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
State
Clearing firm
Revenue Range
Total Assets
Total Reps
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Rank Firm
1Lincoln Financial Network
2MML Investors Services LLC
3Park Avenue Securities LLC
4Cambridge Investment Research Inc.
5Royal Alliance Associates Inc.
6Commonwealth Financial Network
7Securities America Inc.
8SagePoint Financial Inc.
9NFP Advisor Services Group
10Signator Investors Inc.
11INVEST Financial Corp.
12Ameritas Investment Corp.
13FSC Securities Corp.
14Sigma Financial Corp.
15Investacorp Inc.
16Sammons Securities Co. LLC
17Securities Service Network Inc.
18J.W. Cole Financial Inc.
19WRP Investments Inc.
20Girard Securities Inc.
21Crown Capital Securities L.P.
22Berthel Fisher & Co. Financial Services Inc.
23Kovack Securities Inc.
24LaSalle St. Securities LLC
25Geneos Wealth Management Inc.
Reps ▼$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
8,453803
4,71755451$41,650204
4,18536729$39,52811172
3,0411,003226$222,016579639
1,916675193$220,718176
1,846881482$424,311604696
1,772827225$215,705452506
1,71855496$139,691176
1,654430163$211,100182301
1,54738537$83,567178235
1,350428102$208,000178194
1,26527260$90,599130
1,261453132$216,390176
70023419$126,157103100
50514734$168,9017685
4921097$102,02410332
45018251$258,14158123
42525151$169,2155055
370
3658935$220,00031100
34920916$124,2532580
33913316$148,0007928
31125936$157,0004446
29514517$185,0003227
28014359$402,1255097
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33 results found

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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.