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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
1TriCor Financial LLC
2Founders Financial Securities LLC
3Kalos Capital Inc.
4Prospera Financial Services Inc.
5Trustmont Financial Group Inc.
6Century Securities Associates Inc.
7Fortune Financial Services Inc.
8CFD Investments Inc.
9The Strategic Financial Alliance Inc.
10Capital Investment Co.
11Harbour Investments Inc.
12Ausdal Financial Partners
13Williams Financial Group
14Broker Dealer Financial Services Corp.
15VSR Financial Services Inc.
16Kovack Securities Inc.
17LaSalle St. Securities LLC
18Sterne Agee Financial Services Inc.
19Geneos Wealth Management Inc.
20Tower Square Securities Inc.
21The Investment Center Inc.
22SWS Financial Services
23WRP Investments Inc.
24Berthel Fisher & Co. Financial Services Inc.
25Crown Capital Securities LP
Reps▲
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130
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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.