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
1Northwestern Mutual
2Spire Investment Partners LLC
3Triad Advisors Inc.
4Woodbury Financial Services
5IMS Securities Inc./IMS Financial Advisors Inc.
6Financial Telesis Inc.
7TriCor Financial LLC
8Packerland Brokerage Services Inc.
9Prospera Financial Services Inc.
10Broker Dealer Financial Services Corp.
11Securities Management and Research
12J.W. Cole Financial Inc.
13M Holdings Securities Inc. (M Securities)
14National Securities Corp.
15Investment Centers of America Inc.
16American Portfolios Financial Services Inc.
17Founders Financial Securities LLC
18CFD Investments Inc.
19SII Investments Inc.
20Ameritas Investment Corp.
21Signator Investors Inc.
22CUNA Brokerage Services Inc.
23Harbour Investments Inc.
24LaSalle St. Securities LLC
25The Strategic Financial Alliance Inc.
Operating expenses▲
0.00
0.00
0.00
0.00
$14,348
$220,000
$1,434,063
$2,407,810
$3,738,590
$4,513,708
$4,587,083
$4,956,400
$8,621,122
$13,385,363
$16,283,000
$16,751,472
$16,971,457
$17,850,765
$18,464,000
$23,281,420
$24,225,124
$27,600,000
$30,751,625
$33,121,728
$34,499,389
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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.