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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.

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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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Rank Firm
1Raymond James Financial Services Inc.
2Northwestern Mutual
3Commonwealth Financial Network
4Cambridge Investment Research Inc.
5Securities America Inc.
6Axa Advisors LLC
7NFP Advisor Services Group (and affiliates)
8Waddell & Reed Inc.
9Centaurus Financial Inc.
10Lincoln Investment Planning Inc.
11Cadaret Grant & Co. Inc.
12Woodbury Financial Services
13Triad Advisors Inc.
14First Allied Securities Inc.
15Securities Service Network Inc.
16Capital Financial Group Inc./H. Beck Inc.
17Signator Investors Inc./John Hancock Financial Network
18Next Financial Group Inc.
19Geneos Wealth Management Inc.
20Securian Financial Services Inc.
21Sigma Financial Corp.
22VSR Financial Services Inc.
23Investment Centers of America Inc.
24Investacorp Inc.
25American Portfolios Financial Services Inc.
CFPs ▼
742
714
657
594
476
432
263
259
216
172
164
163
160
141
130
126
110
108
101
93
88
87
80
80
78
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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.