Business Services Industry
Investment brokerage firms: ranked by number of local registered brokers as of Dec. 1, 2006
San Diego Business Journal, Dec 31, 2007 by Jaimy Lee
INVESTMENT BROKERAGE FIRMS
Ranked by number of local registered brokers as of Dec. 1, 2006
Number of:
* local
registered
Rank Company Telephone brokers
(last Address Fax 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 Advisor Inc. (602) 744-3000 72
(3) 2800 N. Central Ave., (602) 744-3166 3
Phoenix 85004 (800) 522-3319
www.aigfinancialadvisors.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.
(10) 1200 Prospect St., #350, (858) 454-3551 558
La Jolla 92037 8
www.firstwallstreetcorp.com
5 Cuso Financial Services LP (858) 530-4400 50
(7) 10455 Sorrento Valley (B58) 530-1929 98
Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co. (858) 704-0300 21
(13) 853 Camino Del Mar, #100, (858) 704-0320 21
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 Securities Inc. (619) 702-9600 18
(NR) 655 W. Broadway, 11th Floor, (619) 881-1935 153
San Diego 92101 (800) 499-5489
www.firstallied.com
9 Crown Capital Securities LP (858) 549-9842 15
(15) 9815 Carroll Canyon (858) 549-9842 2
Road, #204, (866) 374-5025
San Diego 92131
www.crowncapitalsecurities.com
10 H&R Block Financial Advisors (858) 259-3002 15
(12) 12636 High Bluff Drive, #250, (858) 259-3094 18
San Diego 92130 (800) 208-9400
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 Vista 91910 (619) 426-3623 3
www.securitiescenter.com (800) 244-1718
13 Girard Securities Inc. 6
(40 9560 Waples Drive, Suite B, (858) 622-2140 150
San Diego 92122
www.giradsecurities.com
14 Nelson Securities Inc. (858) 362-3200 5
(NR) 6540 Lusk Blvd., Suite C162, (858) 362-3203 7
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 Advisor Inc. 1,981 25
(3) 2800 N. Central Ave., 50 871
Phoenix 85004
www.aigfinancialadvisors.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., #350, 50 60
La Jolla 92037
www.firstwallstreetcorp.com
5 Cuso Financial Services LP 389 24
(7) 10455 Sorrento Valley 50 316
Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co. 58 1
(13) 853 Camino Del Mar, #100, 50 4
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 Securities Inc. 528 9
(NR) 655 W. Broadway, 11th Floor, 50 330
San Diego 92101
www.firstallied.com
9 Crown Capital Securities LP 320 4
(15) 9815 Carroll Canyon 50 98
Road, #204,
San Diego 92131
www.crowncapitalsecurities.com
10 H&R Block Financial Advisors 1,000 1
(12) 12636 High Bluff Drive, #250, 50 220
San Diego 92130
www.hrblock.com
11 WFP Securities 40 2
(11) 6020 Cornerstone 18 3
Court W., #240,
San Diego 92121
www.wfsecurities.com
12 Securities Center Inc. 8 3
(17) 245 E St., Chula Vista 91910 18 3
www.securitiescenter.com
13 Girard Securities Inc. 150 10
(40 9560 Waples Drive, Suite B, 50 70
San Diego 92122
www.giradsecurities.com
14 Nelson Securities Inc. 12 1
(NR) 6540 Lusk Blvd., Suite C162, 49 3
San Diego 92121
www.nelson-securities.com
15 Western Financial Corp. 4 1
(20) 600 B St., #2204, 50 1
San Diego 92101
Rank Company
(last Address
year) Web site
1 Merrill Lynch na na na na
(2) 701 B Street, #2400,
San Diego 92101
www.ml.com
2 AIG Financial Advisor Inc. 5 3 34 28
(3) 2800 N. Central Ave.,
Phoenix 85004
www.aigfinancialadvisors.com
3 Independent Financial 6 1 20 30
(8) Group LLC
12636 High Bluff
Drive, #100,
San Diego 92130
www.ifgsd.com
4 First Wall Street Corp. 20 2 5 50
(10) 1200 Prospect St., #350,
La Jolla 92037
www.firstwallstreetcorp.com
5 Cuso Financial Services LP 3 1 45 38
(7) 10455 Sorrento Valley
Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co. 100 0 0 0
(13) 853 Camino Del Mar, #100,
Del Mar 92014
www.cariscompany.com
7 Centara Capital 10 50 5 30
(NR) Securities Inc.
8880 Rio San Diego
Drive, Fourth Floor,
San Diego 92108
www.Centaracapital.com
8 First Allied Securities Inc. 37 10 16 19
(NR) 655 W. Broadway, 11th Floor,
San Diego 92101
www.firstallied.com
9 Crown Capital Securities LP 5 5 35 15
(15) 9815 Carroll Canyon
Road, #204,
San Diego 92131
www.crowncapitalsecurities.com
10 H&R Block Financial Advisors 40 10 20 30
(12) 12636 High Bluff Drive, #250,
San Diego 92130
www.hrblock.com
11 WFP Securities 20 1 4 20
(11) 6020 Cornerstone
Court W., #240,
San Diego 92121
www.wfsecurities.com
12 Securities Center Inc. 77 0 3 20
(17) 245 E St., Chula Vista 91910
www.securitiescenter.com
13 Girard Securities Inc. 15 0 25 40
(40 9560 Waples Drive, Suite B,
San Diego 92122
www.giradsecurities.com
14 Nelson Securities Inc. 10 0 20 30
(NR) 6540 Lusk Blvd., Suite C162,
San Diego 92121
www.nelson-securities.com
15 Western Financial Corp. 90 0 0 10
(20) 600 B St., #2204,
San Diego 92101
Rank Company
(last Address
year) Web site
1 Merrill Lynch na na *
(2) 701 B Street, #2400,
San Diego 92101
www.ml.com
2 AIG Financial Advisor Inc. 4 26 *
(3) 2800 N. Central Ave.,
Phoenix 85004
www.aigfinancialadvisors.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.
(10) 1200 Prospect St., #350, 0 23 *
La Jolla 92037
www.firstwallstreetcorp.com
5 Cuso Financial Services LP 0 13 *
(7) 10455 Sorrento Valley
Road, #210,
San Diego 92121
www.cusonet.com
6 Caris & Co. 0 0
(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 Securities Inc. 8 10 *
(NR) 655 W. Broadway, 11th Floor,
San Diego 92101
www.firstallied.com
9 Crown Capital Securities LP 15 25 *
(15) 9815 Carroll Canyon
Road, #204,
San Diego 92131
www.crowncapitalsecurities.com
10 H&R Block Financial Advisors 0 0 * *
(12) 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.wfsecurities.com
12 Securities Center Inc. 0 0 *
(17) 245 E St., Chula Vista 91910
www.securitiescenter.com
13 Girard Securities Inc. 0 20 *
(40 9560 Waples Drive, Suite B,
San Diego 92122
www.giradsecurities.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
Rank Company
(last Address
year) Web site
1 Merrill Lynch * * * *
(2) 701 B Street, #2400,
San Diego 92101
www.ml.com
2 AIG Financial Advisor Inc. * * *
(3) 2800 N. Central Ave.,
Phoenix 85004
www.aigfinancialadvisors.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.firstwallstreetcorp.com
5 Cuso Financial Services LP * *
(7) 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 Securities Inc. * * *
(NR) 655 W. Broadway, 11th Floor,
San Diego 92101
www.firstallied.com
9 Crown Capital Securities LP * * *
(15) 9815 Carroll Canyon Road, #204,
San Diego 92131
www.crowncapitalsecurities.com
10 H&R Block Financial Advisors * * * *
(12) 12636 High Bluff Drive, #250,
San Diego 92130
www.hrblock.com
11 WFP Securities * * *
(11) 6020 Cornerstone
Court W., #240,
San Diego 92121
www.wfsecurities.com
12 Securities Center Inc. * * * *
(17) 245 E St., Chula Vista 91910
www.securitiescenter.com
13 Girard Securities Inc. * * * *
(40 9560 Waples Drive, Suite B,
San Diego 92122
www.giradsecurities.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. 1949
(2) 701 B Street, #2400, Campano
San Diego 92101 director
www.ml.com
2 AIG Financial Advisor Inc. Jim Cannon 1970
(3) 2800 N. Central Ave., CEO,
Phoenix 85004 president
www.aigfinancialadvisors.com
3 Independent Financial Scott Heising 2003
(8) Group LLC CFO and
12636 High Bluff managing
Drive, #100, director
San Diego 92130
www.ifgsd.com
4 First Wall Street Corp. Charles
(10) 1200 Prospect St., #350, Lazzaro 1882
La Jolla 92037 president
www.firstwallstreetcorp.com
5 Cuso Financial Services LP Valorie 1996
(7) 10455 Sorrento Valley Seyfert
Road, #210, CEO
San Diego 92121
www.cusonet.com
6 Caris & Co. Darren Caris 2002
(13) 853 Camino Del Mar, #100, CEO,
Del Mar 92014 chairman
www.cariscompany.com
7 Centara Capital Eduardo 2003
(NR) Securities Inc. Lombardi
8880 Rio San Diego CEO
Drive, Fourth Floor,
San Diego 92108
www.Centaracapital.com
8 First Allied Securities Inc. na 1996
(NR) 655 W. Broadway, 11th Floor,
San Diego 92101
www.firstallied.com
9 Crown Capital Securities LP Gary Glockzin 1999
(15) 9815 Carroll Canyon branch
Road, #204, manager
San Diego 92131
www.crowncapitalsecurities.com
10 H&R Block Financial Advisors Joseph DeFalco 1962
(12) 12636 High Bluff Drive, #250, financial
San Diego 92130 advisor
www.hrblock.com
11 WFP Securities John Schooler 1992
(11) 6020 Cornerstone president
Court W., #240,
San Diego 92121
www.wfpsecurities.com
12 Securities Center Inc. James Biddle 1984
(17) 245 E St., Chula Vista 91910 CEO,
www.securitiescenter.com president
13 Girard Securities Inc. Richard P. 1986
(40 9560 Waples Drive, Suite B, Woltman
San Diego 92122 CEO
www.girardsecurites.com
14 Nelson Securities Inc. Robert O. 1996
(NR) 6540 Lusk Blvd., Suite C162, Nelson
San Diego 92121 senior vice
www.nelson-securities.com president
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
Source: The firms.
Note: TD Ameritrade, No. 1 on last year's list; 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. Sorrento Pacific Financial LLC, No. 21 on last year's list,
returned a survey but did not qualify for 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.
Research by Jaimy Lee
COPYRIGHT 2007 CBJ, L.P.
COPYRIGHT 2008 Gale, Cengage Learning
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