Rank Brokerage¥ name

¥ address

¥ website

L.A. CountyEmployment¥ securities brokers

¥ total employees

Services Offered(partial list)

Profile¥ parent company

¥ headquarters

¥ offices (L.A./total)

Top Local Executive¥ name

¥ title

¥ phone

1Wells Fargo333 S. Grand Ave.Los Angeles 90071wellsfargo.com

7681,269

brokerage, investment management,insurance, online brokerage, privatebanking, trust and estate services,institutional brokerage and sales

Wells Fargo & Co.San Francisco337/N/A

Joe DeFurExec. V.P., Sr. Managing Director,Wells Fargo Wealth Management(800) 869-3557

2Morgan Stanley Wealth Management444 S. Flower St., 26th FloorLos Angeles 90071morganstanley.com

6551,016

brokerage and investment advisory,financial and wealth planning, credit andlending, cash management, annuities andinsurance, retirement

Morgan StanleyNew York25/712

Jeff AdamsRegional Director(213) 553-3320

3Merrill Lynch350 S. Grand Ave., Suite 2700Los Angeles 90071ml.com

475N/A

brokerage, investment advisory, banking,trust and other financial services andproducts

Bank of AmericaCharlotte, N.C.21/674

Chandler RootMarket Executive, SouthwestMarket(800) 937-0620

4Wedbush Securities1000 Wilshire Blvd.Los Angeles 90017wedbush.com

353401

brokerage, asset management, primebrokerage, investment banking, research,correspondent clearing/execution, privatecapital, commercial banking

Wedbush Inc.Los Angeles16/102

Edward WedbushPresident, Founder(213) 688-8000

5UBS Financial Services Inc.777 S. Figueroa St., 52nd FloorLos Angeles 90017ubs.com

3501

N/Abrokerage, wealth management,retirement planning, insurance,investments, lending services andinvestment banking

UBS AGZurich & Basel, Switzerland11/350

Randall K. GrossblattSouthern California MarketManager(213) 253-5494

6Farmers Financial Solutions LLC30801 Agoura Road, Building 1Agoura Hills 91301farmersinsurance.com

227N/A

mutual funds, 529 college savings plans,retirement plans, qualified tax savinginvestment plans, variable life insurance

Farmers Insurance GroupAgoura Hills45/627

Don MealerPresident(866) 888-9739

7Western International Securities70 S. Lake Ave., Suite 700Pasadena 91101wisdirect.com

138164

independent broker dealer, fee-basedasset management, financial planning,investment adviser services

Concept Brokerage HoldingCorp.Pasadena24/87

Donald BizubCEO(888) 793-7717

8Northwest Mutual Investment Services LLC515 S. Flower St., 33rd FloorLos Angeles 90071nm-losangeles.com

100300

advisory, brokerage, private clientservices

Northwestern MutualWealth Management Co.Milwaukee3/200

Chau LeChief Operating Officer(213) 243-7000

9Sagemark Consulting Lincoln FinancialAdvisors31111 Agoura Road, Suite 200Westlake Village 91361sagelinc.com

1001

N/Ainvestment management, businessowner planning, estate and assetprotection strategies, retirement planning

Lincoln Financial GroupPhiladelphia1/57

Richard SmithManaging Principal, WestlakeVillage(818) 540-6900

10Crowell Weedon & Co.1 Wilshire Blvd.Los Angeles 90017crowellweedon.com

89275

personal financial planning, investmentadvisory services, customized retirementstrategies, tax-advantaged investments,conservative options strategies

N/ALos Angeles6/14

Andrew E. CrowellManaging Partner(213) 620-1850

11Charles Schwab & Co. Inc.1900 Avenue of the Stars, Suite 101Los Angeles 90067schwab.com

7979

investment advisory services, personalfinancial planning, active trader services,banking services, estate planning

N/ASan Francisco12/300

Robert KightlingerRegional Branch Executive(800) 435-4000

12Imperial Capital LLC2000 Avenue of the Stars, Ninth Floor SouthLos Angeles 90067imperialcapital.com

7779

restructuring and recapitalizationadvisory, mergers and acquisitions,capital raising, research, sales, trading ofhigh yield and distressed debt securities

Imperial Capital Group LLCLos Angeles2/10

Randall WoosterCEO(310) 246-3700

13City National Securities Inc.400 N. Roxbury DriveBeverly Hills 90210cnb.com

7078

managed accounts, municipal securities,treasury and agency securities, corporatebonds, mutual funds, equity securities,529 plans

City National BankLos Angeles10/20

Michael J. NunneleePresident(800) 280-1464

14J.P. Morgan Securities2029 Century Park East, Suite 3700Los Angeles 90067jpmorgansecurities.com

58150

wealth management, retirementplanning, portfolio management,banking, lending, global research

J.P. Morgan Chase & Co.New York1/20

Garrett Q. BlandManaging Director(310) 201-2600

15Edward Jones870 Hampshire Road, Suite AWestlake Village 91361edwardjones.com

55100

financial services N/ASt. Louis55/11,415

Chris HardtRegional Leader(805) 496-6891

16UnionBanc Investment Services LLC445 S. Figueroa St., Second FloorLos Angeles 90071unionbank.com

42145

financial planning, mutual funds,annuities, fixed income, life insurance,brokered CDs and stocks

Union Bank, N.A.San Francisco65/447

Michael S. MortensenCEO(800) 634-1100

17B. Riley & Co. LLC11100 Santa Monica Blvd., Suite 800Los Angeles 90025brileyco.com

4248

investment banking, equity research,institutional equity and fixed incometrading, market making and primebrokerage

N/ALos Angeles1/6

Thomas Kelleher/Bryant RileyCEO/Chairman(310) 966-1444

1 Estimate.N/A - Not Applicable Note: The information on this list was provided by representatives ofthe companies themselves. Brokerages are ranked by the number of registered, full-timesecurities brokers and the number of employees in L.A. County offices, respectively. Tothe best of our knowledge, this information is accurate as of press time. While every effortis made to ensure the accuracy and thoroughness of the list, omissions and typographical

errors sometimes occur. Please send corrections or additions on company letterhead tothe Research Department, Los Angeles Business Journal, 5700 Wilshire Blvd., Suite 170,Los Angeles 90036. ©2013 Los Angeles Business Journal. This list may not be reprintedin whole or in part without prior written permission from the editor. Reprints are availablefrom the YGS Group, (800) 290-5460 ext. 100.

Researched by David Nusbaum

THE PACESETTER: Wells Fargo is the largest securities brokerage firm in Los Angeles County, with 768 brokers working in local offices. The San Francisco-based bank offers securi-ties through its Wells Fargo Advisors LLC and Wells Fargo Advi-sors Financial Network LLC. Those divisions are nonbank affiliates of the company. The company has a total of 1,269 employees working for its securi-ties division locally. The group is led by Joe DeFur, who serves as executive vice president for the bank’s wealth management group. Wells Fargo Advisors manages $1.2 trillion in client accounts nationwide.

1

THE LIST Ranked by full-time registered brokers in L.A. County

SecurITIeS BrOKerAGe FIrMS NexT weeKThe Largest Labor Unions in L.A. County

Source: Box Office Mojo

800

700

600

500

400

300

200

100

0

Registered RepsThe number of licensed brokersnationwide has remained flat.

(in thousands)

(in thousands)

4

5

6

7

8

9

10

11

12

4

5

6

7

8

9

10

11

12

‘08 ‘09 ‘10 ‘11 ’12

’08 ’09 ’10 ’11 ’12

0

1000

2000

3000

4000

5000

0

5000

10000

15000

20000

Regional Malls $4.15Lifestyle Centers 3.02Power Centers 2.87Neighborhood Ctrs. 2.33Single Tenant Bldgs. 2.05Strip Malls 1.60

Largest BIDsThe largest districts in L.A. County ranked by number ofmembers.

Space FillersThird quarter vacancy rates for office propertied by market segment.

in billions

’07 ’08 ’09 ’10 ’11

$600

480

360

240

120

0

Strip Malls 9.3%Neighborhood Ctrs. 7.9Power Centers 7.5Lifestyle Centers 5Single Tenant Bldgs. 3.5Regional Malls 3.2

Central L.A. $0.50Mid-Counties 0.47North Los Angeles 0.55San Gabriel Valley 0.42South Bay 0.55

Central L.A. 4.6%Mid-Counties 5.0North Los Angeles 5.0San Gabriel Valley 5.5South Bay 5.5

Downtown Center 3,022Dwtn. Long Beach Assn. 2,638South Park 1,412Historic Downtown L.A. 1,100Wilshire Center 1,100L.A. Fashion District 1,000Huntington Park 879San Pedro 638Hollywood Media District 516Pasadena Playhouse 465

Source: Box Financial Industry Regulatory Authority Inc.

5

4

3

2

1

0

Fewer FirmsNumber of FINRA member firmshas declined steadily.

’08 ’09 ’10 ’11 ’12

Source : Financial Industry Regulatory Authority Inc.

10LOCAL: Crowell Weedon is the largest indepen-dent investment firm based in the Southern California. It has 14 offices in the state from Fresno to La Jolla. It is headed by Andrew Crowell, grandson of Warren Crowell, who co-founded the firm with George Weedon in 1932.

DeFur

Crowell

FEBRUARY 11, 2013 LOS ANGELES BUSINESS JOURNAL 15

Please see page 16

Rank Brokerage¥ name

¥ address

¥ website

L.A. CountyEmployment¥ securities brokers

¥ total employees

Services Offered(partial list)

Profile¥ parent company

¥ headquarters

¥ offices (L.A./total)

Top Local Executive¥ name

¥ title

¥ phone

18RBC Wealth Management9665 Wilshire Blvd., Fourth FloorBeverly Hills 90212rbcwm-usa.com

3061

full service securities firm Royal Bank of CanadaMinneapolis1

5/200

Ken Sullivan Jr.Sr. Managing Director, ComplexDirector(310) 205-7745

19WestPark Capital Inc.1900 Avenue of the Stars, Suite 310Los Angeles 90067wpcapital.com

2640

IPOs and secondary offerings, privateplacements of equity and debt, mergersand acquisitions, corporate divestitures

N/ALos Angeles1/10

Richard A. RappaportCEO(310) 843-9300

20Southwest Securities Inc.8350 Wilshire Blvd.Beverly Hills 90211swsgroup.com

2438

bonds, stocks, mutual funds, annuities,insurance, retirement plans, managedaccounts

SWS Group Inc.Dallas1/17

David L. FriedenExecutive Vice President,Regional Director(323) 658-4400

21Zahorik Financial Services Inc.418 N. Fair Oaks Ave., Suite 101Pasadena 91103zahorik.com

16N/A

retirement plans, investment advisory,insurance, employee benefits

Zahorik Financial &Insurance Services Inc.Pasadena1/20

Randy RussellPresident(800) 266-0859

22De La Rosa & Co.10866 Wilshire Blvd., Suite 1650Los Angeles 90024ejdelarosa.com

1334

sales and trading, trading taxable and taxexempt fixed income, banking, high networth retail asset management

N/ALos Angeles1/3

Edward De La RosaPresident(310) 207-1975

23First Wilshire Securities Management Inc.1224 E. Green Street, Suite 200Pasadena 91106firstwilshire.com

1118

investment advisory services, broker/dealer, hedge fund

N/APasadena1/1

Fred AstmanChairman, President(626) 796-6622

24Perennial Financial Services11620 Wilshire Blvd., Suite 400Los Angeles 90025perennialfinancialservices.com

1114

fee-based asset management, corporateretirement planning, personal financialplanning, estate/legacy planning,annuities, life insurance, disability

LPL FinancialSan DiegoN/A/N/A

John B. PetrickSenior Managing Director(310) 445-2504

25Quincy Cass Associates Inc.11111 Santa Monica Blvd.Los Angeles 90025quincycass.com

69

brokerage, investment management,investment banking

N/ALos Angeles1/2

Joel H. RavitzCEO(310) 473-4411

1 U.S. headquarters.N/A - Not Applicable Note: The information on this list was provided by representatives ofthe companies themselves. Brokerages are ranked by the number of registered, full-timesecurities brokers and the number of employees in L.A. County offices, respectively. Tothe best of our knowledge, this information is accurate as of press time. While every effort

is made to ensure the accuracy and thoroughness of the list, omissions and typographicalerrors sometimes occur. Please send corrections or additions on company letterhead tothe Research Department, Los Angeles Business Journal, 5700 Wilshire Blvd., Suite 170,Los Angeles 90036. ©2013 Los Angeles Business Journal. This list may not be reprintedin whole or in part without prior written permission from the editor. Reprints are availablefrom the YGS Group, (800) 290-5460 ext. 100.

Researched by David Nusbaum

Source: Box Office Mojo

800

700

600

500

400

300

200

100

0

Registered RepsThe number of licensed brokersnationwide has remained flat.

(in thousands)

(in thousands)

4

5

6

7

8

9

10

11

12

4

5

6

7

8

9

10

11

12

‘08 ‘09 ‘10 ‘11 ’12

’08 ’09 ’10 ’11 ’12

0

1000

2000

3000

4000

5000

0

5000

10000

15000

20000

Regional Malls $4.15Lifestyle Centers 3.02Power Centers 2.87Neighborhood Ctrs. 2.33Single Tenant Bldgs. 2.05Strip Malls 1.60

Largest BIDsThe largest districts in L.A. County ranked by number ofmembers.

Space FillersThird quarter vacancy rates for office propertied by market segment.

in billions

’07 ’08 ’09 ’10 ’11

$600

480

360

240

120

0

Strip Malls 9.3%Neighborhood Ctrs. 7.9Power Centers 7.5Lifestyle Centers 5Single Tenant Bldgs. 3.5Regional Malls 3.2

Central L.A. $0.50Mid-Counties 0.47North Los Angeles 0.55San Gabriel Valley 0.42South Bay 0.55

Central L.A. 4.6%Mid-Counties 5.0North Los Angeles 5.0San Gabriel Valley 5.5South Bay 5.5

Downtown Center 3,022Dwtn. Long Beach Assn. 2,638South Park 1,412Historic Downtown L.A. 1,100Wilshire Center 1,100L.A. Fashion District 1,000Huntington Park 879San Pedro 638Hollywood Media District 516Pasadena Playhouse 465

Source: Box Financial Industry Regulatory Authority Inc.

5

4

3

2

1

0

Fewer FirmsNumber of FINRA member firmshas declined steadily.

’08 ’09 ’10 ’11 ’12

16 LOS ANGELES BUSINESS JOURNAL THE LIST FEBRUARY 11, 2013

Continued from page 15

Contact Naz Bayazit at 323-549-5225 x253 or nbayazit@socalbusinessjournals.com

The Los Angeles Business Journal is pleased to announce the 2013 Law Firms List which will rank the Top 100 fi rms ranked by number of attorneys in L.A. County offi ces. The list is an editorial product and will be published as part of the March 11, 2013 issue.

Don’t miss this strategic opportunity to enhance your fi rm’s visibility.

Stand out by advertising adjacent to this highly-targeted content. Get involved and

• Share time-sensitive branding news• Thank clients and attorneys• Attract talent

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