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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
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Total Assets
Total Reps
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Rank Firm
1LPL Financial LLC
2Ameriprise Financial Services Inc.
3Raymond James Financial Services Inc.
4Lincoln Financial Network
5Axa Advisors
6ING Financial Partners Inc.
7Commonwealth Financial Network
8Securian Financial Services Inc.
9Northwestern Mutual
10MML Investors Services LLC
11National Planning Corp.
12Wells Fargo Advisors Financial Network
13Princor Financial Services Corp.
14NFP Advisor Services Group
15Securities America Inc.
16Royal Alliance Associates Inc.
17Cambridge Investment Research Inc.
18Cetera Advisor Networks
19Signator Investors Inc.
20INVEST Financial Corp.
21Cetera Financial Institutions
22Transamerica Financial Advisors Inc.
23Woodbury Financial Services
24Waddell & Reed Financial Advisors
25SagePoint Financial Inc.
Commission revenue ▼
$2,023,900,000
$1,321,333,098
$631,120,270
$612,704,698
$535,300,000
$293,668,057
$284,093,913
$271,134,808
$262,826,424
$260,032,281
$256,519,000
$244,289,000
$240,797,896
$238,790,288
$235,800,000
$235,360,796
$234,829,949
$233,771,148
$221,900,944
$197,209,000
$196,182,176
$195,865,000
$194,152,443
$192,191,967
$175,481,655
    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.