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From List: Brokerage Firms F/T CT Emply. 2004 Revenue in '000s Senior Officer Title Rank BOL CT Rank BNH BOL Name Branch Registered Brokers Branch Employees Firm Brokers Firm Employees 1  Smith Barney New Haven 203-772-3970 $21,000,000 Mary Beth Wafer Sr. Vice-President, Investments; Branch Manager 54 89 11,000 35,000 8  A.G. Edwards & Sons Hamden 203-281-1112 $2,600,000,000 Richard Pignone, Kimberley Hurd Co-managers 22 35 6,864 15,351 14t  Benchmark Asset Management LLC Guilford 203-453-4544 1 WND John Kinney Managing Member 1 1 1 1 12  Beneficial Capital Inc. Woodbridge 203-389-3555 3 WND Dick Schatz President 3 3 3 3 NR  Fidelity Investments New Haven 800-243-4549 10 >$100,000,000 Steve Boileau Branch Manager 8 10 10,000 30,000 14t  First Financial Planners Madison 203-245-0017 4 $500,000-$999,999 Dave Gagnon Branch Manager 1 4 420 530 3  First Investors North Haven 203-239-4545 4 WND Paul Prete Senior Vice President 24 4 850 2,500 10  Legg Mason Wood Walker Inc. New Haven 203-782-2020 18 $2,408,708,000 Raymond A. Mason Chairman, President & CEO 11 18 1,353 5,580 2  Merrill Lynch New Haven 203-776-3050 70 $18,600,000,000 Francis Adams Managing Director 38 70 14,000 40,000 4t  Morgan Stanley New Haven 203-781-5900 25 >$100,000,000 John G. O’Neill Branch Manager 17 25 11,000 55,000 13  Oppenheimer & Co. Inc. Wallingford 203-284-1990 WND $250,000,000-$999,999,999 Albert G. Lowenthal Chairman of the Board 2 3 1,102 1,700 6  Ryan Beck & Co. Hamden 203-772-7200 18 WND Michael LeClair Sr. V.P. New England Complex Manager 8 15 500 1,000 4t  UBS New Haven 203-562-0700 300 >$1,000,000,000 Mark Sutton Chairman 30 50 8,300 72,000 NR  Waddell & Reed North Haven 203-234-8903 28 WND Hank Herrmann CEO 24 28 3,300 4,000 NR  People’s Securities1 Bridgeport 800-772-4400 Michael Harkins President & CEO N/A N/A 58 75 NR NR  Detwiler, Mitchell, Fenton & Graves Inc. Meriden 800-530-2101 Dennie E. Conway Branch Manager 3 4 Footnotes: 1 Not applicable. Designated employees at bank branches are registered brokers. LEGEND:NR: = Non -ranked NRO: = Non- ranked, Online Only, NRL Non-ranked In Print and Online Version Book of Lists CT rank shown top and Business New Haven rank bottom, if applicable.