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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Total Reps
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Rank Firm
1J.P. Turner & Co.
2National Securities Corp.
3Allstate Financial Services LLC
4Fortune Financial Services Inc.
5TriCor Financial LLC
6Trustmont Financial Group Inc.
7Securities Management and Research
8Kalos Capital Inc.
9IMS Securities Inc./IMS Financial Advisors Inc.
10Packerland Brokerage Services Inc.
11SWS Financial Services
12Broker Dealer Financial Services Corp.
13The O.N. Equity Sales Co.
14LaSalle St. Securities LLC
15Harbour Investments Inc.
16Sterne Agee Financial Services Inc.
17Tower Square Securities Inc.
18Ausdal Financial Partners
19CFD Investments Inc.
20WRP Investments Inc.
21Prospera Financial Services Inc.
22Questar Capital Corp.
23Sammons Securities Co. LLC
24Crown Capital Securities L.P.
25Founders Financial Securities LLC
Fee revenue▲
0.00
0.00
0.00
0.00
0.00
0.00
$11,864
$1,692,000
$1,710,635
$1,825,130
$1,902,799
$2,125,370
$4,142,758
$4,648,757
$5,230,000
$5,245,000
$5,390,131
$5,420,000
$6,306,494
$6,926,243
$8,278,326
$8,390,000
$8,431,911
$8,612,859
$8,783,239
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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.