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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
2Cambridge Investment Research Inc.
3Axa Advisors LLC
4Princor Financial Services Corp.
5Woodbury Financial Services
6Investacorp Inc.
7Summit Brokerage Services, Inc.
8Allstate Financial Services LLC
9The O.N. Equity Sales Co.
10VSR Financial Services Inc.
11Signator Investors Inc./John Hancock Financial Network
12Kovack Securities Inc.
13Sammons Securities Co. LLC
14SWS Financial Services
15Prospera Financial Services Inc.
16M Holdings Securities Inc. (M Securities)
17Cadaret Grant & Co. Inc.
18American Portfolios Financial Services Inc.
19Financial Telesis Inc.
20Ameritas Investment Corp.
21United Planners Financial Services
22Berthel Fisher & Co. Financial Services Inc.
23National Securities Corp.
24LaSalle St. Securities LLC
25The Strategic Financial Alliance Inc.
Pre-tax earnings ▼
$385,900,000
$25,287,365
$22,600,000
$6,461,785
$5,285,000
$4,415,574
$3,500,000
$2,674,035
$2,349,581
$2,338,051
$2,310,447
$2,280,475
$2,103,654
$2,063,317
$1,963,764
$1,900,000
$1,800,000
$1,578,496
$1,500,000
$1,418,490
$1,257,723
$1,184,429
$1,184,000
$1,133,986
$1,067,097
    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.