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
1Securities Management and Research
2The Investment Center Inc.
3The O.N. Equity Sales Co.
4Berthel Fisher & Co. Financial Services Inc.
5J.W. Cole Financial Inc.
6VSR Financial Services Inc.
7SagePoint Financial Inc.
8FSC Securities Corp.
9Wells Fargo Advisors Financial Network
10Financial Telesis Inc.
11Crown Capital Securities L.P.
12Investors Capital Corp.
13Lincoln Financial Network
14Cambridge Investment Research Inc.
15Royal Alliance Associates Inc.
16LaSalle St. Securities LLC
17CUNA Brokerage Services Inc.
18Raymond James Financial Services Inc.
19SWS Financial Services
20Axa Advisors
21Ameritas Investment Corp.
22Summit Brokerage Services, Inc.
23IMS Securities Inc./IMS Financial Advisors Inc.
24NEXT Financial Group Inc.
25NFP Advisor Services Group
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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.