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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Rank Firm
1J.P. Turner & Co.
2Spire Investment Partners LLC
3Century Securities Associates Inc.
4TriCor Financial LLC
5Fortune Financial Services Inc.
6Securities Management and Research
7Girard Securities Inc.
8IMS Securities Inc./IMS Financial Advisors Inc.
9Founders Financial Securities LLC
10Kalos Capital Inc.
11SWS Financial Services
12Packerland Brokerage Services Inc.
13Trustmont Financial Group Inc.
14LaSalle St. Securities LLC
15Capital Investment Co.
16Harbour Investments Inc.
17Prospera Financial Services Inc.
18Broker Dealer Financial Services Corp.
19Financial Telesis Inc.
20Sterne Agee Financial Services Inc.
21Ausdal Financial Partners
22CFD Investments Inc.
23The Strategic Financial Alliance Inc.
24Crown Capital Securities L.P.
25United Planners Financial Services
Fee-based advisers▲
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40
45
47
56
56
62
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66
97
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122
122
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165
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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.