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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
1Transamerica Financial Advisors Inc.
2Cetera Advisors
3Kalos Capital Inc.
4Financial Telesis Inc.
5Lincoln Investment Planning Inc.
6Securities America Inc.
7J.W. Cole Financial Inc.
8Independent Financial Group LLC
9Cambridge Investment Research Inc.
10Wells Fargo Advisors Financial Network
11Geneos Wealth Management Inc.
12M Holdings Securities Inc. (M Securities)
13The Strategic Financial Alliance Inc.
14PlanMember Securities Corp.
15Harbour Investments Inc.
16Questar Capital Corp.
17Century Securities Associates Inc.
18First Allied Securities Inc.
19ProEquities Inc.
20Capital Investment Co.
21Prospera Financial Services Inc.
22LPL Financial LLC
23Lincoln Financial Network
24INVEST Financial Corp.
25American Portfolios Financial Services Inc.
% change in producing reps ▼
242.7%
30.6%
26.9%
25.0%
21.0%
11.3%
10.7%
9.4%
8.1%
7.5%
7.5%
7.2%
6.7%
6.0%
5.7%
5.4%
5.4%
5.2%
5.1%
4.8%
4.3%
3.8%
2.7%
2.5%
2.5%
    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.