Financial Institutions Topical Research Series
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1 Financial Institutions Topical Research Series Discount & Online Brokerage Firms: Four Leading Discount Brokerage Firms Expanding their Business Models (Table of Contents) November 29, 2017
2 TABLE OF CONTENTS Discount & Online Brokerage Firms Evolution Market History... Branches & Telephones Phase... Software & Online Phase... Financial Advice Phase.... Firms... Branches... Employees... Clients... Accounts... Net New Accounts... Assets Under Administration... Net New Assets Under Administration... Daily Average Trades... Daily Average Revenue Trades... Revenues... Net Profits... Market Definition... Discount Brokerage Firms... Online Only Brokerage Firms... Direct Access Brokerage Firms... Leading Discount & Online Brokerage Firms... Branches... Employees... Clients... Accounts... Net New Accounts... Assets Under Administration... Net New Assets Under Administration... Daily Average Trades... Daily Average Revenue Trades... Revenues... Net Profits... Market Segmentation Discount Brokerage Firms... Market History... Branches & Telephones Phase... Software & Online Phase... Financial Advice Phase... Firms... Branches Discount & Online Brokerage Firms 2
3 Leading Discount Brokerage Firms... Branches... Discount Brokerage Firms Future Predictions... Rapid Growth for Discount Brokerage Firms... Firms... Branches... Employees... Clients... Accounts... Net New Accounts... Assets Under Administration... Net New Assets Under Administration... Daily Average Trades... Daily Average Revenue Trades... Revenues... Net Profits... Winning Multi-Channel Strategies... Branches... Kiosks... Call Centers... Online... Mobile... Rapid Move into Financial Advice... Online Advice... Telephone Based Advice... Branch Based Advice... Financial Advisor Referral Programs... Financial Advisor Acquisitions... Cross-Selling Banking & Bill Pay, Mortgages, & Insurance Products... Banking & Bill Pay... Mortgages... Insurance Products... Expansion into Related Businesses... Fee-Based Financial Advisors Custody... Clearing Discount & Online Brokerage Firms 3
4 Capital Markets... Defined Contribution Plans... Corporate Stock Plans... Human Resources Outsourcing... Online Only Brokerage Firms... Market History... Emergence Phase... Maturization Phase... Firms... Leading Online Only Brokerage Firms... Online Only Brokerage Firms Future Predictions... Moderate Growth for Online Only Brokerage Firms... Employees... Clients... Accounts... Net New Accounts... Assets Under Administration... Net New Assets Under Administration... Daily Average Trades... Daily Average Revenue Trades... Revenues... Net Profits... Continuing Focus on Winning Active Traders... Active Traders... Active Trader Tools... Direct Access Brokerage Firms... Market History... Emergence Phase... Maturization Phase Discount & Online Brokerage Firms 4
5 Firms... Leading Direct Access Brokerage Firms... Direct Access Brokerage Firms Future Predictions... Moderate Growth for Direct Access Brokerage Firms... Firms... Employees... Clients... Accounts... Net New Accounts... Assets Under Administration... Net New Assets Under Administration... Daily Average Trades... Daily Average Revenue Trades... Revenues... Net Profits... Continuing Focus on Winning Professional Traders... Professional Traders... Professional Trader Tools... Competitive Factors Investment Products & Research... Investment Products... Cash Management Accounts (CMAs)... Stocks... Bonds... Mutual Funds... Exchange Traded Funds (ETFs)... Annuities... Options... Futures... Research Discount & Online Brokerage Firms 5
6 Stock Research... Other Research... Commissions & Fees... Commissions... Online Stock Trades... Online Stock Trade Commissions... Broker Assisted Stock Trade Commissions... Bond Pricing... Options Commissions... Online Mutual Fund Trade Commissions... Fees... Inactivity Fees... Account Closing Fees... Other Client Fees... Margin Lending Interest Rates... Factor #1... Factor #2... Web Sites & Tools... Web Sites... Execution Speed... Service Reliablity... Trade Reliability... Tools... Educational Resources... Financial Planning Tools... Portfolio Analysis & Reports... Research Tools... Quotes... Equity Trading Tools... Options Trading Platforms... Update Portfolio Information in Real Time... After Hours Trading... Mobile Trading... Accounts Minimums & Customer Service... Account Minimums... Sub Point #1... Sub Point #2... Customer Service... 24x7 Help... Customer Service Issue #2... Discount & Online Brokerage Firms Key Service Providers Technology Infrastructure Vendors & Clearing Brokers... Technology Infrastructure Vendors... Technology Infrastructure Vendor Type #1... Technology Infrastructure Vendor Type #2... Clearing Brokers... Clearing Broker Type #1... Clearing Broker Type #2... Quotes, News, Research, & Tools Providers... Quotes Providers Discount & Online Brokerage Firms 6
7 News Providers... Research Providers... Tools Providers... Mutual Fund & Other Product Companies... Mutual Funds... Exchange Traded Funds (ETFs)... Annuities... Inurance Products... Discount & Online Brokerage Firms Future Predictions Rapid Growth for Discount & Online Brokerage Firms... Firms... Branches Clients... Accounts... Net New Accounts... Assets Under Administration... Net New Assets Under Administration... Daily Average Trades... Daily Average Revenue Trades... Revenues... Net Profits... International Opportunities... English Speaking Countries Markets... Europe, Middle East, & Africa... Asia Pacific... Latin America Markets... Offshore Markets... Continuing Mergers & Acquisitions Activity... Key Driving Factors... Economies of Scale... Product, Channel, &/or Geographical Market Expansion... Mergers & Acquisitions... Cumulative Mergers & Acquisitions... Branches... Leading Discount & Online Brokerage Firm Acquirers... Mergers & Acquisitions... Cumulative Mergers & Acquisitions... Branches Discount & Online Brokerage Firms 7
8 Current Status... Valuations... Ownership... Discount & Online Brokerage Firms Mergers & Acquisitons Future Predictions... Potential Sellers... Potential Buyers... Renewed Venture Capital Investments... Venture Capital Investments... Cumulative Venture Capital Investments... Leading Discount & Online Brokerage Firms Venture Capital Raisers... Ventured Capital Raised... Valuations... Discount & online Brokerage Firms Venture Capital Future Predictions... Future Prediction #1... Future Prediction # Discount & Online Brokerage Firms 8
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