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
1Kalos Capital Inc.
2Spire Investment Partners LLC
3The Strategic Financial Alliance Inc.
4Northwestern Mutual
5Centaurus Financial Inc.
6Cetera Financial Specialists
7The O.N. Equity Sales Co.
8TriCor Financial LLC
9Sammons Securities Co. LLC
10INVEST Financial Corp.
11Broker Dealer Financial Services Corp.
12Trustmont Financial Group Inc.
13Securities Service Network Inc.
14Prospera Financial Services Inc.
15Securian Financial Services Inc.
16Cetera Financial Institutions
17Investment Centers of America Inc.
18American Portfolios Financial Services Inc.
19Summit Brokerage Services, Inc.
20MML Investors Services LLC
21Kovack Securities Inc.
22Lincoln Investment Planning Inc.
23H. Beck Inc.
24Independent Financial Group LLC
25National Securities Corp.
Avg. payout per rep, per year % change ▼
48.9%
43.4%
37.5%
36.3%
32.5%
30.6%
29.4%
29.3%
28.5%
27.6%
27.4%
27.2%
25.3%
25.3%
25.0%
24.2%
23.0%
21.1%
20.9%
20.5%
19.8%
19.3%
19.0%
18.5%
18.2%
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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.