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Broker/dealer resource guide 2007

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Advantage Capital Corp.
Atlanta, Ga.
800-235-2237
www.joinacc.com
Years in business: 60
Number of producers: 252
% of producers w/CFP designation: NA
Total assets managed by producers: $534 million
Avg. gross per producer: $131,544
Min. production level required: $150,000
Clearing firm: Pershing
Parent corp: American International Group
Recruiting contact: Tim O'Rourke
Recruiting number: 800-235-2237
Recruiting e-mail: torourke@fscorp.com

AIG Financial Advisors Inc.
Phoenix, Ariz.
866-GO-AIGFA
www.aigfa.com
Years in business: 37
Number of producers: 1,798
% of producers w/CFP designation: NA
Total assets managed by producers: $7.87 billion
Avg. gross per producer: $166,727
Min. production level required: $250,000
Clearing firm: Pershing
Parent corp: American International Group
Recruiting contact: Chris Radford
Recruiting number: 866-GO-AIGFA
Recruiting e-mail: cradford@aigfa.com

American General Securities Inc.
Houston, Texas
800-247-4669
www.agsecurities.com
Years in business: 23
Number of producers: 1,179
% of producers w/CFP designation: NA
Total assets managed by producers: $540 million
Avg. gross per producer: $87,087
Min. production level required: $25,000
Clearing firm: Pershing
Parent corp: American International Group
Recruiting contact: James B. Brown
Recruiting number: 800-247-4669
Recruiting e-mail: jim_brown@aigag.com

Berthel Fisher & Co.
Financial Services Inc.
Marion, Iowa
800-356-5234
www.berthel.com
Years in business: 22
Number of producers: 302
% of producers w/CFP designation: 3
Total assets managed by producers: $2.17 billion
Avg. gross per producer: $156,050
Min. production level required: $25,000
Clearing firm: First Clearing,
National Financial, Pershing
Parent corp: None
Recruiting contact: Jeff Auld
Recruiting number: 800-356-5234
Recruiting e-mail: jauld@berthel.com

Brecek & Young Advisors Inc.
Folsom, Calif.
888-777-1992
www.brecek.com
Years in business: 15
Number of producers: 300
% of producers w/CFP designation: 6
Total assets managed by producers: $5 billion
Avg. gross per producer: $125,000
Min. production level required: $100,000
Clearing firm: National Financial Services
Parent corp: Security Benefit
Recruiting contact: Roland Brecek
Recruiting number: 888-777-1992
Recruiting e-mail: roland@brecek.com


Cadaret, Grant & Co. Inc.
Syracuse, N.Y.
800-288-8601
www.cadaretgrant.com
Years in business: 22
Number of producers: 777
% of producers w/CFP designation: 14
Total assets managed by producers: NA
Avg. gross per producer: $141,000
Min. production level required: $125,000 (for branches)
Clearing firm: Pershing, Self-clearing
Parent corp: None
Recruiting contact: Peter Grifo
Recruiting number: 800-288-8601
Recruiting e-mail: pgrifo@cadaretgrant.com

Cambridge Investment Research Inc.
Fairfield, Iowa
800-777-6080
www.joincir.com
Years in business: 26
Number of producers: 1,014
% of producers w/CFP designation: 32
Total assets managed by producers: $24.79 billion
Avg. gross per producer: $189,000
Min. production level required: $125,000
Clearing firm: Pershing, National Financial Services
Parent corp: None
Recruiting contact: Steve O'Neill
Recruiting number: 800-777-6080
Recruiting e-mail: steve.oneill@cir2.com


Centaurus Financial Inc.
Orange, Calif.
800-880-4234
www.centaurusfinancial.com
Years in business: 15
Number of producers: 585
% of producers w/CFP designation: 20
Total assets managed by producers: $601 million
Avg. gross per producer: $115,000
Min. production level required: $50,000
Clearing firm: Pershing
Parent corp: Federation of Financial Services
Recruiting contact: Kathy Swindell
Recruiting number: 800-880-4234
Recruiting e-mail: kswindell@cfiemail.com

Commonwealth Financial Network
Waltham, Mass.
866-462-3638
www.commonwealth.com
Years in business: 28
Number of producers: 1,110
% of producers w/CFP designation: 38
Total assets managed by producers: $42.3 billion
Avg. gross per producer: $305,000
Min. production level required: $200,000
Clearing firm: National Financial Services
Parent corp: None
Recruiting contact: Janice Hart/Andrew Daniels
Recruiting number: 866-462-3638
Recruiting e-mail: jhart@commonwealth.com
adaniels@commonwealth.com


Correll Co. Investment Services Corp.
Hickory hills, Ill.
708-599-2900, ext 1716
www.cciscinvestments.com
Years in business: 22
Number of producers: 8
% of producers w/CFP designation: NA
Total assets managed by producers: NA
Avg. gross per producer: $65,000
Min. production level required: $20,000
Clearing firm: Southwest Securities Inc.
Parent corp: None
Recruiting contact: M. Nicole Correll
Recruiting number: 708-599-2900, ext 1716
Recruiting e-mail: ncorrell@correllco.com


Eagle One Investments LLC
Washington, Iowa
319-653-9001
www.joineagleone.com
Years in business: 9
Number of producers: 63
% of producers w/CFP designation: 5
Total assets managed by producers: $1.3 billion
Avg. gross per producer: $175,000
Min. production level required: None
Clearing firm: Mesirow
Parent corp: None
Recruiting contact: Steve Svoboda
Recruiting number: 319-653-9001
Recruiting e-mail:
ssvoboda@eagleoneinvestments.com


Ensemble Financial Services Inc.
Pittsford, N.Y.
585-419-1010
www.ensemblefs.com
Years in business: 22
Number of producers: 93
% of producers w/CFP designation: 28
Total assets managed by producers: $1.8 billion
Avg. gross per producer: $128,000
Min. production level required: $100,000
Clearing firm: National Financial Services
Parent corp: Tompkins Trustco
Recruiting contact: Stephen Wershing
Recruiting number: 585-419-8358
Recruiting e-mail: swershing@ensemblefs.com

ExPrSS Securities Inc.
Russellville, Ark.
800-951-1708
www.exprss.com
Years in business: 14
Number of producers: 23
% of producers w/CFP designation: NA
Total assets managed by producers: $65 million
Avg. gross per producer: $155,000
Min. production level required: $10,000
Clearing firm: Southwest Securities Inc.
Parent corp: None
Recruiting contact: John Terry
Recruiting number: 800-951-1708
Recruiting e-mail: john.terry@exprss.com

Financial Network Investment Corp., an ING company
El Segundo, Calif.
800-879-8100
www.financialnetwork.com
Years in business: 24
Number of producers: 2,400
% of producers w/CFP designation: NA
Total assets managed by producers: $46.7 billion
Avg. gross per producer: $129,400
Min. production level required: None
Clearing firm: Pershing
Parent corp: ING Group
Recruiting contact: Cheryl A. Chiara
Recruiting number: 310-257-7765
Recruiting e-mail: chiarac@financialnetwork.com

FFP Securtities Inc., an Advanced Equities Co.
Chesterfield, Mo.
800-925-3371
www.ffp1.com
Years in business: 24
Number of producers: 320
% of producers w/CFP designation: 17
Total assets managed by producers: $3.5 billion
Avg. gross per producer: $190,200
Min. production level required: $75,000
Clearing firm: Pershing
Parent corp: Advanced Equities
Recruiting contact: Debbie Bass
Recruiting number: 800-925-3371, ext 245
Recruiting e-mail: debbie_bass@mail.ffp1.com

First Allied Securities Inc.
San Diego, Calif.
619-702-9600
www.firstallied.com
Years in business: 13
Number of producers: 528
% of producers w/CFP designation: 10
Total assets managed by producers: $15 billion
Avg. gross per producer: $292,000
Min. production level required: $150,000
Clearing firm: Bear Stearns, Pershing, Wells Fargo
Parent corp: Advanced Equities Financial Corp.
Recruiting contact: Stacy Dye
Recruiting number: 800-336-8842
Recruiting e-mail: recruiting@firstallied.com

First Midwest Securities Inc.
Bloomington, Ill.
309-820-7444
www.firstmidwestsecurities.com
Years in business: 18
Number of producers: 100
% of producers w/CFP designation: 5
Total assets managed by producers: $1.5 billion
Avg. gross per producer: $160,000
Min. production level required: $100,000
Clearing firm: Pershing, Legent
Parent corp: None
Recruiting contact: Terry Buffalo
Recruiting number: 800-662-8452
Recruiting e-mail: tbuffalo@firstmidwestsecurities.com

FSC Securities Corp.
Atlanta, Ga.
800-547-2382
www.joinfsc.com
Years in business: 48
Number of producers: 1,273
% of producers w/CFP designation: NA
Total assets managed by producers: $9.86 billion
Avg. gross per producer: $215,753
Min. production level required: $150,000
Clearing firm: Pershing
Parent corp: American International Group
Recruiting contact: Tim O'Rourke
Recruiting number: 800-547-2382
Recruiting e-mail: torourke@fscorp.com

Geneos Wealth Management Inc.
Denver, Colo.
303-785-8470
www.geneoswealth.com
Years in business: 5
Number of producers: 240
% of producers w/CFP designation: 45
Total assets managed by producers: $1.2 billion
Avg. gross per producer: $200,000
Min. production level required: $100,000
Clearing firm: Pershing, National Financial Services
Parent corp: GWM Holdings Inc.
Recruiting contact: Ryan Diachok
Recruiting number: 303-785-8470 ext 115
Recruiting e-mail: rwdiachok@geneoswealthcom

Genworth Financial Securities Corp.
Schaumburg, Ill.
888-528-2987
www.genworthfinancialsecurities.com
Years in business: 26
Number of producers: 2,223
% of producers w/CFP designation: 12
Total assets managed by producers: $16.3 billion
Avg. gross per producer: $44,000
Min. production level required: None
Clearing firm: Pershing
Parent corp: Genworth Financial Inc.
Recruiting contact: Mike Gandet
Recruiting number: 203-708-3383
Recruiting e-mail: michael.gandet@genworth.com

Great American Advisors Inc.
Cincinnati, Ohio
513-333-6030
www.gaadvisors.com
Years in business: 14
Number of producers: 645
% of producers w/CFP designation: NA
Total assets managed by producers: $5.3 billion
Avg. gross per producer: $50,859
Min. production level required: None
Clearing firm: Pershing
Parent corp: Great American Financial Resources
Recruiting contact: Jim McVey
Recruiting number: 513-412-1493
Recruiting e-mail: jmcvey@gaadvisors.com

GunnAllen Financial
Tampa, Fla.
800-713-4046
www.gunnallen.com
Years in business: 21
Number of producers: 783
% of producers w/CFP designation: 20
Total assets managed by producers: $5.6 billion
Avg. gross per producer: $135,000
Min. production level required: $150,000
Clearing firm: Pershing
Parent corp: GunnAllen Holdings Inc.
Recruiting contact: Brad Fay
Recruiting number: 877-374-6426
Recruiting e-mail: bfay@gunnallen.com

Habour Investments
Madison, Wis.
888-855-6960
www.harbourinv.com
Years in business: 20
Number of producers: 187
% of producers w/CFP designation: 23
Total assets managed by producers: $2.55 billion
Avg. gross per producer: $130,000
Min. production level required: $45,000
Clearing firm: Pershing, Wedbush Morgan
Parent corp: None
Recruiting contact: Douglas Holmes
Recruiting number: 888-855-6960, ext 3003
Recruiting e-mail: dholmes@harbourinv.com

H.D. Vest Financial Services
Irving, Texas
800-742-7950
www.hdvest.com
Years in business: 24
Number of producers: 3,740
% of producers w/CFP designation: 20
Total assets managed by producers: $27 billion
Avg. gross per producer: $38,000
Min. production level required: None
Clearing firm: Wells Fargo Investments
Parent corp: Wells Fargo
Recruiting contact: Luann Colosimo
Recruiting number: 800-742-7950
Recruiting e-mail: newbusiness@hdvest.com

ING Financial Partners
Des Moines, Iowa
800-356-2906
www.ingfinancialpartners.com
Years in business: 39
Number of producers: 2,190
% of producers w/CFP designation: NA
Total assets managed by producers: $20 billion
Avg. gross per producer: $93,000
Min. production level required: $20,000
Clearing firm: Pershing
Parent corp: ING Group
Recruiting contact: Bonnie Reed
Recruiting number: 515-698-6705
Recruiting e-mail: bonnie.reed@us.ing.com.com

INVEST Financial Corp.
Tampa, Fla.
800-245-4732
www.investfinancial.com
Years in business: 25
Number of producers: 1,670
% of producers w/CFP designation: NA
Total assets managed by producers: $7.86 billion
Avg. gross per producer: $93,952
Min. production level required: None (Reps) 150,000 (OSJ)
Clearing firm: Pershing, National Financial Services
Parent corp: Prudential plc UK
Recruiting contact: Business Development Team
Recruiting number: 800-245-4732
Recruiting e-mail: recruiting@investfinancial.com

Investment Centers of America Inc.
Bismarck, N.D.
303-224-7546
www.joinica.com
Years in business: 22
Number of producers: 314
% of producers w/CFP designation: 17
Total assets managed by producers: $2.81 billion
Avg. gross per producer: $187,205
Min. production level required: None
Clearing firm: Pershing
Parent corp: Prudential plc UK
Recruiting contact: David Ernst
Recruiting number: 800-711-7392
Recruiting e-mail: david.ernst@invetmentcenter.com

Investors Capital Corp.
Lynnfield, Mass.
781-477-4814
www.investorscapital.com
Years in business: 15
Number of producers: 706
% of producers w/CFP designation: 13
Total assets managed by producers: $6.5 billion
Avg. gross per producer: $118,000
Min. production level required: $50,000
Clearing firm: Pershing
Parent corp: Investors Capital Holdings
Recruiting contact: Andy Effron
Recruiting number: 781-477-4806
Recruiting e-mail: aeffron@investorscapital.com

LPL Financial Services
San Diego, Calif.
858-450-9606
www.joinlpl.com
Years in business: 39
Number of producers: 8,105
% of producers w/CFP designation: NA
Total assets managed by producers: $160 billion
Avg. gross per producer: $282,300
Min. production level required: $125,000
Clearing firm: Pershing, Self-clearing
Parent corp: None
Recruiting contact: Lindsay Enyedi
Recruiting number: 888-250-2412
Recruiting e-mail: lindsay.enyedi@lpl.com

Multi-Financial Securities Corp., an ING company
Denver, Colo.
800-929-3485
www.multifinancial.com
Years in business: 26
Number of producers: 880
% of producers w/CFP designation: 7
Total assets managed by producers: $17 billion
Avg. gross per producer: $161,000
Min. production level required: None
Clearing firm: Pershing
Parent corp: ING Group
Recruiting contact: Kurt Paluszcyk
Recruiting number: 800-929-3485, ext 4602374
Recruiting e-mail: kurt.paluszcyk@us.ing.com

NFP Securities Inc.
Austin, Texas
512-697-6000
www.nfp.com
Years in business: 10
Number of producers: 1,191
% of producers w/CFP designation: NA
Total assets managed by producers: $7 billion
Avg. gross per producer: $289,582
Min. production level required: $75,000
Clearing firm: Pershing, National Financial Services
Parent corp: National Financial Partners Corp.
Recruiting contact: Tom Arcieri
Recruiting number: 212-301-4031
Recruiting e-mail: tarcieri@nfp.com

National Planning Corp.
Santa Monica, Calif.
800-881-7174
www.natplan.com
Years in business: 9
Number of producers: 1,205
% of producers w/CFP designation: NA
Total assets managed by producers: $3.02 billion
Avg. gross per producer: $152,000
Min. production level required: $250,000
Clearing firm: Pershing
Parent corp: Prudential plc UK
Recruiting contact: Kory Kinder
Recruiting number: 800-881-7174
Recruiting e-mail: kory.kinder@natplan.com

Pacific West Financial Group
Renton, Wash.
425-271-3550
www.pwfinancial.com
Years in business: 35
Number of producers: 315
% of producers w/CFP designation: 22
Total assets managed by producers:
$810 million (advisory)
Avg. gross per producer: $164,000
Min. production level required: $50,000
Clearing firm: Pershing, Wedbush Morgan
Parent corp: None
Recruiting contact: Karalyn Carlton
Recruiting number: 888-236-7979
Recruiting e-mail: karalyncarlton@pwfinancial.com

PlanMember Securities
Carpinteria, Calif.
800-874-6910, ext 2209
www.joinplanmember.com
Years in business: 25
Number of producers: 385
% of producers w/CFP designation: 8
Total assets managed by producers: $1.13 billion
Avg. gross per producer: $80,850
Min. production level required: $25,000
Clearing firm: Pershing
Parent corp: PlanMember Financial Corp.
Recruiting contact: Kevin Twohy
Recruiting number: 800-874-6910, ext 2209
Recruiting e-mail: ktwohy@planmember.com

PRIMEVEST Financial Services Inc., an ING company
St. Cloud, Minn.
800-245-0467
www.primevest.com
Years in business: 23
Number of producers: 1,870
% of producers w/CFP designation: NA
Total assets managed by producers: $19 billion
Avg. gross per producer: $218,000
(includes only dedicated reps)
Min. production level required: None
Clearing firm: Self-clearing
Parent corp: ING Group
Recruiting contact: Sean Casey
Recruiting number: 800-245-0467, ext 64005
Recruiting e-mail: sean.casey@primevest.net

Princor Financial Services Corp.
Des Moines, Iowa
515-248-3282
www.princor.com
Years in business: 39
Number of producers: 2,200
% of producers w/CFP designation: NA
Total assets managed by producers: $2 billion
Avg. gross per producer: $105,000
Min. production level required: $12,000 (Net)
Clearing firm: Pershing
Parent corp: Principal Financial Group
Recruiting contact: Julie LeClere
Recruiting number: 515-235-5308
Recruiting e-mail: leclere.julie@principal.com

ProEquities Inc.
Birmingham, ALA.
205-268-3359
www.proequities.com
Years in business: 23
Number of producers: 850
% of producers w/CFP designation: NA
Total assets managed by producers: $1.7 billion
Avg. gross per producer: $93,000
Min. production level required: $20,000
Clearing firm: Pershing
Parent corp: Protective Life Insurance Co.
Recruiting contact: Allen Porter/Taylor Lovell
Recruiting number: 205-268-3359/205-268-5109
Recruiting e-mail: allen.porter@proequities.com
taylor.lovell@proequites.com

Raymond James Financial Services Inc.
St. Petersburg, Fla.
800-998-7537
www.advisorchoice.com
Years in business: 34
Number of producers: 3,130
% of producers w/CFP designation: 24
Total assets managed by producers: $125 billion
Avg. gross per producer: $297,829
Min. production level required: $250,000
Clearing firm: Raymond James & Associates
Parent corp: Raymond James Financial
Recruiting contact: Bill Van Law
Recruiting number: 800-648-2885
Recruiting e-mail: bill.vanlaw@raymondjames.com

Royal Alliance Associates Inc.
New York, N.Y.
866-849-7673
www.royalalliance.com
Years in business: 18
Number of producers: 1,889
% of producers w/CFP designation: NA
Total assets managed by producers: $13.69 billion
Avg. gross per producer: $216,035
Min. production level required: None
Clearing firm: Pershing, National Financial Services
Parent corp: American International Group
Recruiting contact: Gary N. Bender
Recruiting number: 866-849-7673
Recruiting e-mail: gbender@aigroyalalliance.com

Sammons Securities Co.
Ann Arbor, Mich.
866-520-6869
www.sammonssecurities.com
Years in business: 6
Number of producers: 607
% of producers w/CFP designation: NA
Total assets managed by producers: $790 million
Avg. gross per producer: $59,733
Min. production level required: $20,000
Clearing firm: First Clearing Correspondent Services
Parent corp: Sammons Financial Group
Recruiting contact: Lisa S. Hoyne
Recruiting number: 952-835-7055
Recruiting e-mail: lhoyne@mnlife.com

Securian Financial
St. Paul, Minn.
888-237-1838
www.securianfinancial.com
Years in business: 23
Number of producers: 1,059
% of producers w/CFP designation: 13
Total assets managed by producers: $9.61 billion
Avg. gross per producer: $71,250
Min. production level required: NA
Clearing firm: Pershing
Parent corp: Securian Financial Group
Recruiting contact: Jessica Madigan
Recruiting number: 651-665-6140
Recruiting e-mail: jessica.madigan@securian.com

Securities America Inc.
Omaha, Neb.
800-989-8441
www.securitiesamerica.com
Years in business: 23
Number of producers: 1,744
% of producers w/CFP designation: 28
Total assets managed by producers: $12.4 billion
Avg. gross per producer: $219,098
Min. production level required: $150,000
Clearing firm: Pershing, National Financial Services
Parent corp: Ameriprise Financial
Recruiting contact: Gregg Johnson
Recruiting number: 800-989-8441
Recruiting e-mail: branchofficedevelopment@saionline.com

SII Investments Inc.
Appleton, Wis.
877-342-5744
www.siionline.com
Years in business: 39
Number of producers: 515
% of producers w/CFP designation: 5
Total assets managed by producers: $2.86 billion
Avg. gross per producer: $197,551
Min. production level required: $75,000
Clearing firm: Pershing
Parent corp: Prudential plc UK
Recruiting contact: Mike Kitzman
Recruiting number: 800-426-5975
Recruiting e-mail: mike.kitzman@jnli.com

Sterne Agee Financial Services Inc.
Birmingham, Ala.
800-292-2411
www.discoversal.com
Years in business: 106
Number of producers: 130
% of producers w/CFP designation: 10
Total assets managed by producers: $2.2 billion
Avg. gross per producer: $153,000
Min. production level required: $150,000
Clearing firm: Self-clearing
Parent corp: Sterne, Agee and Leach Inc.
Recruiting contact: Scott A. Montes
Recruiting number: 877-717-8625
Recruiting e-mail: smontes@sterneagee.com

Summit Brokerage Services Inc.
Boca Raton, FL.
800-354-5528
www.joinsummit.com
Years in business: 15
Number of producers: 205
% of producers w/CFP designation: 8.3%
Total assets managed by producers: $4 billion
Avg. gross per producer: $210,000
Min. production level required: $150,000
Clearing firm: First Clearing and Pershing
Parent corp: Summit Financial Services Group Inc.
Recruiting contact: Michael Costantini
Recruiting number: 866-591-6570
Recruiting e-mail: mcostantini@summitbrokerage.com

Triad Advisors Inc.
Atlanta, Ga.
800-720-4003
www.triad-advisors.com
Years in business: 18
Number of producers: 320
% of producers w/CFP designation: 27
Total assets managed by producers: $6.5 billion
Avg. gross per producer: $105,600
Min. production level required: $100,000
Clearing firm: Pershing, National Financial Services
Parent corp: None
Recruiting contact: Nathan Stibbs
Recruiting number: 800-720-4003
Recruiting e-mail: nate@triad-advisors.com

United Planners' Financial Services
Scottsdale, Ariz.
800-966-8737
www.unitedplanners.com
Years in business: 20
Number of producers: 295
% of producers w/CFP designation: 73
Total assets managed by producers: NA
Avg. gross per producer: $115,000
Min. production level required: $75,000
Clearing firm: Pershing
Parent corp: None
Recruiting contact: Sheila Cuffari
Recruiting number: 800-966-8737
Recruiting e-mail: sjcuffari@unitedplanners.com

Woodbury Financial Services
Woodbury, Minn.
800-800-2000
www.woodburyfinancial.com
Years in business: 97
Number of producers: 1,900
% of producers w/CFP designation: NA
Total assets managed by producers: $17.9 billion
Avg. gross per producer: $131,000
Min. production level required: $30,000
Clearing firm: Pershing
Parent corp: The Hartford
Recruiting contact: Leon Monroe
Recruiting number: 651-734-2108
Recruiting e-mail:
leon.monroe@woodburyfinancial.com

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