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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
2Ameriprise Financial Services Inc.
3Raymond James Financial Services Inc.
4Lincoln Financial Network
5Commonwealth Financial Network
6Axa Advisors
7Wells Fargo Advisors Financial Network
8Northwestern Mutual
9MetLife Securities Inc.
10Cambridge Investment Research Inc.
11Securities America Inc.
12Royal Alliance Associates Inc.
13NFP Advisor Services Group
14Waddell & Reed Financial Advisors
15Cetera Advisor Networks
16National Planning Corp.
17ING Financial Partners Inc.
18MML Investors Services LLC
19Securian Financial Services Inc.
20Signator Investors Inc.
21FSC Securities Corp.
22HD Vest Investment Services
23New England Securities Inc.
24Woodbury Financial Services
25Princor Financial Services Corp.
Total revenue ▼
$3,582,700,000
$2,910,032,364
$1,208,126,894
$745,225,174
$712,057,274
$624,600,000
$596,477,000
$553,566,857
$537,572,616
$461,423,797
$400,000,000
$388,401,019
$364,750,219
$361,601,522
$360,455,000
$346,769,000
$339,098,191
$336,118,000
$291,234,000
$264,971,367
$263,087,762
$248,347,896
$245,216,750
$243,327,528
$242,021,792
    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.