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
1WRP Investments Inc.
2Securities Management and Research
3Spire Investment Partners LLC
4Fortune Financial Services Inc.
5IMS Securities Inc./IMS Financial Advisors Inc.
6Broker Dealer Financial Services Corp.
7The Strategic Financial Alliance Inc.
8National Securities Corp.
9LaSalle St. Securities LLC
10Prospera Financial Services Inc.
11Williams Financial Group
12Kovack Securities Inc.
13SWS Financial Services
14Sterne Agee Financial Services Inc.
15Berthel Fisher & Co. Financial Services Inc.
16CFD Investments Inc.
17The Investment Center Inc.
18J.P. Turner & Co.
19Crown Capital Securities L.P.
20M Holdings Securities Inc. (M Securities)
21Geneos Wealth Management Inc.
22PlanMember Securities Corp.
23Harbour Investments Inc.
24Triad Advisors Inc.
25Investacorp Inc.
Annuity revenue▲
0.00
$1,183,848
$2,086,649
$3,542,800
$3,606,805
$3,662,650
$4,890,209
$4,919,906
$6,364,472
$6,752,308
$6,800,000
$7,010,630
$7,431,656
$8,115,000
$8,656,005
$9,697,060
$11,137,293
$11,722,256
$12,760,736
$13,169,250
$13,863,928
$14,065,000
$15,124,000
$17,951,761
$20,251,149
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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.