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
1TriCor Financial LLC
2Spire Investment Partners LLC
3WRP Investments Inc.
4Securities Management and Research
5Crown Capital Securities L.P.
6Fortune Financial Services Inc.
7Trustmont Financial Group Inc.
8Founders Financial Securities LLC
9CFD Investments Inc.
10Broker Dealer Financial Services Corp.
11Capital Investment Co.
12J.P. Turner & Co.
13National Securities Corp.
14Sammons Securities Co. LLC
15Ausdal Financial Partners
16SWS Financial Services
17Kovack Securities Inc.
18The Strategic Financial Alliance Inc.
19PlanMember Securities Corp.
20Sterne Agee Financial Services Inc.
21Harbour Investments Inc.
22J.W. Cole Financial Inc.
23The Investment Center Inc.
24Princor Financial Services Corp.
25Prospera Financial Services Inc.
Total assets▲
0.00
0.00
0.00
$390,505,802
$806,852,593
$1,237,000,000
$1,514,000,000
$1,519,407,696
$2,077,295,878
$2,272,266,361
$2,678,662,772
$3,000,000,000
$3,005,953,219
$3,087,000,000
$3,532,529,000
$4,144,606,076
$4,278,000,000
$4,850,000,000
$5,000,000,000
$5,100,000,000
$5,361,500,000
$5,455,482,000
$5,500,000,000
$5,952,764,538
$6,236,206,599
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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.