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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Rank Firm Reps ▼$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
1Lincoln Financial Network8,453803
2MML Investors Services LLC4,71755451$41,650204
3Park Avenue Securities LLC4,18536729$39,52811172
4Cambridge Investment Research Inc.3,0411,003226$222,016579639
5Royal Alliance Associates Inc.1,916675193$220,718176
6Commonwealth Financial Network1,846881482$424,311604696
7Securities America Inc.1,772827225$215,705452506
8SagePoint Financial Inc.1,71855496$139,691176
9NFP Advisor Services Group 1,654430163$211,100182301
10Signator Investors Inc.1,54738537$83,567178235
11INVEST Financial Corp.1,350428102$208,000178194
12Ameritas Investment Corp.1,26527260$90,599130
13FSC Securities Corp.1,261453132$216,390176
14Sigma Financial Corp.70023419$126,157103100
15Investacorp Inc.50514734$168,9017685
16Sammons Securities Co. LLC4921097$102,02410332
17Securities Service Network Inc.45018251$258,14158123
18J.W. Cole Financial Inc.42525151$169,2155055
19WRP Investments Inc.370
20Girard Securities Inc.3658935$220,00031100
21Crown Capital Securities L.P.34920916$124,2532580
22Berthel Fisher & Co. Financial Services Inc.33913316$148,0007928
23Kovack Securities Inc.31125936$157,0004446
24LaSalle St. Securities LLC29514517$185,0003227
25Geneos Wealth Management Inc.28014359$402,1255097
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    Notes
  • Rankings only include firms that participated in the InvestmentNews Independent Broker-dealer Survey on Recruitment & Staffing
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed
  • Clearing firms listed are as of 2011. For a historical list of clearing firms, contact the IN Data Team

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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.