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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Year
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Clearing firm
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Total Assets
Total Reps
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Rank Firm
1Spire Investment Partners LLC
2TriCor Financial LLC
3Securities Management and Research
4Crown Capital Securities L.P.
5Fortune Financial Services Inc.
6Trustmont Financial Group Inc.
7Founders Financial Securities LLC
8CFD Investments Inc.
9Broker Dealer Financial Services Corp.
10Capital Investment Co.
11The Strategic Financial Alliance Inc.
12J.P. Turner & Co.
13SWS Financial Services
14Kovack Securities Inc.
15National Securities Corp.
16Sammons Securities Co. LLC
17The Investment Center Inc.
18PlanMember Securities Corp.
19Harbour Investments Inc.
20LaSalle St. Securities LLC
21Princor Financial Services Corp.
22Prospera Financial Services Inc.
23J.W. Cole Financial Inc.
24Berthel Fisher & Co. Financial Services Inc.
25The O.N. Equity Sales Co.
Total assets▲
0.00
$128,396,082
$420,303,342
$947,719,604
$1,294,425,433
$1,712,000,000
$1,846,237,412
$2,330,030,602
$3,080,245,820
$3,184,093,454
$4,000,000,000
$4,000,000,000
$4,451,113,138
$4,823,511,844
$5,243,687,421
$5,495,506,178
$5,600,000,000
$6,000,000,000
$6,404,500,000
$6,758,386,814
$6,974,472,184
$7,608,172,050
$7,985,654,000
$8,025,010,000
$8,222,595,500
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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.