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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Year
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Total Assets
Total Reps
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Rank Firm
1Sammons Securities Co. LLC
2Securities Service Network Inc.
3LaSalle St. Securities LLC
4Fortune Financial Services Inc.
5PlanMember Securities Corp.
6IMS Securities Inc./IMS Financial Advisors Inc.
7Sigma Financial Corp.
8Packerland Brokerage Services Inc.
9J.P. Turner & Co.
10Investors Capital Corp.
11Securities Management and Research
12Berthel Fisher & Co. Financial Services Inc.
13Prospera Financial Services Inc.
14Broker Dealer Financial Services Corp.
15The O.N. Equity Sales Co.
16VSR Financial Services Inc.
17The Investment Center Inc.
18Spire Investment Partners LLC
19Questar Capital Corp.
20National Securities Corp.
21Harbour Investments Inc.
22SWS Financial Services
23Sterne Agee Financial Services Inc.
24Crown Capital Securities L.P.
25Williams Financial Group
Insurance revenue▲
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$93,538
$115,409
$128,730
$140,360
$151,911
$195,390
$199,789
$260,500
$261,524
$265,159
$332,000
$365,524
$370,000
$396,059
$445,000
$482,662
$550,000
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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.