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
1Securian Financial Services Inc.
2Fortune Financial Services Inc.
3Raymond James Financial Services Inc.
4Waddell & Reed Financial Advisors
5Sigma Financial Corp.
6H. Beck Inc.
7Allstate Financial Services LLC
8Wells Fargo Advisors Financial Network
9Princor Financial Services Corp.
10LaSalle St. Securities LLC
11National Securities Corp.
12Northwestern Mutual
13MML Investors Services LLC
14CUNA Brokerage Services Inc.
15Securities Management and Research
16Financial Telesis Inc.
17The Investment Center Inc.
18M Holdings Securities Inc. (M Securities)
19CFD Investments Inc.
20Spire Investment Partners LLC
21Harbour Investments Inc.
22SWS Financial Services
23TriCor Financial LLC
24Lincoln Investment Planning Inc.
25Prospera Financial Services Inc.
REIT revenue▲
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$1,622
$40,000
$65,078
$223,108
$499,624
$543,856
$730,000
$783,090
$834,758
$864,000
$981,102
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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.