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
1TriCor Financial LLC
2Spire Investment Partners LLC
3Founders Financial Securities LLC
4Kalos Capital Inc.
5IMS Securities Inc./IMS Financial Advisors Inc.
6The Strategic Financial Alliance Inc.
7Trustmont Financial Group Inc.
8Prospera Financial Services Inc.
9CFD Investments Inc.
10Century Securities Associates Inc.
11Harbour Investments Inc.
12Capital Investment Co.
13Fortune Financial Services Inc.
14Girard Securities Inc.
15Packerland Brokerage Services Inc.
16SWS Financial Services
17Securities Management and Research
18Broker Dealer Financial Services Corp.
19Financial Telesis Inc.
20Geneos Wealth Management Inc.
21VSR Financial Services Inc.
22The Investment Center Inc.
23Kovack Securities Inc.
24LaSalle St. Securities LLC
25Crown Capital Securities L.P.
Producing reps▲
15
37
68
81
96
117
120
135
168
188
196
196
202
225
237
245
247
257
260
260
262
263
295
295
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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.