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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.

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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
1TriCor Financial LLC
2Signator Investors Inc./John Hancock Financial Network
3Kalos Capital Inc.
4Founders Financial Securities LLC
5Axa Advisors LLC
6The Strategic Financial Alliance Inc.
7Trustmont Financial Group Inc.
8Prospera Financial Services Inc.
9National Securities Corp.
10MML Investors Services LLC
11Capital Investment Co.
12Sterne Agee Financial Services Inc.
13LaSalle St. Securities LLC
14Williams Financial Group
15CFD Investments Inc.
16Broker Dealer Financial Services Corp.
17Harbour Investments Inc.
18The Investment Center Inc.
19M Holdings Securities Inc. (M Securities)
20Century Securities Associates Inc.
21Geneos Wealth Management Inc.
22Fortune Financial Services Inc.
23Ausdal Financial Partners
24J.P. Turner & Co.
25SWS Financial Services
Retail offices▲
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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.