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Stock Brokers & Broker-Dealers – Industry Analysis, Statistics, Trends, and Forecasts

SIC 6211  |  NAICS 523120

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

See the following sections listed below to view available resources by category:

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

Industry Analysis, Statistics, Trends, and Forecasts

Securities Brokering  (view report)
Investment Banking & Securities Dealing  (view report)
Comprehensive industry research reports provide in-depth industry analysis and five-year forecasts, with special focus on the underlying structure and external forces and relationships that affect industries and their performance. Topics addressed in the reports include:
Sample industry research report and selected industry statistics including market size, five-year average growth rate, number of businesses, and total employment are available free online.

Crain Communications Inc.

Weekly trade publication features news and information for investment advisors, with special reports including the annual "Outlook" report and ranking and profile reports for independent broker-dealers ranked by revenue and number of advisors, registered investment advisors ranked by assets under management, and custodian and clearing firms by number of RIA and broker-dealer clients served.

Information resources available from this trade association include:

Fact Book
Annual reference guide provides comprehensive statistical data on the U.S. securities industry and the markets in which it operates, with topics covered in individual chapters including industry profile, U.S. capital markets, global capital markets, investor participation by type of assets and holder, and retirement savings and investment. Current year guide can be downloaded and viewed free online.

Securities Industry
Chapter 1 of the fact book described above provides a statistical profile of industry participants, with information provided in this chapter including broker-dealer financial results, FINRA-registered firms, NYSE-reporting firm financial results, national employment data, investment banking revenues, and number of registered representatives, broker-dealers, and registered investment advisors by state.

Security Industries Databank
Comprehensive database provides financial and employment data from the quarterly FOCUS Report income statements and balance sheets filed with the Financial Industry Regulatory Authority (FINRA) by all broker-dealers in the U.S.  Data is available in an Excel spreadsheet format and is aggregated into 16 firm categories including 10 largest firms, 25 largest firms, regional firms, and clearing firms.

Market Analysis

Market analysis report provides industry statistics for a user-defined area on a national, state, county, metro area, or zip code level, with data provided including number of companies, market volume and sales trends, average company sales, sales per employee, staffing and employment trends, average employee wage, and business start up activity and failure rates. Sample report can be viewed online.

More Resources
For more industry research reports and other resources, see the following resource guide.

Financial Statements and Financial Ratios

Industry Financial Ratios
Securities Brokers and Dealers  Search for "5231"
Five-year financial statement analysis reports provide income statements, balance sheets, and key industry financial ratios for companies of all sizes, with financial data available by sales size range on a national, state, and metropolitan area level including:
Sample reports on a national and metropolitan area level are available free online.

Financial Performance Study of Advisory Firms

Annual financial performance survey provides detailed income statement data and key performance and productivity ratios for custodians, broker-dealers, and registered investment advisor firms, with income statement data broken out by type of firm, annual revenue (e.g., $100K to $1M, $1M to $5M, and $5M or more), performance level (e.g., top quartile vs. all others), and advisor affiliation model.

Compensation and Salary Surveys

Compensation surveys available from this trade association include:

Compensation of Top Management in Small and Regional Firms
Annual management survey provides base salary, bonus/short-term incentive, commission, long-term incentive, and total cash compensation data for eighteen senior executive positions, with job positions covered by the survey including chief executive officer, chief compliance officer, chief risk officer, and heads of retail and institutional sales, marketing, finance, and fixed income and equity capital markets.

Management and Professional Earnings
Annual survey provides base salary, bonus, other pay, and total compensation data for management and professional personnel employed by broker-dealer/asset management firms, with job categories covered by the survey including accounting, administration, compliance, customer service, research, floor/trading, operations, personnel management, investment management, and systems/technology.

Office Salaries in the Securities Industry
Annual salary survey provides base salary, bonus, other pay, and total compensation data for clerical personnel employed by broker-dealers and asset managers, with job positions covered by the survey including retail sales assistant, institutional sales assistant, ACATS/TOA representative, legal transfer representative, and stock record clerk. Complete list of jobs included in the survey is available online.

Financial Performance and Compensation Study

Compensation section of this annual study provides base salary, bonus, and total compensation data for home office personnel employed by broker-dealer and registered investment advisor firms. Survey results are available to participating members only, with each participating firm receiving an individual company assessment which compares the firm's data to the average and median survey responses.

Adviser Compensation & Staffing Study

Annual benchmarking study provides compensation and benefits information for personnel employed by custodian, broker-dealer, and registered investment advisor firms, with job positions covered in the survey including chief executive officer/managing partner, practicing partner, chief investment officer, investment portfolio manager, business development officer, and senior client service administrators.

Business Valuation Resources

Private company sales transaction data for over 800 industries.

Related Industries:
Commodity and Futures Brokers and Traders
Financial Planners and Investment Advisors
Hedge Funds
Real Estate Investment Trusts


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