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Broker-dealer Rankings

All 2014-2011 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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Rank Firm Reps ▼$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
1LPL Financial LLC14,0366,9061,914$362,3533,384
2Lincoln Financial Network8,457797
3Ameriprise Financial Services Inc.7,589$492,000
4Northwestern Mutual6,0141,120282$97,796457880
5Transamerica Financial Advisors, Inc.5,103169
6MML Investors Services LLC4,89269184$68,009193
7AXA Advisors4,8541,958194$108,301223446
8HD Vest Investment Services4,51557695$94,681318626
9Cambridge Investment Research Inc.3,3741,118268$228,458659692
10Cetera Advisor Networks2,948$197,476583
11Voya Financial Advisors Inc.2,811698103$138,912299259
12Princor Financial Services Corp.2,31334121$123,790222
13Securities America Inc.2,042829246$228,425505600
14Commonwealth Financial Network1,965895580$497,671704741
15Waddell & Reed Financial Advisors1,915859186$153,791255251
16Royal Alliance Associates Inc.1,887663214$248,783217
17Cetera Financial Institutions1,879$137,588667
18NFP Advisor Services1,760433195$222,418201278
19SagePoint Financial Inc.1,638587107$186,619199
20ProEquities Inc.1,47825127$63,251119
21National Planning Corp.1,401566174$258,0001980
22Cetera Financial Specialists1,385$80,497546
23Signator Investors Inc.1,37441046$108,448185142
24INVEST Financial Corp.1,314478119$205,0001700
25Cetera Advisors1,310$223,328547
  • Rankings only include firms that participated in the InvestmentNews Independent Broker-dealer Survey on Recruitment & Staffing
  • 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.