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. 2013 recruitment and staffing data will publish on April 28.

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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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Total Reps
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Rank Firm
1Spire Investment Partners LLC
2Ameriprise Financial Services Inc.
3IMS Securities Inc./IMS Financial Advisors Inc.
4CFD Investments Inc.
5WRP Investments Inc.
6TriCor Financial LLC
7Geneos Wealth Management Inc.
8SWS Financial Services
9Ausdal Financial Partners
10Independent Financial Group LLC
11Broker Dealer Financial Services Corp.
12Packerland Brokerage Services Inc.
13Harbour Investments Inc.
14Founders Financial Securities LLC
15Financial Telesis Inc.
16The Investment Center Inc.
17Securities Management and Research
18The O.N. Equity Sales Co.
19Kovack Securities Inc.
20M Holdings Securities Inc. (M Securities)
21National Securities Corp.
22PlanMember Securities Corp.
23The Strategic Financial Alliance Inc.
24J.W. Cole Financial Inc.
25VSR Financial Services Inc.
Excess net capital▲
0.00
0.00
$57,013
$198,636
$200,158
$297,079
$400,000
$400,906
$433,000
$500,000
$541,981
$547,565
$555,679
$656,833
$800,000
$1,024,576
$1,078,064
$1,159,108
$1,365,000
$1,367,291
$1,394,000
$1,405,000
$1,421,738
$1,655,550
$1,984,573
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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.