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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
1Kovack Securities Inc.
2Kalos Capital Inc.
3Summit Brokerage Services, Inc.
4Founders Financial Securities LLC
5Century Securities Associates Inc.
6Wells Fargo Advisors Financial Network
7J.W. Cole Financial Inc.
8Prospera Financial Services Inc.
9Crown Capital Securities L.P.
10VSR Financial Services Inc.
11Williams Financial Group
12Sterne Agee Financial Services Inc.
13CUNA Brokerage Services Inc.
14Commonwealth Financial Network
15First Allied Securities Inc.
16Geneos Wealth Management Inc.
17LaSalle St. Securities LLC
18LPL Financial LLC
19Investment Centers of America Inc.
20Securities America Inc.
21Investors Capital Corp.
22Woodbury Financial Services
23Centaurus Financial Inc.
24United Planners Financial Services
25Waddell & Reed Financial Advisors
% of $100K+ reps ▼
83.4%
82.9%
76.3%
73.3%
69.5%
68.0%
65.4%
65.4%
60.3%
59.3%
55.3%
52.2%
51.8%
50.9%
50.9%
49.2%
48.3%
48.1%
47.9%
47.2%
45.1%
45.1%
43.0%
42.6%
41.9%
    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.