台灣證券市場在政策改革與開放趨勢下，證券商家數快速增加，尤其於1990年期間總數累計達381家爲最高峰。綜觀近幾十年來股市發展脈絡，幾經起伏震盪三波萬點行情，儘管投資風險充滿不確定性，投資股票市場仍成爲社會大眾投資的重要管道之一。然而，由於國內券商過多且業務重疊性高，證券商競爭越趨激烈，甚而進入無利可圖之局勢。 其後至於2000年金融控股公司法通過，一股整併風潮也吹向證券業，證券商家數因此銳減，也同時更朝大型化發展。惟經營體質的基礎弱者恒弱，而強者不代表永具優勢，證券公司唯有建構差異化服務的經營體質，提昇客戶忠誠度並吸引更多的客群，才能掌握經營致勝的關鍵，開創獨贏的契機。 有鑑於此，本研究針對證券公司對投資者服務績效評估，探討投資人對證券商實際服務品質（即滿意度指標）之訴求，以因素分析法針對21個問項的滿意度萃取出三個構面，並以9項基本資料組成三個構面做變異數分析或t檢定，用以顯現投資族群間的落差。復以Logic迴歸分析做爲投資者對證券商滿意度與構面之區別，利用上下管制線之績效評估矩陣，探討投資者對現行券商提供服務相關資訊之認知差異，試圖找出需改善癥結，再以9個基本資料對該問項做變異數分析定義出其中認知較低族群，實際瞭解投資大眾對證券商服務品質的觀感，期能透過本研究之觀察分析，研議具體而有效之論點，以提供經營者推動營運改善參考。

With the policy reform in the stock market of Taiwan over the last few decades, the reform has attracted new private brokers to the industry with a peak of 381 individual private brokers in the 90s. With the ups and downs of the stock market, share investments have become one of the major investment strategies adopted by the general public. However, due to the excessive number of brokers and overlapping of business operations, these have contributed to the increase of vicious competition. After successful implementation of the Financial Investment Corporations reform in 2000, market structure reform was also introduced to the investment industry to reduce vicious competition. As a result, the number of private brokers has decreased and this has encouraged vertical integration of remaining brokers in the market. The purpose of this research is to analyze service qualities received by the investors with data collected from random sampling through surveys. A number of methods will be used to analyze these data including creating 3 service categories using factor analysis approach from 21 service quality questions. Further variance analysis or t-testing will be used to identify differences between the 3 service categories. Lastly, a logical regression analysis will be used to examine the relationship between the investor-broker satisfactions. Performance evaluation of the upper and lower control line matrix will be used to further explain the difference between service quality recognition investors and brokers. Understanding these differences is expected to be able to assist brokers to analyze their current service qualities and improve their current service strategy.