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All 2012-2011 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 Avg. rep payout Has RIA platform
Clearing firm No. of reps Sells alternatives
Your Production ($)
Compare Firm[ + ] Details Avg. payout Reps ▼ Min. Production

LPL Financial LLC

A subsidiary of LPL Financial Holdings Inc.

[ + ] Details

Clearing firm: Self-clearing

Revenue: $3,582,700,000

Excess net capital: $51,100,000

Cost of E&O insurance: $2,750 primary coverage

Affiliation fees: $1,200-$2,100

$184,60013,3360.00

Lincoln Financial Network

[ + ] Details

Clearing firm: National Financial Services LLC
Pershing LLC

Revenue: $745,225,193

Excess net capital: $20,983,000

Cost of E&O insurance: $2,449

Affiliation fees: $1,500-$3,600

—8,263$25,000

Allstate Financial Services LLC

A subsidiary of Allstate Insurance Co.

[ + ] Details

Clearing firm: National Financial Services LLC

Revenue: $83,939,396

Excess net capital: $16,897,075

Cost of E&O insurance: Not Available

Affiliation fees: Varies

$6,2497,566$1,000

Ameriprise Financial Services Inc.

A subsidiary of Ameriprise Financial

[ + ] Details

Clearing firm: Self-clearing

Revenue: $2,910,032,364

Excess net capital: $87,000,000

Cost of E&O insurance: N/D

Affiliation fees: N/D

$385,4807,4490.00

Northwestern Mutual

A subsidiary of The Northwestern Mutual Life Insurance Co.

[ + ] Details

Clearing firm: Pershing LLC

Revenue: $553,566,857

Excess net capital: $91,560,101

Cost of E&O insurance: $1,378

Affiliation fees: None

$62,7805,9390.00

Axa Advisors LLC

A subsidiary of AXA Financial Inc.

[ + ] Details

Clearing firm: Other

Revenue: $624,600,000

Excess net capital: $21,181,384

Cost of E&O insurance: $2,028 for basic coverage of $2.5 million per claim; $4 million annual aggregate

Affiliation fees: None

$87,7365,2420.00

MetLife Securities Inc.

A subsidiary of MetLife Inc.

[ + ] Details

Clearing firm: Pershing LLC

Revenue: $537,572,616

Cost of E&O insurance: $1,886

Affiliation fees: None

$65,8394,9250.00

Raymond James Financial Services Inc.

A subsidiary of Raymond James Financial

[ + ] Details

Clearing firm: Raymond James & Associates Inc.

Revenue: $1,208,126,894

Excess net capital: $11,439,265

Cost of E&O insurance: N/A

Affiliation fees: $3,540

$318,7504,773$250,000

MML Investors Services LLC

A subsidiary of Massachusetts Mutual Life Insurance Co.

[ + ] Details

Clearing firm: National Financial Services LLC

Revenue: $336,118,000

Excess net capital: $11,807,835

Cost of E&O insurance: $724

Affiliation fees: None

$34,5694,5710.00

Transamerica Financial Advisors Inc.

A subsidiary of AEGON

[ + ] Details

Revenue: $232,612,000

Excess net capital: $9,292,000

—4,565—
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