| Asset Size (15.00/M) |
| LESS THAN $1 MILLION |
134 |
|
| $1.0M - $9.9M |
139 |
|
| $10.0M - $24.9M |
122 |
|
| $25.0M - $49.9M |
141 |
|
| $50.0M - $74.9M |
118 |
|
| $75.0M - $99.9M |
84 |
|
| $100.0M - $199.9M |
138 |
|
| $200.0M - $249.9M |
43 |
|
| OVER $250M |
180 |
|
| NOT APPLICABLE |
6 |
|
| |
|
|
| Business/Industry Type (15.00/M) |
| COMMUNITY BANK |
673 |
|
| COMMERCIAL BANK |
586 |
|
| OTHER |
292 |
|
| THIRD PARTY MARKETING FIRM |
149 |
|
| CREDIT UNION |
42 |
|
| TRUST INSTITUTION |
39 |
|
| BANK OWNED SECURITIES BROKERAGE |
25 |
|
| THRIFT/SAVINGS BANK |
20 |
|
| BANK BROKER DEALER |
1 |
 |
| |
|
|
| Financial Licenses (15.00/M) |
| SER 67 |
321 |
|
| LIFE 75 |
259 |
|
| SER 72 |
253 |
|
| SER 73 |
216 |
|
| VAR 76 |
191 |
|
| SER 66 |
130 |
|
| SER 70 |
94 |
|
| CFP 50 |
59 |
|
| OHER 74 |
52 |
|
| CPA 57 |
21 |
|
| RIA5 6 |
19 |
|
| CHFC 51 |
17 |
|
| CIMA 80 |
10 |
|
| CLU 52 |
10 |
|
| CFA 53 |
9 |
|
| SER 68 |
8 |
|
| SER 71 |
5 |
|
| LUTCF 59 |
5 |
|
| SER 69 |
4 |
|
| PFS 58 |
3 |
|
| CPWA 82 |
1 |
|
| |
|
|
| Job Title (15.00/M) |
| SALES MANAGER |
1,278 |
|
| FINANCIAL PLANNER |
1,271 |
|
| VICE PRESIDENT |
1,247 |
|
| DEDICATED INVESTMENT REP |
759 |
|
| WEALTH MANAGEMENT |
717 |
|
| PRESIDENT |
706 |
|
| SENIOR MANAGEMENT |
485 |
|
| DIRECTOR |
469 |
|
| CHIEF EXECUTIVE OFFICER |
381 |
|
| CHIEF FINANCIAL OFFICER |
279 |
|
| PLATFORM SALES REPRESENTATIVE |
196 |
|
| INSURANCE SALES/AGENT |
185 |
|
| TRUST OFFICER/PRIVATE BANKER |
168 |
|
| TRUST/PRIVATE BANKING DEPT MANAGER |
150 |
|
| CHIEF COMPLIANCE OFFICER |
144 |
|
| INVESTMENT PROGRAM MANAGER |
131 |
|
| PRINCIPAL |
130 |
|
| CHIEF MARKETING OFFICER |
81 |
|
| INSURANCE PROGRAM MANAGER |
36 |
|
| CHIEF TECHNOLOGY OFFICER |
25 |
|
| OTHER |
910 |
|
| |
|
|
| Products Provided (15.00/M) |
| Mutual Fund Providers |
1,809 |
|
| Annuity Providers |
1,595 |
|
| Life Insurance Providers |
1,434 |
|
| Assets Managers (wrap fee,401K,etc.) |
1,128 |
|
| Estate Planning Products |
1,025 |
|
| Other Insurance Providers |
848 |
|
| Marketing Services |
623 |
|
| Trust Systems |
546 |
|
| Third Party Marketing Firms |
533 |
|
| Education/Training/Licensing Firms |
476 |
|
| Sales Software/Technology |
472 |
|
| Research Providers |
465 |
|
| Fund Administration/Distribution,etc. |
461 |
|
| Legal/Accounting/Compliance Services |
419 |
|
| Clearing & Execution |
416 |
|
| Other |
191 |
|
