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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
1Wells Fargo Advisors Financial Network
2Prospera Financial Services Inc.
3Commonwealth Financial Network
4VSR Financial Services Inc.
5Raymond James Financial Services Inc.
6M Holdings Securities Inc. (M Securities)
7Walnut Street Securities Inc.
8Geneos Wealth Management Inc.
9NFP Advisor Services Group
10First Allied Securities Inc.
11LPL Financial LLC
12CUNA Brokerage Services Inc.
13SII Investments Inc.
14Investment Centers of America Inc.
15Securities Service Network Inc.
16Girard Securities Inc.
17The Strategic Financial Alliance Inc.
18Founders Financial Securities LLC
19Securities America Inc.
20National Planning Corp.
21FSC Securities Corp.
22Williams Financial Group
23Summit Brokerage Services, Inc.
24United Planners Financial Services
25Royal Alliance Associates Inc.
Avg. assets per rep ▼
$54,327,335
$47,970,820
$40,303,333
$36,126,248
$34,290,429
$32,894,051
$31,355,553
$30,639,731
$30,289,903
$28,861,368
$27,991,902
$27,502,049
$27,289,707
$26,838,076
$26,422,576
$26,006,950
$25,392,670
$25,323,462
$24,946,056
$24,769,224
$24,744,143
$24,446,565
$24,000,000
$23,805,478
$23,588,180
    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.