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Broker-dealer Rankings

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.

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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 repsNo. of producing reps, maleNo. of producing reps, female$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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Year
State
Clearing firm
Revenue Range
Total Assets
Total Reps
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Rank Firm
1Kovack Securities Inc.
2Founders Financial Securities LLC
3Kalos Capital Inc.
4Summit Brokerage Services, Inc.
5Century Securities Associates Inc.
6Prospera Financial Services Inc.
7Crown Capital Securities L.P.
8VSR Financial Services Inc.
9J.W. Cole Financial Inc.
10First Allied Securities Inc.
11Wells Fargo Advisors Financial Network
12Geneos Wealth Management Inc.
13Woodbury Financial Services
14LaSalle St. Securities LLC
15Investment Centers of America Inc.
16LPL Financial LLC
17Commonwealth Financial Network
18Securities America Inc.
19CUNA Brokerage Services Inc.
20Harbour Investments Inc.
21Centaurus Financial Inc.
22Investors Capital Corp.
23Waddell & Reed Financial Advisors
24The Investment Center Inc.
25J.P. Turner & Co.
% of $100K+ reps ▼
83.3%
79.4%
72.3%
71.8%
67.7%
67.4%
59.9%
59.1%
59.1%
53.8%
51.3%
51.1%
49.7%
49.2%
48.5%
48.5%
47.7%
46.7%
46.0%
44.6%
44.6%
44.6%
43.9%
42.2%
41.2%
    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.