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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Rank Firm
1Securities Management and Research
2Park Avenue Securities LLC
3MML Investors Services LLC
4Fortune Financial Services Inc.
5ProEquities Inc.
6Broker Dealer Financial Services Corp.
7Cetera Financial Specialists
8The O.N. Equity Sales Co.
9Signator Investors Inc.
10Northwestern Mutual
11HD Vest Investment Services
12Packerland Brokerage Services Inc.
13Ameritas Investment Corp.
14PlanMember Securities Corp.
15Axa Advisors
16Sammons Securities Co. LLC
17Princor Financial Services Corp.
18Trustmont Financial Group Inc.
19SWS Financial Services
20Crown Capital Securities L.P.
21Sigma Financial Corp.
22Questar Capital Corp.
23ING Financial Partners Inc.
24IMS Securities Inc./IMS Financial Advisors Inc.
25CFD Investments Inc.
Avg. annual payout▲
$11,260
$39,528
$41,650
$54,285
$58,000
$62,997
$74,740
$82,287
$83,567
$85,581
$86,250
$87,000
$90,599
$93,398
$98,652
$102,024
$113,968
$120,800
$122,589
$124,253
$126,157
$134,000
$137,694
$138,820
$139,015
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138 results found

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    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.