Find a Broker-dealer

All 2013-2011 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

State
Clearing firm
Your Production ($)
Avg. rep payout
No. of reps
Has RIA platform
Sells alternatives
Compare Firm + All Details Avg. payout Reps Min. Production

LPL Financial LLC

A subsidiary of LPL Financial Holdings Inc.

Clearing firm Self-clearing

Cost of E&O insurance $3,200

Affiliation fees $2,100

+ Details

13,910

Lincoln Financial Network

A subsidiary of Lincoln Financial Group

Clearing firm National Financial Services LLC
Pershing LLC

Cost of E&O insurance $2,683

Affiliation fees $125-$300

+ Details

8,432$25,000

Northwestern Mutual

A subsidiary of The Northwestern Mutual Life Insurance Co.

Clearing firm Pershing LLC

Cost of E&O insurance $1,250.97

Affiliation fees 0

+ Details

5,7820.00

Transamerica Financial Advisors Inc.

A subsidiary of AUSA Holding Co., an Aegon company

Clearing firm Pershing LLC

Cost of E&O insurance $2,040

Affiliation fees $2,100

+ Details

5,236$30,000

MML Investors Services LLC

A subsidiary of Massachusetts Mutual Life Insurance Co.

Clearing firm National Financial Services LLC

Cost of E&O insurance $760

Affiliation fees N/A

+ Details

4,892

AXA Advisors

A subsidiary of AXA Financial Inc.

Clearing firm Self-clearing
Other

Revenue $722,900,000

Excess net capital $12,413,419

Cost of E&O insurance $2,141

Affiliation fees N/A

+ Details

$108,3014,854$50,000

HD Vest Investment Services

Clearing firm First Clearing LLC

Cost of E&O insurance $1,350 ($500K of coverage); $1,850 ($1M of coverage)

Affiliation fees $841

+ Details

4,531

Cambridge Investment Research Inc.

Clearing firm National Financial Services LLC
Pershing LLC

Cost of E&O insurance $2,750

Affiliation fees None

+ Details

3,306

Voya Financial Advisors Inc.

A subsidiary of Voya Financial

Clearing firm Pershing LLC

Revenue $408,530,159

Excess net capital $30,470,488

Cost of E&O insurance $2,585

Affiliation fees $2,100

+ Details

$138,9122,811

Cetera Advisor Networks

A subsidiary of Cetera Financial Group

Clearing firm Pershing LLC

Cost of E&O insurance $2,500

Affiliation fees $1,200

+ Details

2,465
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