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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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Year
State
Clearing firm
Revenue Range
Total Assets
Total Reps
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Rank Firm
1VSR Financial Services Inc.
2J.P. Turner & Co.
3The Strategic Financial Alliance Inc.
4National Securities Corp.
5Crown Capital Securities L.P.
6American Portfolios Financial Services Inc.
7IMS Securities Inc./IMS Financial Advisors Inc.
8Geneos Wealth Management Inc.
9NFP Advisor Services Group
10J.W. Cole Financial Inc.
11Securities America Inc.
12Spire Investment Partners LLC
13Berthel Fisher & Co. Financial Services Inc.
14Commonwealth Financial Network
15First Allied Securities Inc.
16Securities Management and Research
17United Planners Financial Services
18PlanMember Securities Corp.
19Princor Financial Services Corp.
20ProEquities Inc.
21Prospera Financial Services Inc.
22Ameritas Investment Corp.
23Securities Service Network Inc.
24Sigma Financial Corp.
25Signator Investors Inc.
Private placement revenue ▼
$5,384,286
$5,182,820
$3,221,060
$2,091,000
$1,756,860
$995,168
$598,353
$592,671
$488,845
$410,000
$200,000
$64,604
$60,375
$23,104
$1,530
$1,293
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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.