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