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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
1LPL Financial LLC
2Ameriprise Financial Services Inc.
3Axa Advisors LLC
4Raymond James Financial Services Inc.
5MML Investors Services LLC
6Northwestern Mutual
7Cambridge Investment Research Inc.
8Waddell & Reed Inc.
9Securities America Inc.
10ING Financial Partners Inc.
11Commonwealth Financial Network
12Cetera Advisor Networks
13Cetera Financial Specialists
14NFP Advisor Services Group (and affiliates)
15Invest Financial Corp.
16Wells Fargo Advisors Financial Network
17National Planning Corp.
18Royal Alliance Associates Inc.
19Princor Financial Services Corp.
20Cetera Advisors
21Securian Financial Services Inc.
22FSC Securities Corp.
23Lincoln Investment Planning Inc.
24SagePoint Financial Inc.
25Ameritas Investment Corp.
Fee-based advisers ▼
8,963
7,449
3,351
2,901
2,645
2,347
2,013
1,645
1,524
1,504
1,333
1,209
1,138
1,057
1,043
1,030
1,021
1,004
935
835
795
791
725
707
663
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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.