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Broker-dealer Rankings

All 2013-2011 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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Year
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Total Assets
Total Reps
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Rank Firm
1LPL Financial LLC
2Lincoln Financial Network
3Ameriprise Financial Services Inc.
4Northwestern Mutual
5Axa Advisors
6Transamerica Financial Advisors Inc.
7Raymond James Financial Services Inc.
8MML Investors Services LLC
9HD Vest Investment Services
10Park Avenue Securities LLC
11MetLife Securities Inc.
12ING Financial Partners Inc.
13Cambridge Investment Research Inc.
14Cetera Advisor Networks
15Princor Financial Services Corp.
16Royal Alliance Associates Inc.
17Waddell & Reed Financial Advisors
18Commonwealth Financial Network
19Cetera Financial Institutions
20Securities America Inc.
21SagePoint Financial Inc.
22NFP Advisor Services Group
23Signator Investors Inc.
24Cetera Financial Specialists
25National Planning Corp.
Reps ▼$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
13,6736,6271,680$207,5272,984
8,453803
7,526$431,515
5,9981,022228$85,581464779
5,0781,490115$98,65237460
5,003165217
4,9431,929772$295,2542,5841,792
4,71755451$41,650204
4,48852883$86,250311631
4,18536729$39,52811172
3,355
3,06866296$137,694299304
3,0411,003226$222,016579639
2,884$189,560542
2,27633416$113,968185
1,916675193$220,718176
1,902835126$148,594247251
1,846881482$424,311604696
1,782$140,761621
1,772827225$215,705452506
1,71855496$139,691176
1,654430163$211,100182301
1,54738537$83,567178235
1,483$74,740503
1,439524163$236,000194276
    Notes
  • 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.