Broker-dealer Rankings

2009-2011 recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless otherwise noted.


Select up to 5 fields 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 assetsRepsProducing reps$100K-$499K reps$500K+ repsCFPsEmployeesFee-based advisersAvg. annual payoutAvg. annual production of top 20% repsSecurities 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 % change
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Rank	Firm
1	LPL Financial
2	Lincoln Financial Network
3	Ameriprise Financial Services Inc.
4	MetLife Securities Inc.
5	Northwestern Mutual
6	AXA Advisors LLC
7	MML Investors Services LLC
8	H.D. Vest Financial Services
9	Raymond James Financial Services Inc.
10	ING Financial Partners Inc.
11	Cambridge Investment Research Inc.
12	Princor Financial Services Corp.
13	Financial Network Investment Corp.
14	Royal Alliance Associates Inc.
15	Park Avenue Securities LLC
16	Waddell & Reed Inc.
17	New England Securities Inc.
18	Genworth Financial Securities Corp.
19	SagePoint Financial Inc.
20	NFP Advisor Services Group (and affiliates)
21	Ameritas Investment Corp.
22	Signator Investors Inc./John Hancock Financial Network
23	Securities America Inc.
24	Woodbury Financial Services
25	PrimeVest Financial Services Inc.

Reps ▼	$100K-$499K reps	$500K+ reps	Avg. annual payout	Employees	CFPs
12,465	5,564	1,158	$186,223	2,551	0
8,045	—	—	—	888	660
7,532	—	—	$355,340	2,693	—
6,013	982	28	$45,155	0	0
5,812	771	128	$55,836	444	617
5,078	1,530	77	$103,120	64	441
5,064	522	43	$50,000	209	0
4,724	486	56	—	197	648
3,193	2,061	551	$285,000	2,526	726
2,938	439	36	$85,100	182	—
2,578	807	158	$195,039	417	559
2,476	455	3	$67,563	83	—
2,346	524	90	$164,261	405	—
2,320	653	151	$141,902	223	—
2,290	264	8	$42,081	112	0
2,087	585	31	$119,126	893	253
2,056	435	29	$73,882	—	—
2,028	244	13	$40,020	100	201
1,777	480	65	$103,456	199	—
1,776	432	137	$234,098	172	173
1,730	207	16	$75,568	127	0
1,676	415	19	$66,600	181	87
1,642	791	210	$184,000	369	431
1,600	670	66	$152,095	217	—
1,548	363	18	$113,362	513	—

104 results found

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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.

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