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
1LPL Financial LLC
2Raymond James Financial Services Inc.
3Northwestern Mutual
4Commonwealth Financial Network
5Wells Fargo Advisors Financial Network
6Cetera Advisor Networks
7Cambridge Investment Research Inc.
8NFP Advisor Services Group
9Royal Alliance Associates Inc.
10MML Investors Services LLC
11Securities America Inc.
12Waddell & Reed Financial Advisors
13ING Financial Partners Inc.
14FSC Securities Corp.
15HD Vest Investment Services
16SagePoint Financial Inc.
17M Holdings Securities Inc. (M Securities)
18Axa Advisors
19Cetera Financial Institutions
20Signator Investors Inc.
21Transamerica Financial Advisors Inc.
22Cetera Advisors
23Woodbury Financial Services
24First Allied Securities Inc.
25Cadaret Grant & Co. Inc.
Total assets ▼
$437,906,700,000
$191,660,460,294
$100,090,904,197
$85,992,000,000
$76,700,000,000
$74,122,140,000
$60,702,000,000
$54,889,593,564
$53,382,400,000
$53,195,165,850
$51,400,000,000
$49,046,832,057
$39,154,281,187
$35,285,400,000
$34,925,158,973
$32,953,200,000
$31,330,200,882
$29,784,000,000
$29,681,828,000
$28,133,374,833
$27,922,227,753
$27,027,128,000
$26,986,984,855
$26,960,021,000
$24,110,145,523
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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.