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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
2Northwestern Mutual
3MetLife Securities Inc.
4ING Financial Partners Inc.
5Cambridge Investment Research Inc.
6Princor Financial Services Corp.
7New England Securities Inc.
8Cetera Advisor Networks
9Royal Alliance Associates Inc.
10Waddell & Reed Inc.
11Securities America Inc.
12Ameritas Investment Corp.
13SagePoint Financial Inc.
14Cetera Financial Specialists
15National Planning Corp.
16Commonwealth Financial Network
17Invest Financial Corp.
18FSC Securities Corp.
19Cetera Advisors
20Woodbury Financial Services
21Securian Financial Services Inc.
22Cadaret Grant & Co. Inc.
23The O.N. Equity Sales Co.
24Capital Financial Group Inc./H. Beck Inc.
25Next Financial Group Inc.
Reps ▼$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
8,263———815—
5,939837169$62,780461714
4,92525411$65,839——
3,22062483$119,760201—
2,821898161$195,919497594
2,2833923$98,44986—
2,07129220$95,845——
1,955619144$183,399448—
1,930652158$187,750202—
1,87578683$126,418199259
1,724813219$201,125378476
1,68225346$78,605134—
1,65045861$114,062202—
1,56422012$45,823423—
1,454483137$211,000191—
1,445917397$375,315540657
1,40247582$163,000183—
1,28939395$187,276202—
1,20942375$171,834427—
1,15056754$154,830215163
1,053444114$238,07314293
97733143$155,005110164
9241213$63,602420
89024431$103,97991126
87530025$153,605146108
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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.