Broker-dealer Rankings

All 2013-2011 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 Network8,453000.008030
2Northwestern Mutual5,9981,022228$85,581464779
3Transamerica Financial Advisors Inc.5,003000.00165217
4MetLife Securities Inc.3,355
5Voya Financial Advisors Inc.3,06866296$137,694299304
6Cambridge Investment Research Inc.3,0411,003226$222,016579639
7Cetera Advisor Networks2,88400$189,5601,6240
8Princor Financial Services Corp.2,27633416$113,9681850
9Royal Alliance Associates Inc.1,916675193$220,7181760
10Waddell & Reed Financial Advisors1,902835126$126,269247251
11Commonwealth Financial Network1,846881482$424,311604696
12Securities America Inc.1,772827225$215,705452506
13SagePoint Financial Inc.1,49155496$139,6911760
14Cetera Financial Specialists1,48300$74,7405030
15National Planning Corp.1,439524163$236,000194276
16INVEST Financial Corp.1,350428102$208,000178194
17New England Securities Inc.1,299
18FSC Securities Corp.1,261453132$216,3901760
19Cetera Advisors1,25800$215,5565130
20Woodbury Financial Services1,19859682$187,866176156
21Securian Financial Services Inc.1,035423135$211,553142194
22Hornor Townsend & Kent Inc.97213013$74,6294777
23Cadaret, Grant & Co. Inc.95034758$182,583113162
24The O.N. Equity Sales Co.9151257$82,287440
25NEXT Financial Group Inc.89932143$168,443158105
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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.