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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 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: $4,051,700,000

Excess net capital: $123,500,000

Cost of E&O insurance: $3,000

Affiliation fees: $2,100

$207,52713,6730.00

Lincoln Financial Network

[ + ] Details

Clearing firm: National Financial Services LLC
Pershing LLC

Revenue: $793,557,646

Excess net capital: $23,253,000

Cost of E&O insurance: 2,683

Affiliation fees: $125-$300

8,453$25,000

Allstate Financial Services LLC

A subsidiary of Allstate Insurance Co.

[ + ] Details

Revenue: $87,966,885

Excess net capital: $18,550,323

7,569

Ameriprise Financial Services Inc.

A subsidiary of Ameriprise Financial

[ + ] Details

Clearing firm: Other

Revenue: $3,241,113,140

Cost of E&O insurance: ND

Affiliation fees: ND

$431,5157,5260.00

Northwestern Mutual

A subsidiary of The Northwestern Mutual Life Insurance Co.

[ + ] Details

Clearing firm: Pershing LLC

Revenue: $654,455,653

Excess net capital: $73,343,657

Cost of E&O insurance: 1327.10

Affiliation fees: 0

$85,5815,9980.00

Axa Advisors

A subsidiary of Axa Financial Inc.

[ + ] Details

Clearing firm: Other

Revenue: $676,900,000

Excess net capital: $15,800,246

Cost of E&O insurance: $2,028

Affiliation fees: N/A

$98,6525,0780.00

Transamerica Financial Advisors Inc.

A subsidiary of AUSA Holding Co., an Aegon company

[ + ] Details

Clearing firm: Pershing LLC

Revenue: $267,303,000

Cost of E&O insurance: $2,040

Affiliation fees: $2,100

5,003$30,000

Raymond James Financial Services Inc.

A subsidiary of Raymond James Financial

[ + ] Details

Clearing firm: Self-clearing

Revenue: $1,351,716,022

Excess net capital: $17,853,000

Cost of E&O insurance: $3,960

Affiliation fees: 0

$295,2544,943$250,000

MML Investors Services LLC

A subsidiary of Massachusetts Mutual Life Insurance Co.

[ + ] Details

Clearing firm: National Financial Services LLC

Revenue: $360,848,000

Excess net capital: $10,104,011

Cost of E&O insurance: $724

Affiliation fees: NA

$41,6504,7170.00

HD Vest Investment Services

[ + ] Details

Clearing firm: First Clearing LLC

Revenue: $273,152,297

Cost of E&O insurance: $1,351

Affiliation fees: Most transfers free; $249 or $349

$86,2504,4880.00
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