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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.

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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
1Lincoln Financial Network
2Allstate Financial Services LLC
3MML Investors Services LLC
4Cambridge Investment Research Inc.
5Royal Alliance Associates Inc.
6Securities America Inc.
7SagePoint Financial Inc.
8NFP Advisor Services Group (and affiliates)
9Signator Investors Inc./John Hancock Financial Network
10Commonwealth Financial Network
11Invest Financial Corp.
12FSC Securities Corp.
13Sigma Financial Corp.
14Triad Advisors Inc.
15National Securities Corp.
16Investacorp Inc.
17Securities Service Network Inc.
18Sammons Securities Co. LLC
19J.W. Cole Financial Inc.
20Crown Capital Securities LP
21Berthel Fisher & Co. Financial Services Inc.
22WRP Investments Inc.
23Geneos Wealth Management Inc.
24LaSalle St. Securities LLC
25Kovack Securities Inc.
Reps ▼$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
8,263———815—
7,56671—$6,249134—
4,57150544$34,569193—
2,821898161$195,919497594
1,930652158$187,750202—
1,724813219$201,125378476
1,65045861$114,062202—
1,650422147$191,574175263
1,60246258$61,085180110
1,445917397$375,315540657
1,40247582$163,000183—
1,28939395$187,276202—
68721415$112,5109688
679270115$238,00050160
59421032$198,00010420
49511325$143,4916880
47217048$206,06556130
455866$79,3959629
35623335$171,3003546
34020515$126,7152575
33413511$126,7117430
33013514$137,0002763
29714650$343,08644101
29014016$183,0003526
28924131$131,0003942
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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.