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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
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Total Assets
Total Reps
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Rank Firm
1LPL Financial LLC
2Cambridge Investment Research Inc.
3Axa Advisors
4CUNA Brokerage Services Inc.
5Princor Financial Services Corp.
6Investacorp Inc.
7Summit Brokerage Services, Inc.
8Allstate Financial Services LLC
9The O.N. Equity Sales Co.
10VSR Financial Services Inc.
11Signator Investors Inc.
12Kovack Securities Inc.
13Prospera Financial Services Inc.
14M Holdings Securities Inc. (M Securities)
15Cadaret Grant & Co. Inc.
16SWS Financial Services
17American Portfolios Financial Services Inc.
18Financial Telesis Inc.
19Ameritas Investment Corp.
20United Planners Financial Services
21Berthel Fisher & Co. Financial Services Inc.
22National Securities Corp.
23LaSalle St. Securities LLC
24The Strategic Financial Alliance Inc.
25Ausdal Financial Partners
Pre-tax earnings ▼
$385,900,000
$25,287,365
$22,600,000
$9,244,000
$6,461,785
$4,415,574
$3,500,000
$2,674,035
$2,349,581
$2,338,051
$2,310,447
$2,280,475
$1,963,764
$1,900,000
$1,800,000
$1,738,576
$1,578,496
$1,500,000
$1,418,490
$1,257,723
$1,184,429
$1,184,000
$1,133,986
$1,067,097
$891,000
    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.