1. More than 100 branches covering 34 states 2. Approximately 5400 full time associates and 4500 independent RIA 3. Client base of 6 million and double digit net new client asset growth 4. Comprehensive investment products offering with access to equities, ETFs, bonds, CDs
5. Multiple credit rating upgrades from non investment grade to Single-A
1.Business activity exposes to operational risks 2. Credit risks arise from client margin lending and leverage activities 3. Dependency on market causes market risk and Clearing operations expose it to liability for errors in clearing functions
1.Can increase market share of total assets in client accounts by providing superior offerings to clients 2.Can leverage low cost infrastructure to increase profitability 3. Acquisitions may further enhance the growth
1.Economic conditions and other securities industry risks could adversely affect the business 2.Market for brokerage service evolves continuously and is highly competitive 3.Margin lending activities are subjected to limitations imposed by regulations of the Federal Reserve System and FINRA
1.E*TRADE Financial Corporation 2. The Charles Schwab Corporation 3. Fidelity Investments
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