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
1Spire Investment Partners LLC
2Sigma Financial Corp.
3IMS Securities Inc./IMS Financial Advisors Inc.
4TriCor Financial LLC
5Geneos Wealth Management Inc.
6Packerland Brokerage Services Inc.
7SWS Financial Services
8Broker Dealer Financial Services Corp.
9Harbour Investments Inc.
10CFD Investments Inc.
11Independent Financial Group LLC
12Founders Financial Securities LLC
13Financial Telesis Inc.
14Securities Management and Research
15PlanMember Securities Corp.
16The Investment Center Inc.
17The O.N. Equity Sales Co.
18Kovack Securities Inc.
19Prospera Financial Services Inc.
20The Strategic Financial Alliance Inc.
21M Holdings Securities Inc. (M Securities)
22VSR Financial Services Inc.
23J.W. Cole Financial Inc.
24Berthel Fisher & Co. Financial Services Inc.
25Crown Capital Securities L.P.
Excess net capital▲
0.00
0.00
$58,193
$123,844
$400,000
$431,240
$462,942
$538,423
$549,038
$624,522
$950,000
$981,372
$1,100,000
$1,125,313
$1,179,000
$1,211,292
$1,241,654
$1,410,500
$1,631,799
$1,644,028
$1,746,117
$1,814,596
$1,875,545
$1,926,638
$2,638,353
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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.