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Last $6.91 USD
Change Today 0.00 / 0.00%
Volume 0.0
SWS On Other Exchanges
New York
As of 4:30 PM 12/31/14 All times are local (Market data is delayed by at least 15 minutes).
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Company Description

Contact Info

1201 Elm Street

Suite 3500

Dallas, TX 75270

United States

Phone: 214-859-1800


SWS Group, Inc., a financial services holding company, focuses on delivering a range of investment banking, commercial banking, and related financial services to corporate, individual, and institutional investors; broker/dealers; governmental entities; and financial intermediaries. The company’s principal brokerage subsidiary, Southwest Securities, Inc. (Southwest Securities), is a registered clearing broker/dealer and a member of the New York Stock Exchange. It is also a member of the Financial Industry Regulatory Authority (FINRA), Securities Investor Protection Corporation, and other regulatory and trade organizations. Southwest Securities provides integrated trade execution, clearing, and client account processing to approximately 140 financial service organizations, which include correspondent broker/dealers and registered investment advisors in 29 states and Canada. Southwest Securities serves individual investors through its private client group offices in Texas, California, and Oklahoma, as well as serves institutional investors nationwide. Southwest Securities also extends margin credit and lends securities, and manages and participates in underwriting equity and fixed income securities. The company also operates SWS Financial Services, Inc. (SWS Financial), an introducing broker/dealer subsidiary that is also registered with FINRA. SWS Financial contracts with 278 individual registered representatives (who are FINRA licensed salespersons) for the administration of their securities business. SWS Financial is a correspondent of Southwest Securities, which clears all customer transactions on a fully disclosed basis. The company offers full-service, traditional and Internet banking through Southwest Securities, FSB (the ‘bank’). The bank is a federally chartered savings bank, organized and existing under the laws of the United States and regulated by the Office of the Comptroller of the Currency. Segments The company operates through four business segments: Clearing, Retail, Institutional, and Banking. Clearing This segment provides clearing and execution services for other broker/dealers (primarily on a fully disclosed basis). The company’s clientele includes general securities broker/dealers and firms specializing in high-volume trading. It supports a range of clearing clients, including discount and full-service brokerage firms, registered investment advisors, and institutional firms. High-volume trading firms trade on a proprietary basis or provide services to those customers who trade on a daily basis. In addition to clearing trades, the company tailors its services to meet the specific needs of its clients, and offers products and services, such as recordkeeping, trade reporting, accounting, general back-office support, securities and margin lending, reorganization assistance and custody of securities. As of June 30, 2014, the company provided clearing services for two high-volume trading firms. Retail This segment includes the sale of retail securities, insurance products, and managed accounts. Retail Securities: The company acts as securities broker for retail investors in the purchase and sale of securities, options, commodities, and futures contracts that are traded on various exchanges or in the over-the-counter market through its employee registered representatives or its independent contractor arrangements. As a securities broker, the company extends margin credit on a secured basis to its retail customers to facilitate securities transactions. Through its insurance subsidiaries, the company holds insurance licenses to facilitate the sale of insurance and annuity products by its financial advisors to retail clients. Some of the company’s registered representatives also maintain licenses to sell certain insurance products. Southwest Securities is registered with the Commodity Futures Trading Commission as a non-guaranteed introducing broker and is a member of the National Futures Association. Southwest Securities is also a fully disclosed client of two of the primary futures commission merchants in the United States. The company’s financial advisors work with the


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