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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
1LPL Financial LLC
2CUNA Brokerage Services Inc.
3MetLife Securities Inc.
4Raymond James Financial Services Inc.
5INVEST Financial Corp.
6Lincoln Financial Network
7Centaurus Financial Inc.
8J.W. Cole Financial Inc.
9MML Investors Services LLC
10National Planning Corp.
11ING Financial Partners Inc.
12Investment Centers of America Inc.
13Harbour Investments Inc.
14SII Investments Inc.
15NEXT Financial Group Inc.
16Lincoln Investment Planning Inc.
17Commonwealth Financial Network
18Geneos Wealth Management Inc.
19Summit Brokerage Services, Inc.
20New England Securities Inc.
21Securities America Inc.
22Waddell & Reed Financial Advisors
23First Allied Securities Inc.
24Investors Capital Corp.
25United Planners Financial Services
Fixed annuity revenue ▼
$98,800,000
$21,900,000
$21,708,957
$16,266,717
$12,280,000
$11,130,353
$10,407,903
$9,658,890
$4,941,262
$4,771,000
$4,046,602
$3,788,000
$3,350,000
$3,124,000
$2,580,190
$2,520,636
$2,462,368
$2,154,799
$2,100,000
$2,031,012
$1,700,000
$1,612,130
$1,609,761
$1,492,208
$1,408,024
    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.