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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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Rank Firm
1LPL Financial LLC
2Raymond James Financial Services Inc.
3Lincoln Financial Network
4Cetera Financial Institutions
5Commonwealth Financial Network
6Cambridge Investment Research Inc.
7Cetera Advisor Networks
8Cetera Advisors
9Cetera Financial Specialists
10Northwestern Mutual
11Securities America Inc.
12HD Vest Investment Services
13ING Financial Partners Inc.
14First Allied Securities Inc.
15Lincoln Investment Planning Inc.
16Waddell & Reed Financial Advisors
17MML Investors Services LLC
18National Planning Corp.
19Princor Financial Services Corp.
20National Securities Corp.
21NFP Advisor Services Group
22INVEST Financial Corp.
23Signator Investors Inc.
24FSC Securities Corp.
25Royal Alliance Associates Inc.
Employees ▼
2,984
2,584
803
621
604
579
542
513
503
464
452
311
299
262
259
247
204
194
185
185
182
178
178
176
176
    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.