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
1LPL Financial LLC
2Northwestern Mutual
3ING Financial Partners Inc.
4Royal Alliance Associates Inc.
5Woodbury Financial Services
6Waddell & Reed Financial Advisors
7Lincoln Financial Network
8Cambridge Investment Research Inc.
9SagePoint Financial Inc.
10Allstate Financial Services LLC
11Raymond James Financial Services Inc.
12Axa Advisors
13Cetera Financial Institutions
14SII Investments Inc.
15Commonwealth Financial Network
16FSC Securities Corp.
17INVEST Financial Corp.
18NFP Advisor Services Group
19Lincoln Investment Planning Inc.
20ProEquities Inc.
21Securities America Inc.
22CUNA Brokerage Services Inc.
23Princor Financial Services Corp.
24MML Investors Services LLC
25Cetera Advisor Networks
Excess net capital ▼
$123,500,000
$73,343,657
$34,006,615
$26,459,000
$23,993,000
$23,687,640
$23,253,000
$21,449,624
$20,037,000
$18,550,323
$17,853,000
$15,800,246
$14,723,000
$14,247,000
$13,318,209
$13,264,000
$12,712,000
$12,042,804
$11,723,000
$11,014,558
$10,718,000
$10,591,000
$10,391,130
$10,104,011
$9,561,000
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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.