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Broker-dealer Rankings

All 2013-2011 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.

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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 repsNo. of producing reps, maleNo. of producing reps, female$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
1Cetera Advisor Networks
2Cetera Financial Institutions
3Kalos Capital Inc.
4National Securities Corp.
5J.W. Cole Financial Inc.
6PlanMember Securities Corp.
7Broker Dealer Financial Services Corp.
8Founders Financial Securities LLC
9Prospera Financial Services Inc.
10Girard Securities Inc.
11Cambridge Investment Research Inc.
12Transamerica Financial Advisors Inc.
13Triad Advisors Inc.
14Kovack Securities Inc.
15SII Investments Inc.
16Investment Centers of America Inc.
17Fortune Financial Services Inc.
18Independent Financial Group LLC
19CUNA Brokerage Services Inc.
20CFD Investments Inc.
21Century Securities Associates Inc.
22United Planners Financial Services
23Wells Fargo Advisors Financial Network
24ProEquities Inc.
25Financial Telesis Inc.
% change in producing reps ▼
44.5%
23.2%
22.7%
22.6%
16.3%
16.3%
15.2%
13.3%
12.5%
12.5%
10.4%
9.6%
8.9%
8.5%
7.3%
7.1%
6.9%
6.5%
6.4%
6.3%
6.2%
6.0%
5.7%
4.9%
4.0%
    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.