Broker-dealer Rankings

All 2014-2011 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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Clearing firm
Revenue Range
Total Assets
Total Reps

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Rank Firm Reps ▼$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
1Lincoln Financial Network8,457797
2Northwestern Mutual6,0141,120282$97,796457880
3Transamerica Financial Advisors, Inc.5,103169
4Cambridge Investment Research Inc.3,3741,118268$228,458659692
5Cetera Advisor Networks2,948$197,476583
6Voya Financial Advisors Inc.2,811698103$138,912299259
7Princor Financial Services Corp.2,31334121$123,790222
8Securities America Inc.2,042829246$228,425505600
9Commonwealth Financial Network1,965895580$497,671704741
10Waddell & Reed Financial Advisors1,915859186$153,791255251
11Royal Alliance Associates Inc.1,887663214$248,783217
12SagePoint Financial Inc.1,638587107$186,619199
13ProEquities Inc.1,47825127$63,251119
14National Planning Corp.1,401566174$258,0001980
15Cetera Financial Specialists1,385$80,497546
16INVEST Financial Corp.1,314478119$205,0001700
17Cetera Advisors1,310$223,328547
18FSC Securities Corp.1,252458137$240,2271510
19Woodbury Financial Services1,207579100$195,818178
20Securian Financial Services Inc.1,083428161$224,363141201
21Hornor Townsend & Kent Inc.99413819$82,8274771
22First Allied Securities, Inc.924$351,390267
23Cadaret, Grant & Co. Inc.91334059$202,982111149
24M Holdings Securities Inc. (M Securities)91114988$288,2363770
25The O.N. Equity Sales Co.8741248$91,89546
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  • 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.