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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
1Ameriprise Financial Services Inc.
2LPL Financial LLC
3Raymond James Financial Services Inc.
4Commonwealth Financial Network
5Wells Fargo Advisors Financial Network
6Northwestern Mutual
7Cambridge Investment Research Inc.
8Royal Alliance Associates Inc.
9Securities America Inc.
10Cetera Advisor Networks
11Lincoln Financial Network
12Waddell & Reed Financial Advisors
13NFP Advisor Services Group
14Axa Advisors
15National Planning Corp.
16FSC Securities Corp.
17HD Vest Investment Services
18Cetera Advisors
19First Allied Securities Inc.
20ING Financial Partners Inc.
21MML Investors Services LLC
22SagePoint Financial Inc.
23Lincoln Investment Planning Inc.
24Securian Financial Services Inc.
25Triad Advisors Inc.
Fee revenue ▼
$1,326,312,522
$1,054,300,000
$443,790,535
$374,187,977
$268,702,000
$236,906,192
$230,680,648
$160,836,592
$158,500,000
$137,928,000
$137,650,319
$122,247,443
$104,025,922
$97,000,000
$87,797,000
$87,775,922
$87,015,503
$72,442,000
$68,072,082
$67,020,186
$66,780,680
$64,809,667
$57,208,108
$55,244,904
$53,031,594
    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.