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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
1National Holdings Corp.
2Cutter & Co. Inc.
3Equity Services Inc.
4Calton & Associates Inc.
5First Midwest Securities Inc.
6GBS Financial Corp.
7H.D. Vest Financial Services
8ING Advisor Network Inc.
9Harbor Financial Services LLC
10SCF Securities Inc.
11Foresters Equity Services Inc.
12Finance 500 Inc.
13LPL Investment Holdings Inc.
14National Planning Holdings Inc.
15Packerland Brokerage Services Inc.
16MidAmerica Financial Services Inc.
17Quincy Cass Associates Inc.
18Financial Services International Corp.
19Prime Capital Services Inc.
20First Republic Securities Co.
21Protected Investors of America Inc.
22Financial Advisers of America LLC
23Ladenburg Thalmann Financial Services Inc.
24TFS Securities Inc.
25Cantella & Co. Inc.
% of $100K+ reps▲
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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.