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
1Allstate Financial Services LLC
2J.P. Turner & Co.
3TriCor Financial LLC
4National Securities Corp.
5Fortune Financial Services Inc.
6Securities Management and Research
7IMS Securities Inc./IMS Financial Advisors Inc.
8SWS Financial Services
9Kalos Capital Inc.
10Packerland Brokerage Services Inc.
11Broker Dealer Financial Services Corp.
12LaSalle St. Securities LLC
13The O.N. Equity Sales Co.
14Harbour Investments Inc.
15CFD Investments Inc.
16Questar Capital Corp.
17Crown Capital Securities L.P.
18Sammons Securities Co. LLC
19Prospera Financial Services Inc.
20Girard Securities Inc.
21Founders Financial Securities LLC
22M Holdings Securities Inc. (M Securities)
23Berthel Fisher & Co. Financial Services Inc.
24J.W. Cole Financial Inc.
25Spire Investment Partners LLC
Fee revenue▲
0.00
0.00
0.00
0.00
0.00
0.00
$1,956,629
$2,337,147
$2,500,000
$2,546,628
$3,628,636
$5,164,910
$5,778,147
$7,345,000
$7,930,916
$9,500,000
$9,881,277
$9,919,851
$10,099,558
$10,693,687
$11,672,329
$12,012,029
$12,435,160
$12,671,866
$12,923,003
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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.