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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
1Ameriprise Financial Services Inc.
2LPL Financial LLC
3Commonwealth Financial Network
4Lincoln Financial Network
5Cambridge Investment Research Inc.
6First Allied Securities Inc.
7NFP Advisor Services Group
8VSR Financial Services Inc.
9Centaurus Financial Inc.
10Independent Financial Group LLC
11National Planning Corp.
12Triad Advisors Inc.
13H. Beck Inc.
14J.P. Turner & Co.
15Williams Financial Group
16Berthel Fisher & Co. Financial Services Inc.
17FSC Securities Corp.
18Royal Alliance Associates Inc.
19Securities America Inc.
20Axa Advisors
21SII Investments Inc.
22INVEST Financial Corp.
23ING Financial Partners Inc.
24Woodbury Financial Services
25MetLife Securities Inc.
Alternative revenue ▼
$212,054,365
$143,000,000
$32,798,951
$24,171,970
$23,955,187
$20,213,776
$18,993,408
$18,741,389
$17,116,673
$15,972,200
$15,615,000
$13,702,608
$12,983,535
$12,968,323
$12,900,000
$12,875,900
$12,744,571
$12,079,507
$11,800,000
$11,000,000
$10,953,000
$10,910,000
$10,720,457
$8,798,498
$8,572,534
    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.