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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Rank Firm
1Correll Company Investment Services Corp.
2TriCor Financial LLC
3MoneyBlock
4Financial Services International Corp.
5St. Bernard Financial Services Inc.
6Quest Capital Strategies Inc.
7Protected Investors of America Inc.
8Founders Financial Securities LLC
9Kalos Capital Inc.
10BCG Securities, Inc.
11Harbor Financial Services LLC
12Spire Investment Partners LLC
13LifeMark Securities Corp.
14IMS Securities Inc./IMS Financial Advisors Inc.
15Prospera Financial Services Inc.
16SCF Securities Inc.
17Trustmont Financial Group Inc.
18Wunderlich Securities Inc.
19Century Securities Associates Inc.
20Fortune Financial Services Inc.
21CFD Investments Inc.
22The Strategic Financial Alliance Inc.
23Capital Investment Co.
24Foothill Securities Inc.
25TFS Securities Inc.
Reps▲
6
21
24
37
45
50
59
60
70
71
77
86
103
110
130
147
154
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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.