Broker-dealer Data Center
SWS Financial Services
A subsidiary of Hilltop Holdings Inc.
1201 Elm St.
Dallas, TX 75270
Year founded: 1972
Year end: June 30
No. of retail offices: 170
All 2014-2011 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.
|CEO||Larry G Tate|
Recruitment & Staffing
|No. of reps||259||287||308|
|No. of producing reps||220||245||263|
|No. of reps producing $100K-$499K /year||90||107||97|
|Total revenues: Other||$1,639,853||$1,204,185||$1,044,271|
|Total account assets||$5,985,418,124||$4,451,113,138||$4,144,606,076|
|Total account assets: Other||$5,681,026,741||$4,224,681,267||$3,960,098,544|
|Average assets per rep||$23,109,722||$15,509,105||$13,456,513|
|Excess net capital||$890,802||$462,942||$400,906|
|Total operating expenses||$33,150,652||$35,742,090||$38,123,946|
|Number of active client accounts||25,781||27,888||28,681|
|Social Media & Mobile|
|Allows advisers to use social media||—|
|Social media sites allowed||—|
|Dedicated mobile application for advisers?||—|
|Primary purpose of mobile application||—|
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.
For comments or suggestions about the BD Data Center, please contact us.
Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.