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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
1Northwestern Mutual
2LPL Financial LLC
3ING Financial Partners Inc.
4Woodbury Financial Services
5Waddell & Reed Financial Advisors
6Axa Advisors
7Lincoln Financial Network
8NFP Advisor Services Group
9Allstate Financial Services LLC
10Cambridge Investment Research Inc.
11Cetera Financial Institutions
12Commonwealth Financial Network
13FSC Securities Corp.
14MML Investors Services LLC
15National Planning Corp.
16Raymond James Financial Services Inc.
17SagePoint Financial Inc.
18Royal Alliance Associates Inc.
19Princor Financial Services Corp.
20INVEST Financial Corp.
21Lincoln Investment Planning Inc.
22SII Investments Inc.
23Signator Investors Inc.
24ProEquities Inc.
25Securities America Inc.
Excess net capital ▼
$91,560,101
$51,100,000
$40,091,970
$30,124,000
$24,439,687
$21,181,384
$20,983,000
$18,351,288
$16,897,075
$14,096,048
$13,887,000
$12,669,197
$12,135,944
$11,807,835
$11,564,000
$11,439,265
$10,926,410
$10,617,407
$10,218,602
$10,182,000
$9,770,063
$8,566,000
$8,562,058
$7,942,114
$7,700,000
    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.