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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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Rank Firm
1Securities Management and Research
2Packerland Brokerage Services Inc.
3Fortune Financial Services Inc.
4Broker Dealer Financial Services Corp.
5Trustmont Financial Group Inc.
6TriCor Financial LLC
7SWS Financial Services
8IMS Securities Inc./IMS Financial Advisors Inc.
9The O.N. Equity Sales Co.
10Sammons Securities Co. LLC
11Founders Financial Securities LLC
12PlanMember Securities Corp.
13Capital Investment Co.
14Spire Investment Partners LLC
15Harbour Investments Inc.
16CFD Investments Inc.
17Questar Capital Corp.
18Kalos Capital Inc.
19The Strategic Financial Alliance Inc.
20Princor Financial Services Corp.
21Berthel Fisher & Co. Financial Services Inc.
22Crown Capital Securities L.P.
23The Investment Center Inc.
24LaSalle St. Securities LLC
25Sigma Financial Corp.
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    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.