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
1Wells Fargo Advisors Financial Network
2TriCor Financial LLC
3Securities Management and Research
4IMS Securities Inc./IMS Financial Advisors Inc.
5Broker Dealer Financial Services Corp.
6National Securities Corp.
7Berthel Fisher & Co. Financial Services Inc.
8Spire Investment Partners LLC
9The Strategic Financial Alliance Inc.
10Fortune Financial Services Inc.
11LaSalle St. Securities LLC
12Prospera Financial Services Inc.
13J.P. Turner & Co.
14SWS Financial Services
15CFD Investments Inc.
16Kovack Securities Inc.
17Geneos Wealth Management Inc.
18The Investment Center Inc.
19Triad Advisors Inc.
20PlanMember Securities Corp.
21Crown Capital Securities L.P.
22M Holdings Securities Inc. (M Securities)
23Harbour Investments Inc.
24VSR Financial Services Inc.
25United Planners Financial Services
Annuity revenue▲
$72,705
$1,041,772
$1,279,932
$3,387,518
$3,827,542
$4,452,000
$4,981,213
$5,009,995
$5,328,227
$5,967,682
$7,500,000
$8,237,816
$8,612,560
$8,872,972
$10,859,301
$11,115,600
$11,524,137
$11,823,773
$12,810,995
$13,051,000
$13,138,353
$14,999,084
$16,023,000
$21,229,378
$21,469,155
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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.