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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
1Waddell & Reed Financial Advisors
2Securian Financial Services Inc.
3Signator Investors Inc.
4LPL Financial LLC
5Commonwealth Financial Network
6Lincoln Investment Planning Inc.
7First Allied Securities Inc.
8Cadaret Grant & Co. Inc.
9INVEST Financial Corp.
10ING Financial Partners Inc.
11National Planning Corp.
12Investment Centers of America Inc.
13Kovack Securities Inc.
14SII Investments Inc.
15Williams Financial Group
16The Strategic Financial Alliance Inc.
17Independent Financial Group LLC
18Broker Dealer Financial Services Corp.
19Geneos Wealth Management Inc.
20American Portfolios Financial Services Inc.
21National Securities Corp.
22Securities Management and Research
23Ameritas Investment Corp.
24Berthel Fisher & Co. Financial Services Inc.
25Cambridge Investment Research Inc.
Disability insurance revenue ▼
$3,299,721
$3,276,648
$1,310,752
$800,000
$498,348
$159,119
$79,849
$53,869
$46,000
$30,288
$23,000
$20,000
$15,780
$13,000
$10,000
$4,786
$4,500
$3,316
$2,933
$1,337
$1,264
0.00
0.00
0.00
0.00
    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.