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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. 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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Year
State
Clearing firm
Revenue Range
Total Assets
Total Reps
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Rank Firm
1LPL Financial LLC
2Raymond James Financial Services Inc.
3Northwestern Mutual
4MetLife Securities Inc.
5Commonwealth Financial Network
6Wells Fargo Advisors Financial Network
7NFP Advisor Services Group
8Cambridge Investment Research Inc.
9Royal Alliance Associates Inc.
10MML Investors Services LLC
11Cetera Advisor Networks
12New England Securities Inc.
13Securities America Inc.
14Waddell & Reed Financial Advisors
15National Planning Corp.
16ING Financial Partners Inc.
17FSC Securities Corp.
18HD Vest Investment Services
19SagePoint Financial Inc.
20M Holdings Securities Inc. (M Securities)
21INVEST Financial Corp.
22Axa Advisors
23Cetera Financial Institutions
24Woodbury Financial Services
25Transamerica Financial Advisors Inc.
Total assets ▼
$373,300,000,000
$164,765,512,582
$82,980,203,800
$78,981,362,629
$72,546,000,000
$63,400,000,000
$49,978,339,682
$48,526,000,000
$45,501,600,000
$45,102,351,886
$44,689,354,000
$43,340,523,624
$43,007,000,000
$39,285,689,001
$36,014,452,000
$34,400,000,000
$31,895,200,000
$30,135,897,732
$28,029,600,000
$28,025,731,502
$27,374,362,000
$25,125,000,000
$24,780,615,000
$24,347,864,003
$23,557,993,484
    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.