RESOURCE DiRECTORY - Financial Planning
RESOURCE DiRECTORY - Financial Planning
RESOURCE DiRECTORY - Financial Planning
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securiAn FinAnciAl services<br />
400 Rober St. N., St. Paul, Minn. 55101<br />
Phone (888) 237-1838<br />
Website securianfinancial.com<br />
Year founded 1984<br />
ceO George Connolly<br />
recruiting executive Robert Subjects<br />
clearing firm Pershing<br />
Parent co. Securian <strong>Financial</strong> Group<br />
With a commitment to personal<br />
service, Sigma <strong>Financial</strong> Corporation<br />
partners with financial advisors<br />
looking to grow their practices in<br />
a professional and ethical manner.<br />
We provide comprehensive financial<br />
planning tools, products, and services<br />
which allow our representatives<br />
to help Middle American Investors<br />
achieve financial success.<br />
STATS<br />
Number of repS 621<br />
AverAge pAyouT 80-90%<br />
CleAriNg firm National <strong>Financial</strong><br />
Services, LLC<br />
e&o CoverAge $199/mo<br />
yeAr fouNded 1983<br />
Member FINRA/SIPC<br />
Ceo/preSideNT Jerry Rydell<br />
reCruiTiNg Jennifer Bacarella<br />
exeCuTive<br />
CoNTACT<br />
Eric Millican,<br />
Firm Development Coordinator<br />
4261 Park Road<br />
Ann Arbor, MI 48103<br />
888-744-6264<br />
Fax: 734-205-3547<br />
www.sigmafinancial.com<br />
securities AmericA<br />
12325 Port Grace Blvd., La Vista, Neb. 68128<br />
Phone (800) 747-6111<br />
Website joinsai.com<br />
Year founded 1984<br />
ceO/president Jim D. Nagengast<br />
recruiting executive Gregg H.Johnson<br />
clearing firms National <strong>Financial</strong>, Pershing<br />
Parent co. Ladenburg Thalmann<br />
<strong>Financial</strong> Services<br />
securities service netWOrk<br />
9729 Cogdill Road, Suite 301, Knoxville, Tenn. 37932<br />
Phone (866) 218-7908<br />
Website joinSSN.com<br />
Year founded 1983<br />
ceO/president Wade S. Wilkinson<br />
recruiting executive Michael Neubeck<br />
clearing firms National <strong>Financial</strong>, Pershing<br />
siGmA FinAnciAl<br />
4261 Park Road, Ann Arbor, Mich. 48103<br />
Phone (888) 744-6264<br />
Website sigmafinancial.com<br />
Year founded 1983<br />
ceO/president Jerome S. Rydell<br />
recruiting executive Jennifer Bacarella<br />
clearing firm National <strong>Financial</strong><br />
sii investments<br />
5555 Grande Market Drive, Appleton, Wis. 54913<br />
Phone (800) 426-5975<br />
Website siionline.com<br />
Year founded 1968<br />
ceO/president Todd Kinart<br />
recruiting executive Steve Van Domelen<br />
clearing firm Pershing<br />
Parent co. National <strong>Planning</strong> Holdings<br />
sterne AGee FinAnciAl services<br />
800 Shades Creek Parkway, Suite 575<br />
Birmingham, Ala. 35209<br />
Phone (800) 292-2411<br />
Website sterneagee.com<br />
Year founded 1986<br />
ceO/presidentJay Carter<br />
recruiting executive Stephen O’Neill<br />
clearing firm Sterne Agee<br />
Parent co. Sterne, Agee & Leach Group<br />
summit BrOkerAGe services<br />
595 S. Federal Highway, Suite 500<br />
Boca Raton, Fla. 33432<br />
Phone (800) 354-5528<br />
Website joinsummit.com<br />
Year founded 1993<br />
ceO/chairman Marshall T. Leeds<br />
recruiting executive Vincent A. Chiera<br />
clearing firms First Clearing, Pershing<br />
Parent co. Summit <strong>Financial</strong> Services Group<br />
tOWer squAre securities<br />
1095 Ave. of the Americas, New York, N.Y. 10036<br />
Phone (888) 883-4684<br />
Website towersquare.com<br />
ceO John J. Brett<br />
recruiting executive Craig W. Markham<br />
clearing firm Pershing<br />
Parent co. MetLife<br />
trAnsAmericA FinAnciAl AdvisOrs<br />
570 Carillon Parkway, St. Petersburg, Fla. 33716<br />
Phone (800) 742-9984<br />
Website tfa.transamerica.com<br />
Year founded 1984<br />
ceO/president Seth Miller<br />
recruiting executive Tiffany Taylor<br />
clearing firm Pershing<br />
Parent co. AEGON<br />
Sterne Agee <strong>Financial</strong> Services,<br />
Inc., Member FINRA/SIPC is a part<br />
of a privately owned, self-clearing<br />
financial services company with over<br />
100 years of tradition serving the<br />
needs of investment professionals<br />
and their clients.<br />
STATS<br />
Number of repS 273<br />
AverAge pAyouT 90%<br />
CleAriNg firm Sterne, Agee &<br />
Leach, Inc.<br />
e&o CoverAge Yes<br />
yeAr fouNded 1986 (parent company<br />
founded in 1901)<br />
Ceo/preSideNT Jay W. Carter<br />
reCruiTiNg Stephen O’Neill<br />
exeCuTive<br />
pAreNT CompANy Sterne Agee Group, Inc.<br />
CoNTACT<br />
800 Shades Creek Parkway, Suite 575<br />
Birmingham, AL 35209<br />
205-414-3349<br />
Fax: 205-414-3200<br />
www.sterneagee.com<br />
41 Broker-Dealer Guide / SourceMedia Marketing Solutions Group
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