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