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
State
Clearing firm
Revenue Range
Total Assets
Total Reps
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Rank Firm
1Lincoln Financial Network
2Allstate Financial Services LLC
3MML Investors Services LLC
4Park Avenue Securities LLC
5Cambridge Investment Research Inc.
6Royal Alliance Associates Inc.
7Commonwealth Financial Network
8Securities America Inc.
9SagePoint Financial Inc.
10NFP Advisor Services Group
11Signator Investors Inc.
12INVEST Financial Corp.
13FSC Securities Corp.
14Triad Advisors Inc.
15Sigma Financial Corp.
16National Securities Corp.
17Investacorp Inc.
18Sammons Securities Co. LLC
19Securities Service Network Inc.
20J.W. Cole Financial Inc.
21Girard Securities Inc.
22Crown Capital Securities L.P.
23Berthel Fisher & Co. Financial Services Inc.
24WRP Investments Inc.
25Geneos Wealth Management Inc.
Reps ▼$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
8,263815
7,56671$6,249134
4,57150544$34,569193
4,18636524$37,62911572
2,821898161$195,919497594
1,929652158$187,750202
1,800917397$375,315540657
1,724813219$201,125378476
1,65945861$119,892202
1,650422147$191,574175263
1,60235928$72,314180
1,40247582$163,000183
1,28939395$192,826202
779270115$238,00050160
68721415$112,5109688
59421032$198,00010420
49511325$143,4916880
474866$79,3959629
47217048$206,06556130
35623335$171,3003546
3537631$205,0003085
34020515$120,2002575
33413511$126,7117430
33013514$137,0002763
29714650$343,08644101
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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.