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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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Total Reps
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Rank Firm
1Ameriprise Financial Services Inc.
2LPL Financial LLC
3Commonwealth Financial Network
4Lincoln Financial Network
5Cambridge Investment Research Inc.
6First Allied Securities Inc.
7Cetera Advisors
8NFP Advisor Services Group (and affiliates)
9VSR Financial Services Inc.
10Centaurus Financial Inc.
11Independent Financial Group LLC
12National Planning Corp.
13Triad Advisors Inc.
14Capital Financial Group Inc./H. Beck Inc.
15J.P. Turner & Co.
16Williams Financial Group
17Berthel Fisher & Co. Financial Services Inc.
18FSC Securities Corp.
19Royal Alliance Associates Inc.
20Cetera Advisor Networks
21Cetera Financial Institutions
22Securities America Inc.
23Axa Advisors LLC
24SII Investments Inc.
25Invest Financial Corp.
Alternative revenue ▼
$212,054,365
$143,000,000
$32,798,951
$24,171,970
$23,955,187
$20,213,776
$19,908,000
$18,993,408
$18,741,389
$17,116,673
$15,972,200
$15,615,000
$13,702,608
$12,983,535
$12,968,323
$12,900,000
$12,875,900
$12,744,571
$12,079,507
$12,037,000
$11,880,000
$11,800,000
$11,000,000
$10,953,000
$10,910,000
    Notes
  • 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.