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
1Waddell & Reed Financial Advisors
2Northwestern Mutual
3LaSalle St. Securities LLC
4Broker Dealer Financial Services Corp.
5Princor Financial Services Corp.
6Allstate Financial Services LLC
7Fortune Financial Services Inc.
8CUNA Brokerage Services Inc.
9Securian Financial Services Inc.
10Securities Management and Research
11HD Vest Investment Services
12Financial Telesis Inc.
13Sterne Agee Financial Services Inc.
14The Investment Center Inc.
15M Holdings Securities Inc. (M Securities)
16Tower Square Securities Inc.
17SWS Financial Services
18Spire Investment Partners LLC
19CFD Investments Inc.
20PlanMember Securities Corp.
21Harbour Investments Inc.
22Prospera Financial Services Inc.
23TriCor Financial LLC
24Lincoln Investment Planning Inc.
25Cadaret Grant & Co. Inc.
Alternative revenue▲
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0.00
0.00
0.00
0.00
0.00
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$10,500
$33,800
$48,000
$90,000
$113,423
$113,978
$249,327
$315,556
$334,356
$337,056
$340,000
$525,000
$804,182
$853,337
$1,012,114
$1,200,097
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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.