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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
2Lincoln Financial Network
3Allstate Financial Services LLC
4Ameriprise Financial Services Inc.
5Northwestern Mutual
6Axa Advisors
7MetLife Securities Inc.
8Raymond James Financial Services Inc.
9HD Vest Investment Services
10MML Investors Services LLC
11Transamerica Financial Advisors Inc.
12Park Avenue Securities LLC
13ING Financial Partners Inc.
14Cambridge Investment Research Inc.
15Princor Financial Services Corp.
16New England Securities Inc.
17Cetera Advisor Networks
18Royal Alliance Associates Inc.
19Waddell & Reed Financial Advisors
20Commonwealth Financial Network
21Securities America Inc.
22SagePoint Financial Inc.
23NFP Advisor Services Group
24Signator Investors Inc.
25Cetera Financial Specialists
Reps ▼
13,336
8,263
7,566
7,449
5,939
5,242
4,925
4,805
4,584
4,571
4,565
4,186
3,220
2,821
2,283
2,071
1,955
1,929
1,875
1,800
1,724
1,659
1,650
1,602
1,564
    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.