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Broker-dealer Rankings

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.

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Operating expensesPre-tax earningsExcess net capitalTotal revenueCommission revenueAnnuity revenueFixed annuity revenueVariable annuity revenueInsurance revenueLife insurance revenueDisability insurance revenueLTC insurance revenueAlternative revenueHedge fund revenueManaged futures revenuePrivate placement revenueREIT revenueFee revenueTotal assetsAvg. assets per repFee-based assetsRepsNo. of reps, maleNo. of reps, femaleProducing reps$100K-$499K reps$500K+ repsCFPsEmployeesFee-based advisersAvg. annual payoutAvg. annual production of top 20% repsTotal payout, per yearSecurities revenuesMutual fund revenuesTotal account assets: OtherRIA platform (Y/N)Social media permitted (Y/N)% of $100K+ repsRetail offices% of $500K+ reps% change in reps% change in producing repsAvg. payout per rep, per year % changeRIA platform AUM

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Rank Firm
1LPL Financial LLC
2Lincoln Financial Network
3Allstate Financial Services LLC
4Ameriprise Financial Services Inc.
5Northwestern Mutual
6Axa Advisors LLC
7MetLife Securities Inc.
8Raymond James Financial Services Inc.
9MML Investors Services LLC
10Transamerica Financial Advisors Inc.
11ING Financial Partners Inc.
12Cambridge Investment Research Inc.
13Princor Financial Services Corp.
14New England Securities Inc.
15Cetera Advisor Networks
16Royal Alliance Associates Inc.
17Waddell & Reed Inc.
18Securities America Inc.
19Ameritas Investment Corp.
20SagePoint Financial Inc.
21NFP Advisor Services Group (and affiliates)
22Signator Investors Inc./John Hancock Financial Network
23Cetera Financial Specialists
24Cetera Financial Institutions
25National Planning Corp.
Reps ▼$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
13,3366,4161,268$184,6002,687—
8,263———815—
7,56671—$6,249134—
7,449——$385,4802,693—
5,939837169$62,780461714
5,2421,46677$87,73664432
4,92525411$65,839——
4,7731,976625$318,7502,605742
4,57150544$34,569193—
4,565—————
3,22062483$119,760201—
2,821898161$195,919497594
2,2833923$98,44986—
2,07129220$95,845——
1,955619144$183,399448—
1,930652158$187,750202—
1,87578683$126,418199259
1,724813219$201,125378476
1,68225346$78,605134—
1,65045861$114,062202—
1,650422147$191,574175263
1,60246258$61,085180110
1,56422012$45,823423—
1,47042057$116,297547—
1,454483137$211,000191—
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    Notes
  • Rankings only include firms that participated in the InvestmentNews Independent Broker-dealer Survey on Recruitment & Staffing
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.