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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Total Assets
Total Reps
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Rank Firm
1Securities Management and Research
2Spire Investment Partners LLC
3Fortune Financial Services Inc.
4J.P. Turner & Co.
5National Securities Corp.
6Packerland Brokerage Services Inc.
7TriCor Financial LLC
8SWS Financial Services
9Broker Dealer Financial Services Corp.
10Trustmont Financial Group Inc.
11Founders Financial Securities LLC
12LaSalle St. Securities LLC
13Capital Investment Co.
14The O.N. Equity Sales Co.
15Sammons Securities Co. LLC
16CFD Investments Inc.
17Questar Capital Corp.
18Crown Capital Securities L.P.
19Kovack Securities Inc.
20Berthel Fisher & Co. Financial Services Inc.
21Harbour Investments Inc.
22J.W. Cole Financial Inc.
23The Investment Center Inc.
24Prospera Financial Services Inc.
25Cetera Financial Institutions
Fee-based assets▲
0.00
0.00
0.00
0.00
0.00
$101,000,000
$128,396,082
$226,431,871
$416,100,000
$470,000,000
$525,000,000
$632,510,814
$662,844,507
$695,513,254
$823,601,916
$826,619,602
$872,000,000
$947,719,604
$1,016,914,000
$1,147,000,000
$1,153,000,000
$1,396,318,200
$1,400,000,000
$1,472,551,636
$1,487,659,000
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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.