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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
2VSR Financial Services Inc.
3Geneos Wealth Management Inc.
4Wells Fargo Advisors Financial Network
5CUNA Brokerage Services Inc.
6Financial Telesis Inc.
7Spire Investment Partners LLC
8Founders Financial Securities LLC
9Prospera Financial Services Inc.
10First Allied Securities Inc.
11Raymond James Financial Services Inc.
12M Holdings Securities Inc. (M Securities)
13SII Investments Inc.
14Securian Financial Services Inc.
15Triad Advisors Inc.
16United Planners Financial Services
17Summit Brokerage Services, Inc.
18National Planning Corp.
19Williams Financial Group
20Investment Centers of America Inc.
21Securities Service Network Inc.
22Girard Securities Inc.
23Securities America Inc.
24National Securities Corp.
25Cambridge Investment Research Inc.
Avg. annual payout ▼
$375,315
$345,653
$343,086
$335,272
$326,000
$325,000
$315,732
$296,534
$290,000
$278,214
$267,195
$254,273
$244,000
$238,073
$238,000
$230,000
$215,000
$211,000
$210,000
$209,000
$206,065
$205,000
$201,125
$198,000
$195,919
    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.