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
1Allstate Financial Services LLC
2Securities Management and Research
3TriCor Financial LLC
4Fortune Financial Services Inc.
5Spire Investment Partners LLC
6IMS Securities Inc./IMS Financial Advisors Inc.
7Trustmont Financial Group Inc.
8Broker Dealer Financial Services Corp.
9Packerland Brokerage Services Inc.
10Founders Financial Securities LLC
11Capital Investment Co.
12The Strategic Financial Alliance Inc.
13CFD Investments Inc.
14Kalos Capital Inc.
15Girard Securities Inc.
16Prospera Financial Services Inc.
17Harbour Investments Inc.
18SWS Financial Services
19PlanMember Securities Corp.
20Sammons Securities Co. LLC
21The O.N. Equity Sales Co.
22The Investment Center Inc.
23Berthel Fisher & Co. Financial Services Inc.
24Century Securities Associates Inc.
25United Planners Financial Services
$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.