Securities Brokerages
Financial Planners and Investment Advisors
http://www.firstresearch.com
Profiles cover key aspects of an industry's size, scope, and operations, recent news and developments,
industry trends, risks, and opportunities, and include a five-year industry forecast. Profiles are
updated quarterly and include:
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.
Securities Brokering
http://www.ibisworld.com
Reports provide in-depth industry analysis and a five-year industry growth forecast, with special
focus on the underlying structure and external forces and relationships that affect an industry and
its performance. Report sections include:
Sample industry report is available free online.
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.
Industry Market Research Reports
http://www.marketresearch.com
Search for specific terms or keywords
In-depth business market research reports include information on market size and market segmentation;
marketing strategy; product and market forecasts; business trends, risks, and opportunities; key participant
profiles; market share data; and more. Summary abstract and detailed table of contents for each market
research report is accessible free online.
Industry Market Analysis Reports
Securities Brokers and Dealers
http://www.bizminer.com Search for "523120"
Industry statistics for securities brokers and dealers include industry sales and sales trends, market
size and market share by sales class, average company sales and sales per employee, staffing and employment
trends, business start up activity and failure rates, and other business statistics on a national,
state, and metropolitan area level. Sample market analysis reports can be viewed free online.
More Industry Research and Analysis
For more business research and analysis available from Standard & Poor's, Freedonia Group, Euromonitor,
and other sources—including key business statistics, market research and analysis, and business trends
and forecasts for a wide range of industries, see
Industry Overview,
Issues, Trends, and Outlook.
Industry Financial Ratios
Securities Brokers and Dealers
http://www.bizminer.com Search for "523120"
Five-year comparative financial statement analysis includes income statements with expense detail,
balance sheets, cash flow statements, and key business and financial ratios for securities brokers
and dealers. Reports are available by sales size range, and also in small business, sole proprietor,
and business start up versions. Sample financial reports with detailed financial ratio analysis can
be viewed free online.
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
http://www.financialservices.org/bdstudy.aspx
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.
More Industry Financial Analysis
For more business financial information and analysis available from Integra Information, RMA Annual Financial Statement Studies, and other sources—including financial statements, financial ratios, and other key performance indicators and benchmarks for a wide range of industries, see Industry Financial Information and Financial Ratios.
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
http://www.financialservices.org/bdstudy.aspx
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://salary-surveys.erieri.com/
Salary survey provides compensation data for executive, management, and hourly personnel on a national
and state level by company size. Complete listing of job positions included in the survey and sample
pages for selected job positions are accessible free online.
Officer Compensation ExpenseSee "
BizMiner Industry Financial Ratios" above for report including this data.
Five-year comparative financial analysis details officer compensation expense in both dollars and as a percentage of sales. Available by sales size range, and also in small business, sole proprietor, and business start up versions. Sample financial reports can be viewed free online.
More Compensation and Salary Data
For more compensation and salary survey data available from ERI Economic Research Institute, PayScale, Salary.com, and other sources—including average salary, salary range, incentive compensation, and employee benefits information for a wide range of jobs and industries, see Compensation and Salary Surveys.
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.
BVMarketData
Private Company Sales Transactions Databases
Pratt's Stats® http://www.bvmarketdata.com/PSAdvSearch.asp
BIZCOMPS® http://www.bvmarketdata.com/BIZAdvSearch.asp
Free "Visitor Search" allows users to search thousands of private company sales transactions by SIC Code, NAICS Code, or business description for comparable business sale transaction data, including revenue, earnings, and EBITDA multiples. Data can be purchased as a single report or by subscription.
More Business Sale Transaction Data
For more business sale transaction data available from BizBuySell®, Done Deals, Mergerstat, Public Stats™, and other sources for a wide range of industries, see Business Valuation Multiples and Merger & Acquisition Transaction Data.
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