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. 2013 recruitment and staffing data will publish on April 28.

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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
7MetLife Securities Inc.
8Raymond James Financial Services Inc.
9MML Investors Services LLC
10Transamerica Financial Advisors Inc.
11Park Avenue Securities LLC
12ING Financial Partners Inc.
13Cambridge Investment Research Inc.
14Princor Financial Services Corp.
15New England Securities Inc.
16Cetera Advisor Networks
17Royal Alliance Associates Inc.
18Waddell & Reed Financial Advisors
19Commonwealth Financial Network
20Securities America Inc.
21SagePoint Financial Inc.
22NFP Advisor Services Group
23Signator Investors Inc.
24Cetera Financial Specialists
25Cetera Financial Institutions
Reps ▼$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
13,3366,4161,268$187,4782,687
8,263815
7,56671$6,249134
7,449000.0000
5,939837169$62,780461714
5,2421,46677$87,73664432
4,92525411$65,839
4,8051,853608$267,1952,6051,630
4,57150544$34,569193
4,565
4,18636524$37,62911572
3,22062483$118,568201279
2,821898161$195,919497594
2,28338510$98,44986
2,07129220$95,845
1,955$176,583448
1,929652158$187,750202
1,87578683$126,920234259
1,800917397$375,315540657
1,724813219$201,125378476
1,65945861$119,892202
1,650422147$191,574175263
1,60235928$72,314180
1,564$57,220423
1,470$113,343547
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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.