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
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Total Assets
Total Reps
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Rank Firm
1Lincoln Financial Network
2Northwestern Mutual
3MetLife Securities Inc.
4Transamerica Financial Advisors Inc.
5ING Financial Partners Inc.
6Cambridge Investment Research Inc.
7Princor Financial Services Corp.
8New England Securities Inc.
9Cetera Advisor Networks
10Royal Alliance Associates Inc.
11Waddell & Reed Financial Advisors
12Commonwealth Financial Network
13Securities America Inc.
14SagePoint Financial Inc.
15Cetera Financial Specialists
16National Planning Corp.
17INVEST Financial Corp.
18FSC Securities Corp.
19Ameritas Investment Corp.
20Woodbury Financial Services
21Cetera Advisors
22Securian Financial Services Inc.
23Cadaret Grant & Co. Inc.
24The O.N. Equity Sales Co.
25H. Beck Inc.
Reps ▼$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
8,263815
5,939837169$62,780461714
4,92525411$65,839
4,565
3,22062483$118,568201279
2,821898161$195,919497594
2,28338510$98,44986
2,07129220$95,845
1,955$176,583448
1,929652158$187,750202
1,87578683$126,920234259
1,800917397$375,315540657
1,724813219$201,125378476
1,65945861$119,892202
1,564$57,220423
1,454483137$211,000191
1,40247582$163,000183
1,28939395$192,826202
1,27625346$78,605134
1,25856754$166,066215163
1,209$194,624427
1,053438120$238,073142182
97733143$155,005110164
9241213$63,602420
89024431$137,53491126
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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.