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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
1Commonwealth Financial Network
2Cambridge Investment Research Inc.
3First Allied Securities Inc.
4Centaurus Financial Inc.
5National Planning Corp.
6FSC Securities Corp.
7Royal Alliance Associates Inc.
8Independent Financial Group LLC
9ING Financial Partners Inc.
10VSR Financial Services Inc.
11NFP Advisor Services Group
12Securities America Inc.
13SII Investments Inc.
14Axa Advisors
15INVEST Financial Corp.
16J.P. Turner & Co.
17Berthel Fisher & Co. Financial Services Inc.
18Ameritas Investment Corp.
19SagePoint Financial Inc.
20MML Investors Services LLC
21Investment Centers of America Inc.
22Transamerica Financial Advisors Inc.
23Williams Financial Group
24United Planners Financial Services
25The O.N. Equity Sales Co.
REIT revenue ▼
$14,850,618
$14,670,231
$14,297,327
$13,259,068
$13,107,000
$11,709,666
$11,470,436
$11,029,600
$10,720,457
$10,550,277
$9,792,475
$9,440,000
$9,402,000
$9,300,000
$9,235,000
$8,961,700
$7,749,198
$7,306,711
$7,027,784
$5,631,249
$5,349,000
$4,322,000
$4,200,000
$4,026,917
$3,590,953
    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.