Business Services Industry
Investment brokerage firms: ranked by number of local registered brokers as of Dec. 1, 2006
San Diego Business Journal, June 18, 2007 by Jaimy Lee
INVESTMENT BROKERAGE FIRMS
Ranked by number of local registered brokers as of Dec. 1, 2006
Number of
* local
Telephone registered
Rank Company Fax brokers
(last Address Toll-Free * full-time
year) Web site number employees
1 Merrill Lynch (619) 699-3700 182
(2) 701 B Street, #2400, (619) 758-3617 295
San Diego 92101
www.ml.com
2 AIG Financial (602) 744-3000 72
(3) Advisor Inc. (602) 744-3166 3
2800 North Central (800) 522-3319
Avenue, Phoenix 85004
www.aigfinancial
advisors.com
3 Independent Financial (858) 436-3180 71
(8) Group LLC (858) 481-9033 23
12636 High Bluff (800) 269-1903
Drive, #100,
San Diego 92130
www.ifgsd.com
4 First Wall Street Corp. 55
(10) 1200 Prospect St., (858) 454-3551 8
#350, La Jolla 92037
www.firstwall
streetcorp.com
5 Cuso Financial (858) 530-4400 50
(7) Services LP (858) 530-1929 98
10455 Sorrento
Valley Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co. (858) 704-0300 21
(13) 853 Camino Del Mar, (858) 704-0320 21
#100, Del Mar 92014 (888) 722-6355
www.cariscompany.com
7 Centara Capital (619) 398-1700 20
(NR) Securities Inc. (619) 398-1717 50
8880 Rio San Diego (888) 599-4600
Drive, Fourth Floor,
San Diego 92108
www.centaracapital.com
8 First Allied (619) 702-9600 18
(NR) Securities Inc. (619) 881-1935 153
655 W. Broadway, 11th (800) 499-5489
Floor, San Diego 92101
www.firstallied.com
9 Crown Capital (858) 549-9842 15
(15) Securities LP (858) 549-9842 2
9815 Carroll (866) 374-5025
Canyon Road, #204,
San Diego 92131
www.crowncapital
securites.com
10 H&R Block Financial (658) 259-3002 15
(12) Advisors (858) 259-3094 18
12636 High Bluff Drive, (800) 208-9400
#250, San Diego 92130
www.hrblock.com
11 WFP Securities (858) 677-0377 15
(11) 6020 Cornerstone (858) 677-0479 10
Court W., #240, (800) 393-0377
San Diego 92121
www.wfpsecurities.com
12 Securities Center Inc. (619) 426-3550 8
(17) 245 E St., Chula (619) 426-3623 3
Vista 91910 (800) 244-1718
www.securitiescenter.
com
13 Girard Securities Inc. (858) 622-2140 6
(4) 9560 Waples Drive, 150
Suite B, San Diego 92122
www.girardsecurities.com
14 Nelson Securities Inc. (858) 362-3200 5
(NR) 6540 Lusk Blvd., Suite (858) 362-3203 7
C162, San Diego 92121 (888) 536-3346
www.nelson-securities.
com
15 Western Financial Corp. (619) 234-3235 4
(20) 600 B St, #2204, (619) 234-2421 5
San Diego 92101
Number of
* registered Number of
brokers offices:
Rank Company companywide * San Diego
(last Address * states County
year) Web site licensed in * Companywide
1 Merrill Lynch 15,930 9
(2) 701 B Street, #2400, 50 680
San Diego 92101
www.ml.com
2 AIG Financial 1,981 25
(3) Advisor Inc. 50 871
2800 North Central
Avenue, Phoenix 85004
www.aigfinancial
advisors.com
3 Independent Financial 163 20
(8) Group LLC 50 76
12636 High Bluff
Drive, #100,
San Diego 92130
www.ifgsd.com
4 First Wall Street Corp. 72 2
(10) 1200 Prospect St., 50 60
#350, La Jolla 92037
www.firstwall
streetcorp.com
5 Cuso Financial 389 24
(7) Services LP 50 316
10455 Sorrento
Valley Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co. 58 1
(13) 853 Camino Del Mar, 50 1
#100, Del Mar 92014
www.cariscompany.com
7 Centara Capital 20 1
(NR) Securities Inc. 5 1
8880 Rio San Diego
Drive, Fourth Floor,
San Diego 92108
www.centaracapital.com
8 First Allied 528 9
(NR) Securities Inc. 20 330
655 W. Broadway, 11th
Floor, San Diego 92101
www.firstallied.com
9 Crown Capital 320 4
(15) Securities LP 50 98
9815 Carroll
Canyon Road, #204,
San Diego 92131
www.crowncapital
securites.com
10 H&R Block Financial 1,000 1
(12) Advisors 50 220
12636 High Bluff Drive,
#250, San Diego 92130
www.hrblock.com
11 WFP Securities 40 2
(11) 6020 Cornerstone 18 3
Court W., #240,
San Diego 92121
www.wfpsecurities.com
12 Securities Center Inc. 8 3
(17) 245 E St., Chula 18 3
Vista 91910
www.securitiescenter.
com
13 Girard Securities Inc. 150 10
(4) 9560 Waples Drive, 50 70
Suite B, San Diego 92122
www.girardsecurities.com
14 Nelson Securities Inc. 12 1
(NR) 6540 Lusk Blvd., Suite 49 3
C162, San Diego 92121
www.nelson-securities.
com
15 Western Financial Corp. 4 1
(20) 600 B St, #2204, 50 1
San Diego 92101
Products offered by percentage
of total business
Rank Company
(last Address Stocks/
year) Web site bonds Insurance
1 Merrill Lynch na na
(2) 701 B Street, #2400,
San Diego 92101
www.ml.com
2 AIG Financial 5 3
(3) Advisor Inc.
2800 North Central
Avenue, Phoenix 85004
www.aigfinancial
advisors.com
3 Independent Financial 6 1
(8) Group LLC
12636 High Bluff
Drive, #100,
San Diego 92130
www.ifgsd.com
4 First Wall Street Corp. 20 2
(10) 1200 Prospect St.,
#350, La Jolla 92037
www.firstwall
streetcorp.com
5 Cuso Financial 3 1
(7) Services LP
10455 Sorrento
Valley Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co. 100 na
(13) 853 Camino Del Mar,
#100, Del Mar 92014
www.cariscompany.com
7 Centara Capital 10 50
(NR) Securities Inc.
8880 Rio San Diego
Drive, Fourth Floor,
San Diego 92108
www.centaracapital.com
8 First Allied 37 10
(NR) Securities Inc.
655 W. Broadway, 11th
Floor, San Diego 92101
www.firstallied.com
9 Crown Capital 5 5
(15) Securities LP
9815 Carroll
Canyon Road, #204,
San Diego 92131
www.crowncapital
securites.com
10 H&R Block Financial 40 10
(12) Advisors
12636 High Bluff Drive,
#250, San Diego 92130
www.hrblock.com
11 WFP Securities 20 1
(11) 6020 Cornerstone
Court W., #240,
San Diego 92121
www.wfpsecurities.com
12 Securities Center Inc. 77 0
(17) 245 E St., Chula
Vista 91910
www.securitiescenter.
com
13 Girard Securities Inc. 15 0
(4) 9560 Waples Drive,
Suite B, San Diego 92122
www.girardsecurities.com
14 Nelson Securities Inc. 10 0
(NR) 6540 Lusk Blvd., Suite
C162, San Diego 92121
www.nelson-securities.
com
15 Western Financial Corp. 90 0
(20) 600 B St, #2204,
San Diego 92101
Products offered by percentage
of total business
Rank Company
(last Address Variable Mutual
year) Web site annuities funds
1 Merrill Lynch na na
(2) 701 B Street, #2400,
San Diego 92101
www.ml.com
2 AIG Financial 34 28
(3) Advisor Inc.
2800 North Central
Avenue, Phoenix 85004
www.aigfinancial
advisors.com
3 Independent Financial 20 30
(8) Group LLC
12636 High Bluff
Drive, #100,
San Diego 92130
www.ifgsd.com
4 First Wall Street Corp. 5 50
(10) 1200 Prospect St.,
#350, La Jolla 92037
www.firstwall
streetcorp.com
5 Cuso Financial 45 38
(7) Services LP
10455 Sorrento
Valley Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co. na na
(13) 853 Camino Del Mar,
#100, Del Mar 92014
www.cariscompany.com
7 Centara Capital 5 30
(NR) Securities Inc.
8880 Rio San Diego
Drive, Fourth Floor,
San Diego 92108
www.centaracapital.com
8 First Allied 16 19
(NR) Securities Inc.
655 W. Broadway, 11th
Floor, San Diego 92101
www.firstallied.com
9 Crown Capital 35 15
(15) Securities LP
9815 Carroll
Canyon Road, #204,
San Diego 92131
www.crowncapital
securites.com
10 H&R Block Financial 20 30
(12) Advisors
12636 High Bluff Drive,
#250, San Diego 92130
www.hrblock.com
11 WFP Securities 4 20
(11) 6020 Cornerstone
Court W., #240,
San Diego 92121
www.wfpsecurities.com
12 Securities Center Inc. 3 20
(17) 245 E St., Chula
Vista 91910
www.securitiescenter.
com
13 Girard Securities Inc. 25 40
(4) 9560 Waples Drive,
Suite B, San Diego 92122
www.girardsecurities.com
14 Nelson Securities Inc. 20 30
(NR) 6540 Lusk Blvd., Suite
C162, San Diego 92121
www.nelson-securities.
com
15 Western Financial Corp. 0 10
(20) 600 B St, #2204,
San Diego 92101
Products offered by percentage
Rank Company of total business
(last Address
year) Web site Partnerships Other
1 Merrill Lynch na na
(2) 701 B Street, #2400,
San Diego 92101
www.ml.com
2 AIG Financial 4 26
(3) Advisor Inc.
2800 North Central
Avenue, Phoenix 85004
www.aigfinancial
advisors.com
3 Independent Financial 20 23
(8) Group LLC
12636 High Bluff
Drive, #100,
San Diego 92130
www.ifgsd.com
4 First Wall Street Corp. 0 23
(10) 1200 Prospect St.,
#350, La Jolla 92037
www.firstwall
streetcorp.com
5 Cuso Financial 0 13
(7) Services LP
10455 Sorrento
Valley Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co. na na
(13) 853 Camino Del Mar,
#100, Del Mar 92014
www.cariscompany.com
7 Centara Capital 5 0
(NR) Securities Inc.
8880 Rio San Diego
Drive, Fourth Floor,
San Diego 92108
www.centaracapital.com
8 First Allied 8 10
(NR) Securities Inc.
655 W. Broadway, 11th
Floor, San Diego 92101
www.firstallied.com
9 Crown Capital 15 25
(15) Securities LP
9815 Carroll
Canyon Road, #204,
San Diego 92131
www.crowncapital
securites.com
10 H&R Block Financial 0 0
(12) Advisors
12636 High Bluff Drive,
#250, San Diego 92130
www.hrblock.com
11 WFP Securities 50 5
(11) 6020 Cornerstone
Court W., #240,
San Diego 92121
www.wfpsecurities.com
12 Securities Center Inc. 0 0
(17) 245 E St., Chula
Vista 91910
www.securitiescenter.
com
13 Girard Securities Inc. 0 20
(4) 9560 Waples Drive,
Suite B, San Diego 92122
www.girardsecurities.com
14 Nelson Securities Inc. 0 40
(NR) 6540 Lusk Blvd., Suite
C162, San Diego 92121
www.nelson-securities.
com
15 Western Financial Corp. 0 0
(20) 600 B St, #2204,
San Diego 92101
Services offered
Rank Company
(last Address Real estate
year) Web site Asset mgmt. syndication
1 Merrill Lynch **
(2) 701 B Street, #2400,
San Diego 92101
www.ml.com
2 AIG Financial **
(3) Advisor Inc.
2800 North Central
Avenue, Phoenix 85004
www.aigfinancial
advisors.com
3 Independent Financial **
(8) Group LLC
12636 High Bluff
Drive, #100,
San Diego 92130
www.ifgsd.com
4 First Wall Street Corp. **
(10) 1200 Prospect St.,
#350, La Jolla 92037
www.firstwall
streetcorp.com
5 Cuso Financial **
(7) Services LP
10455 Sorrento
Valley Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co.
(13) 853 Camino Del Mar,
#100, Del Mar 92014
www.cariscompany.com
7 Centara Capital ** **
(NR) Securities Inc.
8880 Rio San Diego
Drive, Fourth Floor,
San Diego 92108
www.centaracapital.com
8 First Allied **
(NR) Securities Inc.
655 W. Broadway, 11th
Floor, San Diego 92101
www.firstallied.com
9 Crown Capital **
(15) Securities LP
9815 Carroll
Canyon Road, #204,
San Diego 92131
www.crowncapital
securites.com
10 H&R Block Financial ** **
(12) Advisors
12636 High Bluff Drive,
#250, San Diego 92130
www.hrblock.com
11 WFP Securities **
(11) 6020 Cornerstone
Court W., #240,
San Diego 92121
www.wfpsecurities.com
12 Securities Center Inc. **
(17) 245 E St., Chula
Vista 91910
www.securitiescenter.
com
13 Girard Securities Inc. **
(4) 9560 Waples Drive,
Suite B, San Diego 92122
www.girardsecurities.com
14 Nelson Securities Inc. **
(NR) 6540 Lusk Blvd., Suite
C162, San Diego 92121
www.nelson-securities.
com
15 Western Financial Corp. **
(20) 600 B St, #2204,
San Diego 92101
Services offered
Rank Company
(last Address Financial
year) Web site planning Underwriting
1 Merrill Lynch ** **
(2) 701 B Street, #2400,
San Diego 92101
www.ml.com
2 AIG Financial **
(3) Advisor Inc.
2800 North Central
Avenue, Phoenix 85004
www.aigfinancial
advisors.com
3 Independent Financial **
(8) Group LLC
12636 High Bluff
Drive, #100,
San Diego 92130
www.ifgsd.com
4 First Wall Street Corp.
(10) 1200 Prospect St.,
#350, La Jolla 92037
www.firstwall
streetcorp.com
5 Cuso Financial **
(7) Services LP
10455 Sorrento
Valley Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co. **
(13) 853 Camino Del Mar,
#100, Del Mar 92014
www.cariscompany.com
7 Centara Capital **
(NR) Securities Inc.
8880 Rio San Diego
Drive, Fourth Floor,
San Diego 92108
www.centaracapital.com
8 First Allied ** **
(NR) Securities Inc.
655 W. Broadway, 11th
Floor, San Diego 92101
www.firstallied.com
9 Crown Capital **
(15) Securities LP
9815 Carroll
Canyon Road, #204,
San Diego 92131
www.crowncapital
securites.com
10 H&R Block Financial ** **
(12) Advisors
12636 High Bluff Drive,
#250, San Diego 92130
www.hrblock.com
11 WFP Securities **
(11) 6020 Cornerstone
Court W., #240,
San Diego 92121
www.wfpsecurities.com
12 Securities Center Inc. **
(17) 245 E St., Chula
Vista 91910
www.securitiescenter.
com
13 Girard Securities Inc. ** **
(4) 9560 Waples Drive,
Suite B, San Diego 92122
www.girardsecurities.com
14 Nelson Securities Inc. **
(NR) 6540 Lusk Blvd., Suite
C162, San Diego 92121
www.nelson-securities.
com
15 Western Financial Corp. **
(20) 600 B St, #2204,
San Diego 92101
Services offered
Rank Company
(last Address General
year) Web site securities Other
1 Merrill Lynch ** **
(2) 701 B Street, #2400,
San Diego 92101
www.ml.com
2 AIG Financial ** **
(3) Advisor Inc.
2800 North Central
Avenue, Phoenix 85004
www.aigfinancial
advisors.com
3 Independent Financial ** **
(8) Group LLC
12636 High Bluff
Drive, #100,
San Diego 92130
www.ifgsd.com
4 First Wall Street Corp. ** **
(10) 1200 Prospect St.,
#350, La Jolla 92037
www.firstwall
streetcorp.com
5 Cuso Financial **
(7) Services LP
10455 Sorrento
Valley Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co. ** **
(13) 853 Camino Del Mar,
#100, Del Mar 92014
www.cariscompany.com
7 Centara Capital ** **
(NR) Securities Inc.
8880 Rio San Diego
Drive, Fourth Floor,
San Diego 92108
www.centaracapital.com
8 First Allied ** **
(NR) Securities Inc.
655 W. Broadway, 11th
Floor, San Diego 92101
www.firstallied.com
9 Crown Capital ** **
(15) Securities LP
9815 Carroll
Canyon Road, #204,
San Diego 92131
www.crowncapital
securites.com
10 H&R Block Financial ** **
(12) Advisors
12636 High Bluff Drive,
#250, San Diego 92130
www.hrblock.com
11 WFP Securities ** **
(11) 6020 Cornerstone
Court W., #240,
San Diego 92121
www.wfpsecurities.com
12 Securities Center Inc. **
(17) 245 E St., Chula
Vista 91910
www.securitiescenter.
com
13 Girard Securities Inc. ** **
(4) 9560 Waples Drive,
Suite B, San Diego 92122
www.girardsecurities.com
14 Nelson Securities Inc. ** **
(NR) 6540 Lusk Blvd., Suite
C162, San Diego 92121
www.nelson-securities.
com
15 Western Financial Corp. **
(20) 600 B St, #2204,
San Diego 92101
Rank Company * Local Year
(last Address executive established
year) Web site * Title locally
1 Merrill Lynch Joseph A.
(2) 701 B Street, #2400, Campano 1949
San Diego 92101 director
www.ml.com
2 AIG Financial Jim Cannon 1970
(3) Advisor Inc. CEO, president
2800 North Central
Avenue, Phoenix 85004
www.aigfinancial
advisors.com
3 Independent Financial Scott Heising
(8) Group LLC CFO, managing 2003
12636 High Bluff director
Drive, #100,
San Diego 92130
www.ifgsd.com
4 First Wall Street Corp. Charles
(10) 1200 Prospect St., Lazzaro 1982
#350, La Jolla 92037 president
www.firstwall
streetcorp.com
5 Cuso Financial Valorie
(7) Services LP Seyfert 1996
10455 Sorrento CEO
Valley Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co. Darren Caris
(13) 853 Camino Del Mar, CEO, chairman 2002
#100, Del Mar 92014
www.cariscompany.com
7 Centara Capital Eduardo
(NR) Securities Inc. Lombardi 2003
8880 Rio San Diego CEO
Drive, Fourth Floor,
San Diego 92108
www.centaracapital.com
8 First Allied na 1996
(NR) Securities Inc.
655 W. Broadway, 11th
Floor, San Diego 92101
www.firstallied.com
9 Crown Capital Gary Glockzin
(15) Securities LP branch manager 1999
9815 Carroll
Canyon Road, #204,
San Diego 92131
www.crowncapital
securites.com
10 H&R Block Financial Joseph DeFalco
(12) Advisors financial 1962
12636 High Bluff Drive, advisor
#250, San Diego 92130
www.hrblock.com
11 WFP Securities John Schooler
(11) 6020 Cornerstone president 1992
Court W., #240,
San Diego 92121
www.wfpsecurities.com
12 Securities Center Inc. James Biddle
(17) 245 E St., Chula CEO, president 1984
Vista 91910
www.securitiescenter.
com
13 Girard Securities Inc. Richard P.
(4) 9560 Waples Drive, Woltman 1986
Suite B, San Diego 92122 CEO
www.girardsecurities.com
14 Nelson Securities Inc. Robert O.
(NR) 6540 Lusk Blvd., Suite Nelson 1996
C162, San Diego 92121 senior vice
www.nelson-securities. president
com
15 Western Financial Corp. Howard 1971
(20) 600 B St, #2204, Levenson
San Diego 92101 CEO, chairman
wnd Would not disclose
na Not available
NA Not applicable
(NR) Not ranked
Sources: The firms.
Notes: TD Ameritrade, No. 1 on last year's list; Farmers Financial
Solutions LLC, No. 6 last year; Edward Jones, No. 9 last year;
Torrey Pines Securities Inc., No. 14 last year; Brookstreet
Securities Corp., No. 16 last year; Concord Equity Group, No. 18
last year; and National Portfolio Network Inc., No., 19 last year,
did not return surveys for this year's list. A.G. Edwards & Sons,
No. 5 on last year's list, declined participation in this year's
list.
It is not the intent of this list to endorse the participants nor
to imply a firm's size or numerical rank indicates its quality.
COPYRIGHT 2007 CBJ, L.P.
COPYRIGHT 2008 Gale, Cengage Learning
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