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3 Ameriprise FinancialCharles SchwabMorgan Stanley Smith BarneyBank of America Merrill Lynch 12(b)-1 fees 2 1 NYSENASDAQ (Ameriprise FinancialCharles SchwabE*-TradeRaymond JamesStifel NicolausTD AMERITRADEOppenheimerSanders Morris Harris SWS GroupInteractive BrokersoptionXpressTradeStation Securities) (Edward JonesLPL) 2 12(b)-1 feessec
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5 (1)...1 (2)...2 (3) (1)...5 (2)...6 (3) (1)...8 (2)...9 (3)...18 (4) (1) Ameriprise...28 (2) Charles Schwab...29 (3) Edward Jones...30 (4) E*-Trade...31 (5) LPL...32 (6) Raymond James...33 (7) Stifel Nicolaus...34 (8) TD AMERITRADE...35
6 Edward JonesLPL Ameriprise Ameriprise Charles Schwab Charles Schwab Edward Jones Edward Jones E*-Trade E*-Trade LPL LPL Raymond James Raymond James Stifel Nicolaus Stifel Nicolaus TD AMERITRADE TD AMERITRADE...35
7 .. (1) Mutual Fund 1 SIMFA 3 1
8 2 FRB Flow of funds (2) 4 FINRARegistered Representatives 5 FINRAFinancial Industry Regulatory Authority 6 2
9 3 ()FINRASIMFA (3) SIMFA SIFMA M&A 7 Securities Industry and Financial Markets Association 8 3
10 5 SIFMA 6 SIFMA 9 4
11 . (1) Morgan Stanley Smith BarneyBank of America Merrill Lynch Ameriprise FinancialCharles Schwab Edward JonesLPL TD AMERITRADE E*-Trade 7 Ameriprise Financial Edward Jones LPL Raymond James Stifel Nicolaus Oppenheimer Sanders Morris Harris SWS Group Charles Schwab Fidelity TD AMERITRADE E*Trade Interactive Brokers OptionXpress Trade Station Securities TradeKing trademonster Morgan Stanley Smith Barney Bank of America Merrill Lynch UBS WealthmanagementUSA Citi CHASE(JP Morgan Chase) Wachovia(Wells Fargo) ING Direct Carson Wealth Management Convergent Wealth Advisors Essex Financial Services Mariner Wealth Advisors 10 NYSENASDAQ 10 5
12 Ameriprise FinancialCharles SchwabE*-TradeRaymond JamesStifel NicolausTD AMERITRADE Edward JonesLPL OppenheimerSanders Morris HarrisSWS Group TD AMERITRADEE*-Trade Interactive BrokersOptionXpressTradeStation Securities 8 Interactive Brokers E-Trade TD Ameritrade Raymond James Charles Schwab Ameriprise Financial Ameriprise Financial Charles Schwab Edw ard Jones E-Trade LPL Raymond James Stifel Nicolaus TD Ameritrade Oppenheimer Co Sanders Morris Harris Group SWS Group Interactive Brokers optionxpress TradeStationSecurities LPL Edward Jones E-Trade LPL Raymond James Stifel Nicolaus TD Ameritrade Oppenheimer Co Sanders Morris Harris Group SWS Group Interactive Brokers optionxpress TradeStationSecurities Interactive Brokers Oppenheimer Co Stifel Nicolaus E-Trade TD Ameritrade Raymond James LPL (2) E*-TradeTD AMERITRADE
13 9 AMERITRADE TD AMERITRADE TradeCast National Discount Brokers Corp. Datek TD Waterhause thinkorswim Charles Schwab E-Trade Harrisdirect BrownCo, Fidelity Investments (3) LPL Investment HoldingsLPL LPL Investment HoldingsAmeriprise Financial ServicesRaymond James Financial Services LPL Investment HoldingsMetlife Broker-Dealer Group 13 Independent Contractor
14 LPL Investment Holdings Ameriprise Financial Services Ameriprise Financial Services LPL Investment Holdings Raymond James Financial Services Raymond James Financial Services Advisor Group Advisor Group Lincoln Financial Network Commonwealth Financial Network Metlife Broker-Dealer Group Cetera Financial Group Cetera Financial Group Cambridge Investment Research National Planning Holdings Securities America Axa Advisors Wells Fargo Advisors Financial Network Commonwealth Financial Network Northwestern Mutual 1.1 Investment News 1 LPL Investment Holdings 12,027 1 LPL Investment Holdings 5,658 2 Metlife Broker-Dealer Group 10,147 2 Ameriprise Financial Services 4,524 3 NYLIFE Securities 7,793 3 Raymond James Financial Services 2,138 4 Lincoln Financial Network 7,682 4 Axa Advisors 1,904 5 Ameriprise Financial Services 7,658 5 Advisor Group 1,704 6 Axa Advisors 5,883 6 Cetera Financial Group 1,574 7 Northwe Stern Mutual 5,752 7 National Planning Holdings 1,377 8 H.D. Vest Financial Services 5,175 8 Commonwealth Financial Network 1,149 9 Advisor Group 4,865 9 Securities America 1, Cetera Financial Group 4, Wells Fargo Advisors Financial Network 745 Investment News. (1) 16 () Ameriprise Charles Schwab LPL Stifel Nicolaus 8
15 find an advisor 11 HP find a branch find an advisor (Ameriprise) (2) 17 OppenheimerSanders Morris HarrisSWS Group 9
16 12 Edward JonesLPL Charles Schwab Ameriprise Interactive BrokersoptionXpressTradeStation Securities 10
17 AmeripriseEdward JonesLPLRaymond James Stifel NicolausE*-TradeTD AMERITRADE Charles Schwab AmeripriseRaymond JamesStifel Nicolaus Edward Jones LPL E*-Trade TD AMERITRADE Charles Schwab 14 Ameriprise Charles Schwab Edward Jones E*-Trade LPL Raymond James Stifel Nicolaus TD AMERITRADE Reps 11
18 E*-Trade E*-Trade TD AMERITRADECharles Schwab Raymond JamesLPL 15 Ameriprise Charles Schwab Edward Jones E*-Trade LPL Raymond James Stifel Nicolaus TD AMERITRADE 12
19 E*-Trade Ameriprise Edward Jones LPLStifel NicolausTD AMERITRADE E*-Trade Ameriprise Charles Schwab Edward Jones E*-Trade LPL Raymond James Stifel Nicolaus TD AMERITRADE 19 13
20 20 E*-TradeCharles SchwabRaymond JamesStifel Nicolaus 17 Ameriprise Charles Schwab Edward Jones E*-Trade LPL Raymond James Stifel Nicolaus TD AMERITRADE 20 TD AMERITRADE 14
21 18 21 Ameriprise FinancialEdward JonesLPLRaymond JamesStifel Nicolaus E*-TradeTD AMERITRADECharles Schwab Interactive BrokersoptionXpressTradeStation Securities 22 E*-Trade Edward JonesLPL 15
22 Edward Jones LPL Edward Jones LPL Edward Jones LPL 16
23 21 (12(b)-1 fees) 12(b)-1 feessec 12(b)-1 fees 23 12(b)-1 feessec 23 SEC12(b)-1 fees 17
24 (3) OppenheimerSanders Morris HarrisSWS Group 22 OppenheimerSanders Morris Harris SWS Group M&A SWS Group 24 Ameriprise FinancialCharles SchwabEdward JonesE*-TradeLPLRaymond JamesStifel NicolausTD AMERITRADE 25 18
25 Oppenheimer Sanders Morris Harris invest in common High Net Worth SWS Group Southwest Securities 23 Oppenheimer Sanders Morris Harris SWS Group invest in common Southwest Securities High Net Worth 19
26 Oppenheimer Sanders Morris Harris 24 Oppenheimer Sanders Morris Harris SWS Group OppenheimerSWS Group Sanders Morris Harris Oppenheimer 25 Oppenheimer Sanders Morris Harris SWS Group SWS Group 20
27 26 Oppenheimer Sanders Morris Harris SWS Group SEC 12(b)-1 fees 27 SEC12(b)-1 fees 21
28 (4) 28 E*-Trade TD AMERITRADECharles Schwab Interactive BrokersoptionXpressTradeStation Securities 28 Interactive Brokers Interactive Brokers 28 ING Direct 22
29 optionxpress TradeStation Securities 29 Interactive Brokers optionxpress TradeStation Securities 30 Interactive Brokers optionxpress TradeStation Securities 23
30 Interactive Brokers optionxpress TradeStation Securities Interactive Brokers optionxpress TradeStation Securities Interactive Brokers 32 Interactive Brokers optionxpress TradeStation Securities 29 24
31 NYSE 33 NYSE
32 ETF 34 26
33 35 27
34 (1) Ameriprise 36 Ameriprise Minneapolis, Minnesota NYSE (Investors Syndicate) Investors Diversified Services, Inc (IDS) Alleghany Corp. American Express (AMEX) American Express Financial Corp. (AEFC) Threadneedle Asset Management AM EXAmeriprise Fin ancial, Inc H &R Block Financial AdvisorsBrecek & Young Advisors, J&W Seligman & Co Bank of AmericaColumbia Mutual Fund 37 Ameriprise (Employ financial advisors) (Franchisee advisors) (Assosiate financial advisors) Ameriprise Ameriprise Ameriprise Ameriprise Ameriprise (Licensed registered representatives of Ameriprise Financial) Ameriprise Ameriprise Ameriprise Amerprise 28
35 (2) Charles Schwab discount brokerage 38 Charles Schwab San Francisco, Carifornia NYSE (Chunk Schwab First Commander Corporation Charles Schwab & Co., Inc SEC discount brokerage NYSE Bank of America Bank of America Financial Advisor Services U.S.TrustCyBerCorp Charles Schwab Bank The 401(k) CompanyU.S.TrustBank of America Schwab FCs 39 Charles Schwab (Full Affiliation) (Supervised Independence) (Full Independence) (IBD) (Registered Investment (Independent Broker-Dealer (Independent Broker-Dealer Advisor (RIA)) (IBD)Insurance Company, (IBD)Insurance Company, Agencies Agencies) independent contractor) 29
36 (3) Edward Jones 40 Edward Jones Des Peres, Missouri Edward Jones 1 (a)financial Advisor Opprtunity(b)Branch Support Opportunities(c)Headquarters Opportunities St.Louis (a)financial Advisor Opportunity (b)branch Support Opportunities 41 Edward Jones Edward D. Jones & Co., LP 30
37 (4) E*-Trade 42 E*-Trade New York NASDAQ (E-Trade Securities) NASDAQ) E-Trade Financial Corporation Citadel Investment GroupSubprime Mortgate Scotiabank Power E*TRADE Pro 43 E*-Trade E*-Trade ETRADE.COM Web E*TRADE MARKET TRADER Web POWER E*TRADE PRO 31
38 (5) LPL 44 LPL Boston, Massachusetts San Diego, California Charlotte, North Carolina LinscoPrivate Ledger LPL Financial Phoenix Companies UVEST Financial Services Pacific Select Group Independent Financial Marketing Group Mutual Service Corporation, Associated Securities Corp., Waterstone Financial Group)LPL Financial Open Product Architecture RIA 30 /Hybrid RIA Platform 45 LPL LPL Financial Corp. RIA Hybrid RIA 30 registered independent advisors 32
39 (6) Raymond James Financial Planning services 46 Raymond James St. Petersburg, Florida NYSE Raymond James Financial NYSE SEC Financial Planning services Correspondent clearing services NYSE Investment Advisory Services Raymond James Bank Independent contractor subsidiaries Raymond James Financial Services Raymond James & Financial Services 47 Raymond James Raymond James & Associates Raymond James & Financial Services Raymond James Ltd Raymond James Investment Services( Raymond James & Associates Raymond James & Financial Services Raymond James Ltd Raymond James Investment Services( 33
40 (7) Stifel Nicolaus 48 Stifel Nicolaus St. Louis, Missouri NYSE Altheimer & Rawings Investment Company) Stifel, Nicolaus & Company NYSE SEC NYSE Hanifen Imhoff CitigroupLegg Mason Capital Markets Miller Johnson Steichen KinnardPrivate Client Group First Service Choice Financial Partners, IncBulter Wick & Company UBS Financial Services Thomas Weisel Partners 49 Stifel Nicolaus (College Saving plan) Unison Spectrum Unified Managed Accounts Stifel Account Hybrid Mutual Fund and ETF Portfolios Stifel Opportunity Separately Managed Accounts (High Net Worth)(100 Fundamentals Mutual Fund and ETF Advisory ETF Solutions Financial Advisors as InvestmentManager Score Horizon Summit Research-Driven Portfolios Stifel,Stifel Non-Discretionary Advisory Accounts Institutional Consulting 34
41 (8) TD AMERITRADE 50 TD AMERITRADE Omaha, Nebraska NASDAQ SEC First Omaha Securities Ameritrade Clearing Inc. TransTerra CompanyAmeritrade TransTerra CompanyAmeritrade HoldingsCorp. TradeCastNational Discount Brokers Corp. Datek Online Holdings. Corp. Mydiscountbroker Bidwell and Company, BrokereageAmerica TD Warehouse USATD AMERITRADE thinkorswim Group. Inc. Charles Schwab Raymond James provider 51 TD AMERITRADE TD AMERITRADE thinkorswim 35
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金融システムレポート（2008年3月号）
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