Broker-dealer Rankings

All 2012-2011 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. 2013 recruitment and staffing data will publish on April 28.

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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 reps$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
2TriCor Financial LLC
3Fortune Financial Services Inc.
4Spire Investment Partners LLC
5IMS Securities Inc./IMS Financial Advisors Inc.
6Founders Financial Securities LLC
7Trustmont Financial Group Inc.
8CFD Investments Inc.
9Packerland Brokerage Services Inc.
10Broker Dealer Financial Services Corp.
11Capital Investment Co.
12Kalos Capital Inc.
13The Strategic Financial Alliance Inc.
14Allstate Financial Services LLC
15Girard Securities Inc.
16Ausdal Financial Partners
17Prospera Financial Services Inc.
18Sammons Securities Co. LLC
19Harbour Investments Inc.
20Tower Square Securities Inc.
21SWS Financial Services
22PlanMember Securities Corp.
23Investacorp Inc.
24Financial Telesis Inc.
25The Investment Center Inc.
$100K-$499K reps▲
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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.