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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
1Cambridge Investment Research Inc.
2Commonwealth Financial Network
3Wells Fargo Advisors Financial Network
4VSR Financial Services Inc.
5Geneos Wealth Management Inc.
6First Allied Securities Inc.
7NFP Advisor Services Group
8SII Investments Inc.
9National Planning Corp.
10INVEST Financial Corp.
11American Portfolios Financial Services Inc.
12Investment Centers of America Inc.
13National Securities Corp.
14Williams Financial Group
15J.P. Turner & Co.
16The Strategic Financial Alliance Inc.
17Sterne Agee Financial Services Inc.
18Spire Investment Partners LLC
19NEXT Financial Group Inc.
20Securities Management and Research
21Ameritas Investment Corp.
22Berthel Fisher & Co. Financial Services Inc.
23Broker Dealer Financial Services Corp.
24Cadaret Grant & Co. Inc.
25H. Beck Inc.
Managed futures revenue ▼
$4,828,177
$2,695,988
$1,848,000
$1,109,281
$957,302
$811,633
$720,024
$580,000
$324,000
$262,000
$144,521
$139,000
$87,007
$50,000
$46,878
$34,058
$25,000
$8,905
$1,275
0.00
0.00
0.00
0.00
0.00
0.00
    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.