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
1The O.N. Equity Sales Co.
2TriCor Financial LLC
3Fortune Financial Services Inc.
4Securities Management and Research
5Kalos Capital Inc.
6IMS Securities Inc./IMS Financial Advisors Inc.
7Spire Investment Partners LLC
8Century Securities Associates Inc.
9SWS Financial Services
10J.P. Turner & Co.
11Prospera Financial Services Inc.
12National Securities Corp.
13Broker Dealer Financial Services Corp.
14The Investment Center Inc.
15Founders Financial Securities LLC
16Packerland Brokerage Services Inc.
17Capital Investment Co.
18LaSalle St. Securities LLC
19CFD Investments Inc.
20Berthel Fisher & Co. Financial Services Inc.
21The Strategic Financial Alliance Inc.
22Sammons Securities Co. LLC
23Harbour Investments Inc.
24Trustmont Financial Group Inc.
25Financial Telesis Inc.
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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.