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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
1WRP Investments Inc.
2Financial Telesis Inc.
3TriCor Financial LLC
4Prospera Financial Services Inc.
5SWS Financial Services
6J.W. Cole Financial Inc.
7Broker Dealer Financial Services Corp.
8M Holdings Securities Inc. (M Securities)
9Williams Financial Group
10Founders Financial Securities LLC
11American Portfolios Financial Services Inc.
12Investment Centers of America Inc.
13CFD Investments Inc.
14SII Investments Inc.
15Signator Investors Inc./John Hancock Financial Network
16Ameritas Investment Corp.
17The Strategic Financial Alliance Inc.
18Harbour Investments Inc.
19Ausdal Financial Partners
20LaSalle St. Securities LLC
21CUNA Brokerage Services Inc.
22Sammons Securities Co. LLC
23Invest Financial Corp.
24Princor Financial Services Corp.
25Kovack Securities Inc.
Operating expenses▲
$11,203
$200,000
$1,110,203
$3,810,325
$4,273,334
$4,456,400
$4,813,550
$8,410,000
$12,500,000
$13,841,013
$14,862,074
$15,237,000
$16,016,625
$17,360,000
$17,955,100
$21,365,779
$27,302,491
$28,920,000
$29,198,000
$31,039,825
$32,700,000
$33,238,470
$33,629,000
$33,838,183
$38,958,525
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136 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.