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All 2014-2011 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

Revenue $4,293,898,569

Excess net capital $95,177,588

Cost of E&O insurance $3,200

Affiliation fees $2,100

+ Details

$362,35314,036

Lincoln Financial Network

A subsidiary of Lincoln Financial Group

Clearing firm National Financial Services LLC
Pershing LLC

Revenue $816,844,022

Excess net capital $27,294,000

Cost of E&O insurance $2,683

Affiliation fees $125-$300

+ Details

8,457$25,000

Ameriprise Financial Services Inc.

A subsidiary of Ameriprise Financial

Clearing firm Other

Revenue $3,738,344,789

Cost of E&O insurance N/D

Affiliation fees N/D

+ Details

$492,0007,589

Northwestern Mutual

A subsidiary of The Northwestern Mutual Life Insurance Co.

Clearing firm Pershing LLC

Revenue $748,840,278

Excess net capital $66,410,404

Cost of E&O insurance $1,250.97

Affiliation fees 0

+ Details

$97,7966,0140.00

Transamerica Financial Advisors Inc.

A subsidiary of AUSA Holding Co., an Aegon company

Clearing firm Pershing LLC

Revenue $279,895,000

Cost of E&O insurance $2,040

Affiliation fees $2,100

+ Details

5,103$30,000

MML Investors Services LLC

A subsidiary of Massachusetts Mutual Life Insurance Company

Clearing firm National Financial Services LLC

Revenue $384,651,652

Excess net capital $18,017,550

Cost of E&O insurance $760

Affiliation fees N/A

+ Details

$68,0094,892

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

Revenue $304,854,193

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

Affiliation fees $841

+ Details

$94,6814,515

Cambridge Investment Research Inc.

Clearing firm National Financial Services LLC
Pershing LLC

Revenue $651,408,384

Excess net capital $27,028,690

Cost of E&O insurance $2,750

Affiliation fees None

+ Details

$228,4583,374

Cetera Advisor Networks

A subsidiary of Cetera Financial Group

Clearing firm Pershing LLC

Revenue $564,822,375

Excess net capital $13,535,000

Cost of E&O insurance $2,500

Affiliation fees $1,200

+ Details

$197,4762,948
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