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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
1Northwestern Mutual
2Ameriprise Financial Services Inc.
3LPL Financial LLC
4ING Financial Partners Inc.
5Woodbury Financial Services
6Waddell & Reed Inc.
7Axa Advisors LLC
8Lincoln Financial Network
9NFP Advisor Services Group (and affiliates)
10Allstate Financial Services LLC
11Cambridge Investment Research Inc.
12Cetera Financial Institutions
13Commonwealth Financial Network
14FSC Securities Corp.
15MML Investors Services LLC
16National Planning Corp.
17Raymond James Financial Services Inc.
18SagePoint Financial Inc.
19Royal Alliance Associates Inc.
20Princor Financial Services Corp.
21Invest Financial Corp.
22Lincoln Investment Planning Inc.
23Transamerica Financial Advisors Inc.
24SII Investments Inc.
25Signator Investors Inc./John Hancock Financial Network
Excess net capital ▼
$91,560,101
$87,000,000
$51,100,000
$40,091,970
$30,124,000
$24,439,687
$21,181,384
$20,983,000
$18,351,288
$16,897,075
$14,096,048
$13,887,000
$12,669,197
$12,135,944
$11,807,835
$11,564,000
$11,439,265
$10,926,410
$10,617,407
$10,218,602
$10,182,000
$9,770,063
$9,292,000
$8,566,000
$8,562,058
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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.