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
2Ameriprise Financial Services Inc.
3Axa Advisors
4Raymond James Financial Services Inc.
5Northwestern Mutual
6MML Investors Services LLC
7Cambridge Investment Research Inc.
8Transamerica Financial Advisors Inc.
9HD Vest Investment Services
10Securities America Inc.
11Waddell & Reed Financial Advisors
12Commonwealth Financial Network
13ING Financial Partners Inc.
14Cetera Advisor Networks
15Park Avenue Securities LLC
16NFP Advisor Services Group
17Wells Fargo Advisors Financial Network
18National Planning Corp.
19INVEST Financial Corp.
20Cetera Financial Specialists
21Princor Financial Services Corp.
22Cetera Advisors
23Cetera Financial Institutions
24Securian Financial Services Inc.
25First Allied Securities Inc.
Fee-based advisers ▼
9,442
7,526
3,389
2,947
2,753
2,528
2,228
1,982
1,934
1,691
1,676
1,669
1,661
1,624
1,554
1,117
1,074
996
994
974
909
874
820
793
698
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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.