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Top independent broker-dealers reveal their payout tables

Ninety firms provide their contact information and pay ratios by gross production and type of security

Jan 22, 2017 @ 12:01 am

By InvestmentNews Research

The 2017 InvestmentNews independent-broker-dealer directory is based on information provided by 90 eligible firms. To be considered for future listings, contact INResearch@investmentnews.com. Visit InvestmentNews.com/bddata for more-complete profiles.

Payout ratio by gross production
Firm/parent company (if any) Phone/website/CEO Recruiting contact Product $0-$249,999 $250,000-$499,999 $500,000-$749,999 $750,000-$999,999 $1M and greater
American Portfolios Financial Services Inc. (631) 439-4600 Timothy O'Grady Mutual funds 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
American Portfolios Holdings Inc. americanportfolios.com (800) 889-3914 ext. 285 Securities 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Lon T. Dolber togrady@americanportfolios.com Insurance 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Variable annuities 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Limited partnerships 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Ameriprise Financial Services Inc. (612) 671-3131 Manish P. Dave Mutual funds Up to 91% Up to 91% Up to 91% Up to 91% Up to 91%
Ameriprise Financial joinameriprise.com (612) 671-0932 Securities Up to 91% Up to 91% Up to 91% Up to 91% Up to 91%
Jim Cracchiolo manish.p.dave@ampf.com Insurance Up to 91% Up to 91% Up to 91% Up to 91% Up to 91%
Variable annuities Up to 91% Up to 91% Up to 91% Up to 91% Up to 91%
Limited partnerships Up to 91% Up to 91% Up to 91% Up to 91% Up to 91%
Ameritas Investment Corp. (800) 335-9858 Connie Grosser Mutual funds 60%-75% 75%-80% 80%-85% 85%-90% 90%-94%
Ameritas Life Insurance Co. ameritas.com 513-595-2122 Securities 60%-75% 75%-80% 80%-85% 85%-90% 90%-94%
Salene Hitchcock-Gear cgrosser@ameritas.com Insurance 60%-75% 75%-80% 80%-85% 85%-90% 90%-94%
Variable annuities 60%-75% 75%-80% 80%-85% 85%-90% 90%-94%
Limited partnerships 60%-75% 75%-80% 80%-85% 85%-90% 90%-94%
AXA Advisors (212) 554-1234 Cynthia Bodison Mutual funds 51%-75% 53%-83% 81%-85% 86%-90% 91%-95%
AXA Financial Inc. us.axa.com (704) 540-3927 Securities 51%-75% 53%-83% 81%-85% 86%-90% 91%-95%
David Karr cynthia.bodison@axa.us.com Insurance 51%-75% 53%-83% 81%-85% 86%-90% 91%-95%
Variable annuities 51%-75% 53%-83% 81%-85% 86%-90% 91%-95%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
Berthel Fisher & Co. Financial Services Inc. (319) 447-5700 Vern Coates Mutual funds 70%-90% 85%-90% 90% 90% 90%
Berthel Fisher & Co. berthel.com (800) 356-5234 Securities 70%-85% 85% 85%-90% 90% 90%
Thomas J. Berthel vcoates@berthel.com Insurance 70%-90% 85%-90% 90% 90% 90%
Variable annuities 70%-90% 85%-90% 90% 90% 90%
Limited partnerships 70%-85% 85%-90% 90% 90% 90%
Bolton Global Capital (978) 779-5361 Katherine Sargent Mutual funds 85% 85% 90% 90% 90%
boltonglobal.com (978) 779-5361 x 2212 Securities 85% 85% 90% 90% 90%
Raymond Grenier ksargent@boltonglobal.com Insurance 85% 85% 90% 90% 90%
Variable annuities 85% 85% 60% 60% 60%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
Broker Dealer Financial Services Corp. (800) 352-5634 James Young Mutual funds 50%-95% 50%-95% 50%-95% 50%-95% 50%-95%
BDFSC Holdings Corp. bdfs.com (844) 468-5800 Securities 50%-95% 50%-95% 50%-95% 50%-95% 50%-95%
Lisa M. Smith jyoung@bdfs.com Insurance 50%-95% 50%-95% 50%-95% 50%-95% 50%-95%
Variable annuities 50%-95% 50%-95% 50%-95% 50%-95% 50%-95%
Limited partnerships 50%-95% 50%-95% 50%-95% 50%-95% 50%-95%
Cadaret, Grant & Co. Inc. (800) 288-8601 Steve Blazick Mutual funds 86%-90% 86%-90% 90% 90% 90%
cadaretgrant.com (800) 288-8601 Securities 86%-90% 86%-90% 90% 90% 90%
Arthur F. Grant sblazick@cadaretgrant.com Insurance 86%-90% 86%-90% 90% 90% 90%
Variable annuities 86%-90% 86%-90% 90% 90% 90%
Limited partnerships 86%-90% 86%-90% 90% 90% 90%
Calton & Associates Inc. (813) 264-0440 Chris Radford Mutual funds 75%-92% 75%-92% 75%-92% 75%-92% 75%-92%
calton.com (760) 983-2733 Securities 75%-92% 75%-92% 75%-92% 75%-92% 75%-92%
Randall Ciccati cradford@calton.com Insurance 75%-92% 75%-92% 75%-92% 75%-92% 75%-92%
Variable annuities 75%-92% 75%-92% 75%-92% 75%-92% 75%-92%
Limited partnerships 75%-92% 75%-92% 75%-92% 75%-92% 75%-92%
Cambridge Investment Research Inc. (800) 777-6080 Kyle Selberg Mutual funds Up to 90% Up to 91% Up to 92% Up to 93% Up to 94%
joincambridge.com (800) 777-6080 Securities Up to 90% Up to 91% Up to 92% Up to 93% Up to 94%
Amy Webber kyle.selberg@cir2.com Insurance Up to 100% Up to 100% Up to 100% Up to 100% Up to 100%
Variable annuities Up to 90% Up to 91% Up to 92% Up to 93% Up to 94%
Limited partnerships Up to 90% Up to 91% Up to 92% Up to 93% Up to 94%
Cantella & Co. Inc. (617) 521-8630 Jim Freeman Mutual funds 90% 90% 90% 90% 90%
joincantella.com (617) 521-8630 Securities 90% 90% 90% 90% 90%
Jay Lanstein jfreeman@cantella.com Insurance 90%-100% 90%-100% 90%-100% 90%-100% 90%-100%
Variable annuities 90% 90% 90% 90% 90%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
Capital Investment Co. (919) 831-2370 Richard K. Bryant Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
cico.us (919) 831-2370 Securities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Richard K. Bryant rkbryant@capital-invest.com Insurance 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Limited partnerships 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Centaurus Financial Inc. (800) 880-4234 Kathy A. Swindell Mutual funds Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Federation of Financial Services centaurusfinancial.com (800)880-4234 Securities Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
J. Ronald King kswindell@cfiemail.com Insurance Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Variable annuities Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Limited partnerships Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Century Securities Associates Inc. (314) 342-4050 Terrence D. Frank Mutual funds Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Stifel Financial Corp. centurysecurities.com (800) 488-7994 Securities Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Allen Brautigam frankt@stifel.com Insurance Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Variable annuities Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Limited partnerships Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Cetera Advisor Networks (800) 879-8100 Douglas S. King Mutual funds Set by OSJ Set by OSJ Set by OSJ Set by OSJ Set by OSJ
Cetera Financial Group ceteraadvisornetworks.com (310) 257-7490 Securities Set by OSJ Set by OSJ Set by OSJ Set by OSJ Set by OSJ
Douglas S. King douglas.king@ceteranetworks.com Insurance Set by OSJ Set by OSJ Set by OSJ Set by OSJ Set by OSJ
Variable annuities Set by OSJ Set by OSJ Set by OSJ Set by OSJ Set by OSJ
Limited partnerships Set by OSJ Set by OSJ Set by OSJ Set by OSJ Set by OSJ
Cetera Advisors (800) 929-3485 Erinn Ford Mutual funds Set by OSJ Set by OSJ Set by OSJ Set by OSJ Set by OSJ
Cetera Financial Group ceteraadvisors.com 720-509-2479 Securities Set by OSJ Set by OSJ Set by OSJ Set by OSJ Set by OSJ
Brett L. Harrison erinn.ford@ceteraadvisors.com Insurance Set by OSJ Set by OSJ Set by OSJ Set by OSJ Set by OSJ
Variable annuities Set by OSJ Set by OSJ Set by OSJ Set by OSJ Set by OSJ
Limited partnerships Set by OSJ Set by OSJ Set by OSJ Set by OSJ Set by OSJ
Cetera Financial Institutions (800) 245-0467 Sean Casey Mutual funds 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Cetera Financial Group ceterafinancialinstitutions.com (800) 245-0467 Securities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
LeAnn Rummel (President) sean.casey@ceterafi.com Insurance 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
Cetera Financial Specialists (888) 528-2987 Hank Multala Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Cetera Financial Group ceterafinancialspecialists.com (847) 330-7919 Securities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Enrique M. Vasquez henry.multala@ceterafs.com Insurance 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
CFD Investments Inc. (800) 745-7776 Brent A. Owens Mutual funds 75%-88% 90% 91% 91% 92%
joincfd.com (800) 745-7776 ext. 3006 Securities 75%-88% 90% 91% 91% 92%
cfdinvestments.com brent.owens@cfdinvestments.com Insurance 90% 90% 91% 91% 92%
Brent A. Owens Variable annuities 75-88% 90% 91% 91% 92%
Limited partnerships 75%-88% 90% 91% 91% 92%
Commonwealth Financial Network (866) 462-3638 Andrew H Daniels Mutual funds 50%-87% 86%-90% 86%-90% 86%-90% 90%-95%
commonwealth.com (866) 462-3638 Securities 50%-87% 86%-90% 86%-90% 86%-90% 90%-95%
Wayne M. Bloom adaniels@commonwealth.com Insurance 96%-100% 96%-100% 96%-100% 96%-100% 96%-100%
Variable annuities 50%-87% 86%-90% 86%-90% 86%-90% 90%-95%
Limited partnerships 50%-87% 86%-90% 86%-90% 86%-90% 90%-95%
Correll Co. Investment Services Corp. (708) 599-2900 M. Nicole Correll Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
cciscinvestments.com (708) 599-2900 Securities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
James C. Correll ncorrell@cciscinvestments.com Insurance 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Limited partnerships 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Crown Capital Securities L.P. (800) 803-8886 Darol K. Paulsen Mutual funds 86%-90% 86%-90% 91%-92% 91%-92% 91%-92%
crowncapitalsecurities.com (800) 803-8886 Securities 81%-85% 86%-90% 86%-90% 86%-90% 86%-90%
Darol K. Paulsen dpaulsen@crowncapitalsecurities.com Insurance 86%-90% 86%-90% 91%-92% 91%-92% 91%-92%
Variable annuities 86%-90% 86%-90% 91%-92% 91%-92% 91%-92%
Limited partnerships 86%-90% 86%-90% 91%-92% 91%-92% 91%-92%
CUNA Brokerage Services Inc. (800) 356-2644 Linda DiOrazio Mutual funds 26%-50% 26%-50% 26%-50% 26%-50% 26%-50%
CUNA Mutual Group cunamutual.com/cbsi (800) 356-2644 Securities 26%-50% 26%-50% 26%-50% 26%-50% 26%-50%
Jeff Bosco linda.diorazio@cunamutual.com Insurance 26%-50% 26%-50% 26%-50% 26%-50% 26%-50%
Variable annuities 26%-50% 26%-50% 26%-50% 26%-50% 26%-50%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
Cutter & Co. Inc. (636) 537-8770 William L. Meyer Mutual funds 25%-85% 81%-85% 86%-90% 86%-90% 90%-95%
cutterco.com (636) 537-8770 Securities 25%-85% 81%-85% 86%-90% 86%-90% 90%-95%
Deborah M. Castiglioni wlmeyer@cutter-co.com Insurance 25%-85% 81%-85% 86%-90% 86%-90% 90%-95%
Variable annuities 25%-85% 81%-85% 86%-90% 86%-90% 90%-95%
Limited partnerships 25%-85% 81%-85% 86%-90% 86%-90% 90%-95%
Equity Services Inc. (800) 344-7437 Jeff Wood Mutual funds 81%-85% 81%-85% 81%-85% 81%-85% 81%-85%
National Life Group equity-services.com (802) 229-7489 Securities 81%-85% 81%-85% 81%-85% 81%-85% 81%-85%
Lance Reihl jwood2@nationallife.com Insurance 81%-85% 81%-85% 81%-85% 81%-85% 81%-85%
Variable annuities 81%-85% 81%-85% 81%-85% 81%-85% 81%-85%
Limited partnerships 81%-85% 81%-85% 81%-85% 81%-85% 81%-85%
First Allied Securities Inc. (800) 336-8842 Matthew Bassuk Mutual funds 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Cetera Financial Group firstallied.com (800) 336-8842 Securities 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Kevin Keefe mbassuk@firstallied.com Insurance 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Variable annuities 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Limited partnerships 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Fortune Financial Services Inc. (724) 846-2488 Gregory J. Bentley Mutual funds 80%-90% 90% 90% 90% 90%
fortunefinancialservices.com (724) 846-2488 Securities Not offered Not offered Not offered Not offered Not offered
Gregory J. Bentley gbentley@fortunefinancialservices.com Insurance 80%-90% 90% 90% 90% 90%
Variable annuities 80%-90% 90% 90% 90% 90%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
Founders Financial Securities (888) 523-1162 Dara-Lynn VanPee Mutual funds Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Founders Financial Inc. foundersfinancial.com (410) 308-9988 ext. 1244 Securities Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Michael O. Brooks joinfounders@foundersfinancial.com Insurance Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Variable annuities Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Limited partnerships Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
FSC Securities Corp. (800) 547-2382 Dawn O'Rourke Mutual funds 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Advisor Group joinfsc.com (770) 690-3483 Securities 81%-85% 81%-85% 81%-85% 81%-85% 81%-85%
Jerry Murphy dorourke@fscorp.com Insurance 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Geneos Wealth Management Inc. (888) 812-5043 Ryan W. Diachok Mutual funds 81%-85% 86%-90% 91%-95% 91%-95% 91%-95%
geneoswealth.com (303) 785-8470 ext.115 Securities 81%-85% 86%-90% 91%-95% 91%-95% 91%-95%
Russell R. Diachok rwdiachok@geneoswealth.com Insurance 81%-85% 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities 81%-85% 86%-90% 91%-95% 91%-95% 91%-95%
Limited partnerships 81%-85% 86%-90% 91%-95% 91%-95% 91%-95%
Girard Securities Inc. (858) 622-2140 Scott Tietjen Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% Custom
Cetera Financial Group girardsecurities.com (858) 622-2140 ext 239 Securities 86%-90% 91%-95% 91%-95% 91%-95% Custom
Susan W. Tietjen sctietjen@girardsecurities.com Insurance 86%-90% 91%-95% 91%-95% 91%-95% Custom
Variable annuities 86%-90% 91%-95% 91%-95% 91%-95% Custom
Limited partnerships 86%-90% 91%-95% 91%-95% 91%-95% Custom
Harbour Investments Inc. (888) 855-6960 Rhonda Meyer Mutual funds 75%-91% 90%-92% 92% 92% 92%-94%
harbourinv.com (608) 662-6100 Securities 75%-91% 90%-92% 92% 92% 92%-94%
Nick W. Sondel Rmeyer@harbourinv.com Insurance 90%-100% 90%-100% 92%-100% 92%-100% 92%-100%
Variable annuities 75%-91% 90%-92% 92% 92% 92%-94%
Limited partnerships 75%-91% 90%-92% 92% 92% 92%-94%
Hilltop Securities Independent Network Inc. (214) 859-1800 William Nelson Mutual funds N/D N/D N/D N/D N/D
Hilltop Holdings Inc. HilltopSecurities.com 800-678-3792 Securities N/D N/D N/D N/D N/D
David Geschke william.nelson@hilltopsecurities.com Insurance N/D N/D N/D N/D N/D
Variable annuities N/D N/D N/D N/D N/D
Limited partnerships N/D N/D N/D N/D N/D
Hornor Townsend & Kent Inc. (800) 873-7637 Chris E Nichols Mutual funds 40%-75% 75% 75% 75% 75%
Penn Mutual Life Insurance Co. htk.com cnichols@htk.com Securities 40%-75% 75% 75% 75% 75%
Michelle M. Barry Insurance 40%-75% 75% 75% 75% 75%
Variable annuities 40%-75% 75% 75% 75% 75%
Limited partnerships 40%-75% 75% 75% 75% 75%
IMS Securities Inc./IMS Financial Advisors Inc. (713) 266-2993 Jackie D. Wadsworth Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% N/D
ims-securities.com (713) 266-2993 Securities 86%-90% 86%-90% 86%-90% 86%-90% 91%-95%
Jackie D. Wadsworth jwadsworth@ims-securities.com Insurance 86%-90% 86%-90% 86%-90% 86%-90% 91%-95%
Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 91%-95%
Limited partnerships 86%-90% 86%-90% 86%-90% 86%-90% 91%-95%
Independent Financial Group (858) 436-3180 David A. Fischer Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
ifgsd.com (800) 269-1903 Securities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Scott Heising; David A. Fischer; Joe Miller (Managing Directors) dfischer@ifgsd.com Insurance 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Infinity Financial Services 888-888-5321 Roger Escobar Mutual funds 81%-85% 86%-90% 86%-90% 86%-90% 91%-95%
infinitysecurities.com 510-588-8080 Securities 81%-85% 86%-90% 86%-90% 86%-90% 91%-95%
Gregory B. Gilbert roger@8financial.com Insurance 81%-85% 86%-90% 86%-90% 86%-90% 91%-95%
Variable annuities 81%-85% 86%-90% 86%-90% 86%-90% 91%-95%
Limited partnerships 81%-85% 86%-90% 86%-90% 86%-90% 91%-95%
INVEST Financial Corp. (800) 242-4732 Business Development Team Mutual funds Up to 89% 90% 91% 91% 92%-95%
National Planning Holdings Inc. investfinancial.com (800) 245-4732 Securities Up to 79% 80% 81% 81% 82%-85%
Steve H. Dowden recruiting@investfinancial.com Insurance Up to 89% 90% 91% 91% 92%-95%
Variable annuities Up to 89% 90% 91% 91% 92%-95%
Limited partnerships Up to 89% 90% 91% 91% 92%-95%
Investacorp Inc. (305) 557-3000 Leslie Vigil Mutual funds 86%-89% 86%-90% 90-91% 90-91% 91%-95%
Ladenburg Thalmann Financial Services Inc. investacorp.com 305-901-1825 Securities 86%-89% 86%-90% 90-91% 90-91% 91%-95%
Patrick C. Farrell lvigil@investacorp.com Insurance 86%-89% 86%-90% 90-91% 90-91% 91%-95%
Variable annuities 86%-89% 86%-90% 90-91% 90-91% 91%-95%
Limited partnerships 86%-89% 86%-90% 90-91% 90-91% 91%-95%
The Investment Center Inc. (800) 345-8041 Nicole Johnson Mutual funds 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
investmentctr.com 888-868-4805 Securities 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Ralph J. DeVito njohnson@investctr.com Insurance 96%-100% 96%-100% 96%-100% 96%-100% 96%-100%
Variable annuities 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Limited partnerships 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Investment Centers of America Inc. (800) 544-7113 JJ Hudock Mutual funds 75%-92% 75%-92% 75%-92% 75%-92% 75%-92%
National Planning Holdings Inc. joinica.com 701.426.1359 Securities 75%-85% 75%-85% 75%-85% 75%-85% 75%-85%
Jim Komoszewski jj.hudock@investmentcenters.com Insurance 75%-92% 75%-92% 75%-92% 75%-92% 75%-92%
Variable annuities 75%-92% 75%-92% 75%-92% 75%-92% 75%-92%
Limited partnerships 75%-92% 75%-92% 75%-92% 75%-92% 75%-92%
J.W. Cole Financial Inc. (866) 592-6531 John Carlson Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
joinjw-cole.com (866) 592-6531 Securities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Robert Wood john.carlson@jw-cole.com Insurance 96%-100% 96%-100% 96%-100% 96%-100% 96%-100%
Variable annuities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Kalos Capital Inc. (678) 356-1100 Dan Meehan Mutual funds 76%-80% 81%-85% 86%-90% 86%-90% 86%-90%
joinkalos.com (770) 407-5417 Securities 76%-80% 81%-85% 86%-90% 86%-90% 86%-90%
Daniel L. Wildermuth dmeehan@kalosfinancial.com Insurance Not offered Not offered Not offered Not offered Not offered
Variable annuities 76%-80% 81%-85% 86%-90% 86%-90% 86%-90%
Limited partnerships 76%-80% 81%-85% 86%-90% 86%-90% 86%-90%
Kestra Financial Inc. (512) 697-6000 Daniel Schwamb Mutual funds 65%-85% 88%-91% 92% 93% 93%-95%
kestrafinancial.com (512) 697-6162 Securities 65%-88% 88%-91% 92% 93% 93%-95%
James L. Poer daniel.schwamb@kestrafinancial.com Insurance 65%-100% 88%-100% 92%-100% 93%-100% 93%-100%
Variable annuities 65%-88% 51%-75% 92% 93% 93%-95%
Limited partnerships 65%-88% 88%-91% 92% 93% 93%-95%
KMS Financial Services Inc. (206) 441-2885 Scott Montgomery Mutual funds 65%-90% 92%-94% 94%-95% 95% 95%-96%
Ladenburg Thalmann Financial Services Inc. kms.com 206-441-2885 Securities 65%-90% 92%-94% 94%-95% 95% 95%-96%
Eric S. Westberg montgomery@kms.com Insurance 65%-90% 92%-94% 94%-95% 95% 95%-96%
Variable annuities 65%-90% 92%-94% 94%-95% 95% 95%-96%
Limited partnerships 65%-90% 92%-94% 94%-95% 95% 95%-96%
Kovack Securities Inc. (866) 564-6574 Carlo A. Bidone Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Kovack Financial Companies joinksi.com (954) 670-0616 Securities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Ronald J. Kovack (Chairman) carlo@kovacksecurities.com Insurance 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
LaSalle St. Securities (800) 777-7865 Mark Contey Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
lasallest.com (630) 600-0360 Securities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Jack McDermott mark@lasallest.com Insurance 96%-100% 96%-100% 96%-100% 96%-100% 96%-100%
Variable annuities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Lincoln Financial Network (866) 536-6630 James Sorey Mutual funds N/D N/D N/D N/D N/D
Lincoln Financial Group JoinLFN.com 225-571-2427 Securities N/D N/D N/D N/D N/D
David S Berkowitz (President) James.Sorey@lfg.com Insurance N/D N/D N/D N/D N/D
Variable annuities N/D N/D N/D N/D N/D
Limited partnerships N/D N/D N/D N/D N/D
Lincoln Investment Planning (215) 887-8111 Thomas Lakatos Mutual funds Varies Varies Varies Varies Varies
Lincoln Investment Group Holdings lincolninvestment.com (215) 881-4657 Securities Varies Varies Varies Varies Varies
Edward Forst tlakatos@lincolninvestment.com Insurance Varies Varies Varies Varies Varies
Variable annuities Varies Varies Varies Varies Varies
Limited partnerships Varies Varies Varies Varies Varies
LPL Financial (888) 250-2420 Bill Morrissey Mutual funds 90%-92% 90%-92% 90%-93% 90%-94% 90%-98%
LPL Financial Holdings Inc. lpl.com 888 250 2420 Securities 77%-79% 82%-84% 83%-86% 83%-87% 83%-91%
Dan Arnold bill.morrissey@lpl.com Insurance 90%-92% 90%-92% 90%-93% 90%-94% 90-94
Variable annuities 90%-92% 90%-92% 90%-93% 90%-94% 90%-94%
Limited partnerships 90%-92% 90%-92% 90%-93% 90%-94% 90%-94%
M Holdings Securities Inc. (M Securities) (503) 232-6960 Randy O'Connor Mutual funds 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
M Financial Group mfin.com (503) 414-7250 Securities 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Ken Stephens Randall.O'Connor@mfin.com Insurance 96%-100% 96%-100% 96%-100% 96%-100% 96%-100%
Variable annuities 96%-100% 96%-100% 96%-100% 96%-100% 96%-100%
Limited partnerships 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
MML Investors Services (800) 542-6767 Daniel J. Flynn Mutual funds 40%-80% 80%-82.5% 83% 83% 83%
Massachusetts Mutual Life Insurance Company mmlinvestors.com danielflynn@massmutual.com Securities 40%-80% 80%-82.5% 83% 83% 83%
John A. Vaccaro Insurance 40%-80% 80%-82.5% 83% 83% 83%
Variable annuities 40%-80% 80%-82.5% 83% 83% 83%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
MSI Financial Services Inc. (800) 638-8378 Daniel J. Flynn Mutual funds 40%-80% 80%-82.5% 83% 83% 83%
Massachusetts Mutual Life Insurance Company Wendy A. Benson danielflynn@massmutual.com Securities 40%-80% 80%-82.5% 83% 83% 83%
Insurance 40%-80% 80%-82.5% 83% 83% 83%
Variable annuities 40%-80% 80%-82.5% 83% 83% 83%
Limited partnerships 40%-80% 80%-82.5% 83% 83% 83%
National Planning Corporation (NPC) 888-711-6720 Austin Moon Mutual funds 86%-90% 86%-90% 91%-95% 91%-95% 92%
National Planning Holdings Inc. joinnpc.com (512) 266-6951 Securities 81%-85% 76%-80% 81%-85% 81%-85% 81%-85%
John C. Johnson austin.moon@npholding.com Insurance 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Variable annuities 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Limited partnerships 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Nationwide Planning Associates Inc. (201) 476-0029 Michael J. De Pol Mutual funds Varies Varies Varies Varies Varies
nationwideplanning.com (201) 819-6204 Securities Varies Varies Varies Varies Varies
Michael J. Karalewich mdepol@nationwideplanning.com Insurance Varies Varies Varies Varies Varies
Variable annuities Varies Varies Varies Varies Varies
Limited partnerships Varies Varies Varies Varies Varies
NEXT Financial Group Inc. (877) 876-6398 Peter Delehanty; Barry G. Knight Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
NEXT Financial Holdings Inc. nextfinancial.com (713) 375-2610 Securities 81%-85% 86%-90% 86%-90% 86%-90% 86%-90%
Norman Grant pdelehanty@nextfinancial.com Insurance 96%-100% 96%-100% 96%-100% 96%-100% 96%-100%
Variable annuities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships 81%-85% 86%-90% 86%-90% 86%-90% 86%-90%
The O.N. Equity Sales Co. (513) 794-6794 Tim Minton Mutual funds 75%-90% 75%-90% 75%-90% 75%-90% 75%-90%
Ohio National Financial Services joinonesco.com (513) 797-3401 Securities 75%-90% 75%-90% 75%-90% 75%-90% 75%-90%
Patrick H. McEvoy timothy_minton@ohionational.com Insurance 75%-90% 75%-90% 75%-90% 75%-90% 75%-90%
Variable annuities 75%-90% 75%-90% 75%-90% 75%-90% 75%-90%
Limited partnerships 75%-90% 75%-90% 75%-90% 75%-90% 75%-90%
Packerland Brokerage Services Inc. (920) 662-9500 Scott Zwierzynski Mutual funds 70%-92% 92%-94% 94% 94% 94%
packerlandbrokerage.com (920) 662-9500 Securities 70%-92% 92%-94% 94% 94% 94%
Zach Kelly scottz@pbshq.com Insurance 70%-92% 92%-94% 94% 94% 94%
Variable annuities 70%-92% 92%-94% 94% 94% 94%
Limited partnerships 70%-92% 92%-94% 94% 94% 94%
Parkland Securities (800) 373-1612 Jennifer Bacarella Mutual funds 86%-90% 86%-90% 86%-90% 91%-95% 91%-95%
parklandsecurities.com 888-744-6264 Securities 76%-80% 76%-80% 76%-80% 81%-85% 81%-85%
Jerome Rydell jbacarella@bdops.com Insurance 86%-90% 86%-90% 86%-90% 91%-95% 91%-95%
Variable annuities 86%-90% 86%-90% 86%-90% 91%-95% 91%-95%
Limited partnerships 86%-90% 86%-90% 86%-90% 91%-95% 91%-95%
PlanMember Securities Corp. (800) 874-6910 Kendra Silverman Mutual funds 75%-92% 90%-92% 90%-93% 90%-93% 91%-94%
joinplanmember.com (800) 874-6910 ext. 2553 Securities 75%-92% 90%-92% 90%-93% 90%-93% 91%-94%
Jon Ziehl ksilverman@planmember.com Insurance 100% 100% 100% 100% 100%
Variable annuities 75%-92% 90%-92% 90%-93% 90%-93% 91%-94%
Limited partnerships 75%-92% 90%-92% 90%-93% 90%-93% 91%-94%
Principal Securities Inc. (888) 774-6267 Janel Velky Mutual funds 40%-85% 85% 85% 85% 85%
Principal Life Insurance Co. principal.com 888-774-6267 Securities 40%-85% 85% 85% 85% 85%
Kara Hoogensen (President) velky.janel@principal.com Insurance 80%-100% 80%-100% 80%-100% 80%-100% 80%-100%
Variable annuities 75%-100% 75%-100% 75%-100% 75%-100% 75%-100%
Limited partnerships 40%-85% 85% 85% 85% 85%
ProEquities Inc. (800) 288-3035 Matthew Williams Mutual funds Up to 92% Up to 92% Up to 92% Up to 92% Up to 92%
Protective Life Corp. proequities.com 205-268-5430 Securities Up to 92% Up to 92% Up to 92% Up to 92% Up to 92%
Christopher W. Flint Matthew.Williams@proequities.com Insurance Up to 92% Up to 92% Up to 92% Up to 92% Up to 92%
Variable annuities Up to 92% Up to 92% Up to 92% Up to 92% Up to 92%
Limited partnerships Up to 92% Up to 92% Up to 92% Up to 92% Up to 92%
Prospera Financial Services Inc. (972) 581-3000 Tim Edwards Mutual funds 86%-90% 86%-90% 86%-90% 90%-92% 92%-99%
prosperafinancial.com (972) 581-3007 Securities 86%-90% 86%-90% 86%-90% 90%-92% 92%-99%
David W. Stringer tim.edwards@prosperafinancial.com Insurance 86%-90% 86%-90% 86%-90% 90%-92% 92%-99%
Variable annuities 86%-90% 86%-90% 86%-90% 90%-92% 92%-99%
Limited partnerships 86%-90% 86%-90% 86%-90% 90%-92% 92%-99%
Quest Capital Strategies Inc. 800-433-0003 Michael Yu Mutual funds Varies Varies Varies Varies Varies
questcapital.com 800-433-0003 Securities Varies Varies Varies Varies Varies
Joe Nikolson MichaelYu@questcapital.com Insurance Varies Varies Varies Varies Varies
Variable annuities Varies Varies Varies Varies Varies
Limited partnerships Varies Varies Varies Varies Varies
Questar Capital Corp. (888) 446-5872 John Challas Mutual funds 81%-85% 86%-90% 86%-90% 91%-95% 91%-95%
Allianz Insurance Co. of North America questarcapital.com 763.765.6151 Securities 81%-85% 86%-90% 86%-90% 91%-95% 91%-95%
Sherri Du Mond john.challas@us.questarcapital.com Insurance 81%-85% 86%-90% 86%-90% 91%-95% 91%-95%
Variable annuities 81%-85% 86%-90% 86%-90% 91%-95% 91%-95%
Limited partnerships 81%-85% 86%-90% 86%-90% 91%-95% 91%-95%
Raymond James Financial Services Inc. (866) 694-5807 Barry Papa Mutual funds Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Raymond James Financial advisorchoice.com (866) 694-5807 Securities Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Paul Reilly advisorchoicerecruiting@raymondjames.com Insurance Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Variable annuities Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Limited partnerships Up to 90% Up to 90% Up to 90% Up to 90% Up to 90%
Royal Alliance Associates Inc. (800) 821-5100 Al Grilli Mutual funds 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Advisor Group royalalliance.com 212-551-5650 Securities 81%-85% 81%-85% 81%-85% 81%-85% 81%-85%
Dmitry Goldin agrilli@royalalliance.com Insurance 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
SagePoint Financial Inc. (866) 462-4432 Genevieve Sisco Mutual funds N/D 91%-95% 91%-95% 91%-95% 91%-95%
Advisor Group sagepointfinancial.com (866) 462-4432 Securities N/D 81%-85% 81%-85% 81%-85% 81%-85%
Jeff Auld joinus@spfi.com Insurance N/D 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities N/D 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships N/D 91%-95% 91%-95% 91%-95% 91%-95%
Securities America Inc. (800) 747-6111 Gregg Johnson Mutual funds 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Ladenburg Thalmann Financial Services Inc. joinsai.com (800) 747-6111 Securities 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Jim Nagengast gjohnson@saionline.com Insurance 96%-100% 96%-100% 96%-100% 96%-100% 96%-100%
Variable annuities 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Securities Management and Research (800) 526-8346 Vern Coates Mutual funds 70%-83% 83%-90% 88%-90% 88%-90% 90%
One Financial Inc. smrinvestments.com 800-526-8346 Securities 70%-83% 83%-88% 88% 88%-90% 90%
Thomas J. Berthel vcoates@smrinvestments.com Insurance 70%-83% 83%-90% 88%-90% 88%-90% 90%
Variable annuities 70%-83% 83%-90% 88%-90% 88%-90% 90%
Limited partnerships 70%-83% 83%-90% 88%-90% 88%-90% 90%
Securities Service Network Inc. (855) 382-8754 Landon Moore Mutual funds 96%-100% 96%-100% 96%-100% 96%-100% 96%-100%
Ladenburg Thalmann Financial Services Inc. joinssn.com (855) 382-8754 Securities 96%-100% 96%-100% 96%-100% 96%-100% 96%-100%
Wade S. Wilkinson landon.moore@ssnetwork.com Insurance 96%-100% 96%-100% 96%-100% 96%-100% 96%-100%
Variable annuities 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships 81%-85% 81%-85% 81%-85% 81%-85% 81%-85%
Sigma Financial Corp. (888) 744-6264 Jennifer Bacarella Mutual funds 86%-90% 86%-90% 86%-90% 91%-95% 91%-95%
sigmafinancial.com (888) 744-6264 Securities 76%-80% 76%-80% 76%-80% 81%-85% 81%-85%
Jerome Rydell jbacarella@bdops.com Insurance 86%-90% 86%-90% 86%-90% 91%-95% 91%-95%
Variable annuities 86%-90% 86%-90% 86%-90% 91%-95% 91%-95%
Limited partnerships 86%-90% 86%-90% 86%-90% 91%-95% 91%-95%
Signator Investors Inc. (800) 543-6611 Matt Rigatti Mutual funds 74%-87.5% 91%-95% 91%-95% 91%-95% 91%-95%
Manulife Financial signatorinvestors.com (617) 663-3215 Securities 88.5%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Christopher Maryanopolis (President) mrigatti@jhancock.com Insurance 90%-112.5% 90%-100% 90%-112.5% 90%-112.5% 90%-112.5%
Variable annuities 74%-87.5% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships 74%-87.5% 91%-95% 91%-95% 91%-95% 91%-95%
SII Investments Inc. (800) 426-5975 Steve VanDomelen Mutual funds 89%-90% 90% 91% 91% 92%-95%
National Planning Holdings Inc. siionline.com (920) 996-2699 Securities 79%-80% 80% 81% 81% 82%-85%
Todd Kinart steve.vandomelen@siionline.com Insurance 89%-90% 90% 91% 91% 92%-95%
Variable annuities 89%-90% 90% 91% 91% 92%-95%
Limited partnerships 89%-90% 90% 91% 91% 92%-95%
Spire Investment Partners (703) 748-5800 Cindy Hamill Mutual funds 81%-85% 91%-95% 86%-90% 86%-90% 86%-90%
spireip.com 703-748-5811 Securities 81%-85% 86%-90% 86%-90% 86%-90% 86%-90%
David L. Blisk Insurance 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities 81%-85% 91%-95% 86%-90% 86%-90% 86%-90%
Limited partnerships 81%-85% 86%-90% 86%-90% 86%-90% 86%-90%
St. Bernard Financial Services Inc. (479) 967-1200 Robert Keenan Mutual funds 81%-85% 81%-85% 86%-90% 86%-90% 86%-90%
stbernardfinancial.com (479) 967-1200 Securities 81%-85% 81%-85% 86%-90% 86%-90% 86%-90%
Robert Keenan rkeenan@stbernardfinancial.com Insurance 81%-85% 81%-85% 86%-90% 86%-90% 86%-90%
Variable annuities 81%-85% 81%-85% 86%-90% 86%-90% 86%-90%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
Sterne Agee Financial Services (877) 378-3763 Stephen M. O'Neill Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
INTL FC Stone sterneagee.com (205) 414-3349 Securities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Jay Carter soneill@sterneagee.com Insurance 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities 86%-90% 91%-95% 91%-95% 90% 91%-95%
Limited partnerships 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
The Strategic Financial Alliance Inc. (678) 954-4000 Paige H. Kerr Mutual funds 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
SFA Holdings Inc. jointhesfa.com (678) 954-4060 Securities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Clive Slovin pkerr@thesfa.ent Insurance 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Summit Brokerage Services Inc. (800) 354-5528 Vincent Chiera Mutual funds 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Cetera Financial Group joinsummit.com 800-354-5528 Securities 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Marshall T. Leeds vchiera@summitbrokerage.com Insurance 96%-100% 96%-100% 96%-100% 96%-100% 96%-100%
Variable annuities 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Limited partnerships 86%-90% 86%-90% 91%-95% 91%-95% 91%-95%
Transamerica Financial Advisors Inc. 770-248-3271 Mutual funds N/D N/D N/D N/D N/D
AUSA Holding Co., an Aegon company tfa.transamerica.com Securities N/D N/D N/D N/D N/D
George Chuang (President) Insurance N/D N/D N/D N/D N/D
Variable annuities N/D N/D N/D N/D N/D
Limited partnerships N/D N/D N/D N/D N/D
Triad Advisors Inc. (800) 720-4003 Nathan Stibbs Mutual funds Below Production Minimum 86%-90% 86%-90% 91%-95% 91%-95%
Ladenburg Thalmann Financial Services Inc. triad-advisors.com (800) 720-4003 Securities Below Production Minimum 86%-90% 86%-90% 91%-95% 91%-95%
Jeff Rosenthal nathan@triad-advisors.com Insurance Below Production Minimum 86%-90% 86%-90% 91%-95% 91%-95%
Variable annuities Below Production Minimum 86%-90% 86%-90% 91%-95% 91%-95%
Limited partnerships Below Production Minimum 86%-90% 86%-90% 91%-95% 91%-95%
Trustmont Financial Group Inc. (724) 468-5665 Evan Seach Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% 91%-95%
trustmontgroup.com (724) 468-5665 Securities 86%-90% 86%-90% 86%-90% 86%-90% 91%-95%
Anthony C. Hladek (President) ems@trustmontgroup.com Insurance 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 91%-95%
Limited partnerships 86%-90% 86%-90% 86%-90% 86%-90% 91%-95%
United Planners Financial Services (800) 966-8737 Sheila J. Cuffari-Agasi Mutual funds 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
United Planners Financial Services unitedplanners.com (800) 966-8737 ext. 240 Securities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
David A. Shindel sjcuffari@unitedplanners.com Insurance 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships 86%-90% 91%-95% 91%-95% 91%-95% 91%-95%
Veritas Independent Partners (501) 358-6131 Debra Shannon Mutual funds 65%-90% 90% 90% 90% 90%
veritasindependentpartners.com 501-358-6131 Securities 65%-90% 90% 90% 90% 90%
R. Gail Murdoch debra@veritasmail.com Insurance 65%-90% 90% 90% 90% 90%
Variable annuities 65%-90% 90% 90% 90% 90%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
Voya Financial Advisors Inc. (800) 356-2906 Doug Wallace Mutual funds 40%-92% 77%-92% 77%-92% 77%-92% 77%-92%
Voya Financial voyafinancialadvisors.com (978) 270-0546 Securities 40%-92% 77%-92% 77%-92% 77%-92% 77%-92%
Thomas Halloran douglas.wallace@voya.com Insurance 40%-92% 77%-92% 77%-92% 77%-92% 77%-92%
Variable annuities 40%-92% 77%-92% 77%-92% 77%-92% 77%-92%
Limited partnerships 40%-92% 77%-92% 77%-92% 77%-92% 77%-92%
Waddell & Reed Financial Advisors (913) 236-2000 David Call Mutual funds 46%-60% 66%-67% 70%-72% 75%-77.5% 80%-84%
Waddell & Reed Financial Inc. joinwaddell.com (913) 236-3994 Securities 46%-60% 66%-67% 70%-72% 75%-77.5% 80%-84%
Tom Butch dcall1@waddell.com Insurance 46%-60% 66%-67% 70%-72% 75%-77.5% 80%-84%
Variable annuities 46%-60% 66%-67% 70%-72% 75%-77.5% 80%-84%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
Wells Fargo Advisors Financial Network (866) 485-5383 Alex David Mutual funds 70%-85% 85%-90% 86%-90% 86%-90% 86%-90%
wfafinet.com (314) 875-3950 Securities 70%-80% 80%-83% 81%-85% 81%-85% 81%-85%
Kent Christian alex.david@wellsfargoadvisors.com Insurance 70%-85% 85%-90% 86%-90% 86%-90% 86%-90%
Variable annuities 70%-85% 85%-90% 86%-90% 86%-90% 86%-90%
Limited partnerships Not offered Not offered Not offered Not offered Not offered
Woodbury Financial Services (800) 800-2638 Scott Little Mutual funds 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Advisor Group joinwoodbury.com (651) 702-1930 Securities 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Rick Fergesen scott.little@woodburyfinancial.com Insurance 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Variable annuities 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
Limited partnerships 91%-95% 91%-95% 91%-95% 91%-95% 91%-95%
World Capital Brokerage Inc. (888) 742-0631 Patrick E. Dukette Mutual funds 50%-100% 50%-100% 50%-100% 50%-100% 50%-100%
worldcapitalbrokerage.com 303-626-0601 Securities 50%-100% 50%-100% 50%-100% 50%-100% 50%-100%
Timothy E. Taggart (President ) pdukette@worldcapitalbrokerage.com Insurance 50%-120% 50%-120% 50%-120% 50%-120% 50%-120%
Variable annuities 50%-100% 50%-100% 50%-100% 50%-100% 50%-100%
Limited partnerships 50%-100% 50%-100% 50%-100% 50%-100% 50%-100%
Wunderlich Securities Inc. (901) 251-1330 David C. Claibourne Mutual funds 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
wunderlichsecurities.com (901) 259-9410 Securities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Gary K. Wunderlich dclaibourne@wundernet.com Insurance 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Variable annuities 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%
Limited partnerships 86%-90% 86%-90% 86%-90% 86%-90% 86%-90%

Source: InvestmentNews Research; Note: If the CEO post is vacant or does not exist, top executive listed; executives may share or have additional titles. N/D = Not disclosed.

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