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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Total Reps
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Rank Firm
1CUNA Brokerage Services Inc.
2Kalos Capital Inc.
3PlanMember Securities Corp.
4H. Beck Inc.
5J.P. Turner & Co.
6Packerland Brokerage Services Inc.
7Cetera Financial Specialists
8National Securities Corp.
9M Holdings Securities Inc. (M Securities)
10Founders Financial Securities LLC
11Lincoln Investment Planning Inc.
12Questar Capital Corp.
13WRP Investments Inc.
14The Strategic Financial Alliance Inc.
15Ausdal Financial Partners
16United Planners Financial Services
17Capital Investment Co.
18Trustmont Financial Group Inc.
19Sigma Financial Corp.
20Broker Dealer Financial Services Corp.
21Princor Financial Services Corp.
22The O.N. Equity Sales Co.
23SWS Financial Services
24NEXT Financial Group Inc.
25SagePoint Financial Inc.
Avg. payout per rep, per year % change ▼
156.7%
87.4%
53.0%
47.5%
47.2%
45.0%
43.0%
41.4%
39.7%
37.4%
29.0%
28.6%
26.9%
26.5%
25.0%
24.3%
19.8%
18.8%
17.5%
17.0%
17.0%
15.1%
13.8%
12.6%
12.5%
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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.