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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
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Clearing firm
Revenue Range
Total Assets
Total Reps
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Rank Firm
1First Allied Securities Inc.
2Royal Alliance Associates Inc.
3Commonwealth Financial Network
4Cambridge Investment Research Inc.
5ING Financial Partners Inc.
6National Planning Corp.
7Independent Financial Group LLC
8FSC Securities Corp.
9SII Investments Inc.
10INVEST Financial Corp.
11Woodbury Financial Services
12J.P. Turner & Co.
13SagePoint Financial Inc.
14Axa Advisors
15NFP Advisor Services Group
16Investment Centers of America Inc.
17Ameritas Investment Corp.
18Securities America Inc.
19Centaurus Financial Inc.
20Berthel Fisher & Co. Financial Services Inc.
21Transamerica Financial Advisors Inc.
22VSR Financial Services Inc.
23United Planners Financial Services
24Geneos Wealth Management Inc.
25Kovack Securities Inc.
REIT revenue ▼
$37,400,059
$31,232,575
$31,178,009
$30,527,894
$27,871,664
$26,891,000
$23,481,700
$22,746,518
$22,370,000
$21,570,000
$20,931,578
$20,731,283
$20,274,789
$18,600,000
$17,728,316
$17,661,000
$16,100,000
$15,940,000
$15,297,151
$15,259,477
$14,756,000
$13,327,668
$8,547,671
$7,731,057
$7,410,400
    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.