned giving

Profile

? headquarters ? offices (L.A./total)

Top Local Executive

? name ? title ? phone

Milwaukee 3 / 200

Matthew Plocher Managing Partner (213) 243-7000

Charles Schwab & Co. Inc.

10

1900 Avenue of the Stars, Suite 101

Los Angeles 90067;

90 investment advisory services, personal financial planning, NA active trader services, banking services, estate planning

San Francisco 12 / 350

Doug Wilson Regional Market Executive (800) 435-4000

Edward Jones

11

2615 Pacific Coast Highway, Suite 223

Hermosa Beach 90254;

85 financial services, retirement planning, life insurance, college St. Louis

140 savings plans

70 / 14,500

Nicholas Pennino Regional Leader (310) 376-0504

City National Securities Inc.

12

555 S. Flower St., 11th Floor

Los Angeles 90071;

83 managed accounts, advisory services for municipal securities, Los Angeles

88 treasury and agency securities, corporate bonds, preferred

13 / 33

securities, brokered CDs, mutual funds & 529 plans

Michael Nunnelee President (800) 280-1464

D.A. Davidson & Co.

13

624 S. Grand Ave., 26th Floor

Los Angeles 90017;

75 personal financial planning, investment advisory services, 99 customized life stage and retirement strategies, tax-

advantaged investments

Los Angeles 4 / 92

Andrew Crowell Vice Chairman, Wealth Management (213) 620-1850

New York Life 6300 Wilshire Blvd., 22nd Floor Los Angeles 90048; losangeles.

751 life, long-term care, retirement, investments NA

New York 1 / NA

Lawrence Carter Managing Partner (323) 782-3000

RBC Wealth Management

15

9665 Wilshire Blvd., Fourth Floor

Beverly Hills 90212; rbcwm-

74 brokerage and investment advisory, financial and wealth 138 planning

Minneapolis2 7 / 190

Michael Melton Director, Southern California (310) 205-7745

J.P. Morgan Securities

55 wealth management, retirement planning, portfolio

New York

Jason Pai

16

2029 Century Park East, Suite 3700

122 management, banking, lending, global research

2 / 20

Assistant Regional Director

Los Angeles 90067;

(310) 201-2600

1 Business Journal estimate. 2 U.S. headquarters. NA - Not Available Note: The information on this list was provided by representatives of the companies. Brokerages are ranked by the number of registered, full-time securities brokers in L.A. County offices. 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. ?2019 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 Media (877) 652-5295.

Researched by Joshua Niv

FEBRUARY 18, 2019

THE LIST

LOS ANGELES BUSINESS JOURNAL 17

SECURITIES BROKERAGE FIRMS

Rank

Brokerage

? name ? address ? website

Imperial Capital 10100 Santa Monica Blvd., Suite 2400 Los Angeles 90067;

L.A. County Employment

? securities brokers

? total employees

Services Offered (partial list)

55 restructuring and recapitalization advisory, M&A, capital 76 raising, research, sales and trading

Profile

? headquarters ? offices (L.A./total)

Top Local Executive

? name ? title ? phone

Los Angeles 1 / 11

Randall Wooster CEO (310) 246-3700

Stifel Financial Corp.

18

515 S. Figueroa St.,Suite 1800

Los Angeles 90071;

Hilltop Securities Inc.

19

8350 Wilshire Blvd., Suite 300

Beverly Hills 90211;

51 sales and trading, trading taxable and tax-exempt fixed 67 income, banking, high-net-worth retail asset management

Los Angeles 1 / 3

40 bonds, stocks, mutual funds, annuities, insurance, retirement Dallas

45 plans, managed accounts

2 / 53

Stephen Heaney Co-Head, Municipal Securities Group (213) 443-5000

Alan Lennick Regional Director (323) 658-4400

Sagemark Consulting Lincoln Financial Advisors

291 investment management, business owner-planning, estate

Philadelphia

Nathan Truax

20

31111 Agoura Road, Suite 200

NA and asset protection strategies, retirement planning

1 / 57

Regional Director, Southern

Westlake Village 91361; lfasagemark-

California

(949) 623-1783

NMS Capital Advisors

21

433 N. Camden Drive, Fourth Floor

Beverly Hills 90210;

191 investment banking, M&A advisory, structured finance, wealth Beverly Hills

NA management, asset management, institutional trading

1 / 6

Mitch Avnet CEO (310) 855-0020

Hamilton Grant

22

70 S. Lake Ave., Seventh Floor

Pasadena 91101;

18 investment banking, M&As, capital structuring, leveraged

Pasadena

3 buyouts, debt/equity financing, business strategy consulting 3 / 5

Donald Bizub CEO (310) 846-3800

B. Riley FBR

23

11100 Santa Monica Blvd., Suite 800

Los Angeles 90025;

Brockett Tamny & Co. Inc.

24

444 S. Flower St., Suite 2350

Los Angeles 90071;

Quincy Cass Associates Inc.

25

11111 Santa Monica Blvd.

Los Angeles 90025;

10 corporate finance, research, sales and trading, corporate 45 restructuring, capital raising, M&A advisory

41 M&A advisory, private capital raising NA 31 wealth management NA

Los Angeles 2 / 10

Los Angeles 1 / 1

Los Angeles 1 / 1

Andy Moore Chief Executive Officer, B. Riley FBR (310) 966-1444

Peter Tamny CEO (213) 452-4433

Joel Ravitz CEO, Chairman (310) 473-4411

1 Business Journal estimate. NA - Not Available Note: The information on this list was provided by representatives of the companies. Brokerages are ranked by the number of registered, full-time securities brokers in L.A. County offices. 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,

Sponsored

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. ?2019 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 Media (877) 652-5295.

Researched by Joshua Niv

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