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Stock Brokers and Broker Dealers

SIC 6211 | NAICS 523120

The following guide to industry information, research, and analysis provides sources for industry trends and statistics, financial ratios, salary surveys, and more.


Select from the following sections or scroll below to view available resources:

Industry Analysis, Statistics, Trends, and Forecasts

Financial Information and Financial Ratios

Compensation and Salary Surveys

Business Valuation Resources


For guides to other industries, see our index of over 400 industries.




Industry Analysis, Statistics, Trends, and Forecasts


Securities Brokering  (view report)

Comprehensive research reports provide in-depth industry analysis and five-year growth forecasts, with special focus on the underlying structure and external forces and relationships that affect industries and their performance. Report contents include:

  • Key statistics
  • Market size and characteristics
  • Current performance
  • Competitive landscape
  • Major companies
  • Key risk and success factors
  • Five-year growth forecast


Securities Industry and Financial Markets Association
Reports and Papers / Statistics and Data
http://www.sifma.org/research/
Various reports cover key trends, statistics, employment, and financial results for the securities industry. Selected reports are available free online.

Registered Rep
The Future of the Industry
http://registeredrep.com  Select "Special Reports"
Overview of stock brokerage industry issues and trends. Available free online.

First Research

Securities Brokerages
Financial Planners and Investment Advisors
http://www.firstresearch.com
First Research profiles cover key aspects of an industry's size, scope, and operations, and include a five-year revenue growth forecast. Profiles are updated quarterly and include:
  • Industry overview
  • Recent developments
  • Critical issues and challenges
  • Business trends and opportunities
  • Executive insights
  • Financial benchmarking data
  • Five-year growth forecast


The Financial Planning Association
Career & Practice
http://www.fpanet.org/professionals/CareerPractice/
Introduction to the field of financial planning answers some of the common questions about the financial planning process and the education and training required to become a certified professional. Available free online.

InvestmentNews
Financial Performance Study of Advisory Firms
http://www.investmentnews.com/Research
Study examines the current state of the financial advisory industry, and includes information on financial performance, key operating characteristics, operational and structural issues, and trends and practices within the industry. Executive summary can be viewed free online.



Financial Benchmarking Data


Industry Financial Ratios
Securities Brokers and Dealers
http://www.bizminer.com  Search for "523120"
Five-year financial statement analysis includes income statements, balance sheets, and key financial ratios, with data available by sales size range on a national, state, and metro area level.
  • Income and expense detail in dollars and percentages
  • Balance sheets in dollars and percentages
  • Cash flow analysis
  • Liquidity and working capital ratios
  • Profitability and return on investment ratios
  • Asset turnover and efficiency ratios
  • Capital structure and debt service ratios


Securities Industry and Financial Markets Association
Financial and Operating Performance Surveys
http://www.sifma.org/research/surveys.aspx
Various surveys analyze financial and operating performance in the securities industry, with topics covered including retail customer pricing, productivity and earnings, asset management, compliance costs, and more.

Financial Services Institute
FSI Broker-Dealer Financial Performance and Compensation Study
https://www.financialservices.org/research/
Financial performance section provides benchmarks to evaluate profitability across broker-dealer categories, such as revenue size and type, and examines how profitability relates to strategy, operations, cash flow, balance sheet strength, and operating performance. Study is available to members only; contact association for more information.

InvestmentNews
Financial Performance Study of Advisory Firms
http://www.investmentnews.com/Research
Study examines the current state of the financial advisory industry, and includes information on financial performance, key operating characteristics, operational and structural issues, and trends and practices within the industry. Executive summary can be viewed free online.



Compensation Surveys


Securities Industry and Financial Markets Association
Compensation and Benefits Surveys
http://www.sifma.org/research/surveys.aspx
Various surveys analyze employee compensation and benefits in the securities industry, with topics covered including management and professional compensation, office salaries, employee benefit practices, and more.

Registered Rep
Information resources available from this organization include:

Broker Compensation
http://registeredrep.com  Select "Special Reports"
Annual survey of stock broker compensation trends. Available free online.

Sales Assistants Survey
http://registeredrep.com  Select "Special Reports"
Annual survey of stock brokerage sales assistants compensation trends. Available free online.


Financial Services Institute
FSI Broker-Dealer Financial Performance and Compensation Study
https://www.financialservices.org/research/
Compensation section contains extensive compensation data on broker-dealer positions and provides benchmarks for executive and staff compensation, including base salary and bonus in relation to firm size and type as well as other key measures. Study is available to members only; contact association for more information.

InvestmentNews
Adviser Compensation and Staffing Study
http://www.investmentnews.com/Research
Annual study provides compensation and benefits information for 38 advisory firm job positions, with compensation data reported including base salary, bonuses, incentives, commissions, and ownership distributions.

ERI Economic Research Institute
Securities, Financial Services, and Investment Salary Survey
http://www.erieri.com/
Annual publication provides compensation data from ERI AssessorĀ®, government, and survey participant databases for executive, salaried, and hourly personnel on a national and regional level. Complete listing of job positions included in the survey and sample pages for selected job positions are accessible online.



Business Valuation Resources


FP Transitions
Business Transitions Report / RIA Transitions Report
http://www.fptransitions.com/?fuseaction=content.display&contentid=116
Annual report on buying and selling financial service practices includes valuation guide. Available free online.

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