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. 2013 recruitment and staffing data will publish on April 28.

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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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Year
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Total Assets
Total Reps
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Rank Firm
1Trustmont Financial Group Inc.
2TriCor Financial LLC
3Securities Management and Research
4Fortune Financial Services Inc.
5Kalos Capital Inc.
6Broker Dealer Financial Services Corp.
7Packerland Brokerage Services Inc.
8IMS Securities Inc./IMS Financial Advisors Inc.
9Founders Financial Securities LLC
10Spire Investment Partners LLC
11CFD Investments Inc.
12Capital Investment Co.
13Ausdal Financial Partners
14Harbour Investments Inc.
15The Strategic Financial Alliance Inc.
16Prospera Financial Services Inc.
17LaSalle St. Securities LLC
18Crown Capital Securities L.P.
19Tower Square Securities Inc.
20Sterne Agee Financial Services Inc.
21SWS Financial Services
22Kovack Securities Inc.
23Sammons Securities Co. LLC
24Girard Securities Inc.
25WRP Investments Inc.
Total revenue▲
0.00
$3,997,000
$4,377,193
$8,034,455
$12,410,000
$15,148,048
$15,209,000
$15,910,125
$16,943,024
$17,014,335
$21,393,829
$25,352,587
$30,079,000
$30,309,000
$30,370,589
$31,905,220
$32,173,811
$35,977,000
$39,021,509
$39,600,000
$40,187,405
$40,516,908
$41,350,426
$42,968,792
$45,498,301
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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.