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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
1LPL Financial LLC
2Axa Advisors
3Cambridge Investment Research Inc.
4Cadaret Grant & Co. Inc.
5NEXT Financial Group Inc.
6H. Beck Inc.
7VSR Financial Services Inc.
8Geneos Wealth Management Inc.
9Investors Capital Corp.
10Allstate Financial Services LLC
11Investacorp Inc.
12MML Investors Services LLC
13Summit Brokerage Services, Inc.
14United Planners Financial Services
15Berthel Fisher & Co. Financial Services Inc.
16The O.N. Equity Sales Co.
17First Allied Securities Inc.
18Transamerica Financial Advisors Inc.
19The Investment Center Inc.
20Park Avenue Securities LLC
21National Planning Corp.
22Kovack Securities Inc.
23SWS Financial Services
24Princor Financial Services Corp.
25INVEST Financial Corp.
Operating expenses ▼
$3,197,000,000
$602,000,000
$436,136,433
$135,745,995
$118,000,187
$104,874,573
$95,797,714
$92,569,552
$81,567,000
$81,265,361
$70,042,897
$66,383,862
$63,200,000
$62,268,878
$54,611,982
$51,942,468
$49,582,627
$48,166,000
$46,370,239
$43,435,082
$42,002,000
$38,958,525
$38,123,946
$33,838,183
$33,629,000
    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.