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
1LPL Financial LLC13,6736,6271,680$207,5272,9840
2Lincoln Financial Network8,453000.008030
3Ameriprise Financial Services Inc.7,52600$431,51500
4Northwestern Mutual5,9981,022228$85,581464779
5AXA Advisors5,0781,490115$98,65237460
6Transamerica Financial Advisors Inc.5,003000.00165217
7MML Investors Services LLC4,71765058$63,9322040
8HD Vest Investment Services4,48852883$85,931311631
9Park Avenue Securities LLC4,18536729$39,52811172
10MetLife Securities Inc.3,355
11Voya Financial Advisors Inc.3,06866296$137,694299304
12Cambridge Investment Research Inc.3,0411,003226$222,016579639
13Cetera Advisor Networks2,88400$189,5601,6240
14Princor Financial Services Corp.2,27633416$113,9681850
15Royal Alliance Associates Inc.1,916675193$220,7181760
16Waddell & Reed Financial Advisors1,902835126$126,269247251
17Commonwealth Financial Network1,846881482$424,311604696
18Cetera Financial Institutions1,78200$140,7616210
19Securities America Inc.1,772827225$215,705452506
20NFP Advisor Services1,654430163$211,100182250
21Signator Investors Inc.1,54738537$83,567178235
22SagePoint Financial Inc.1,49155496$139,6911760
23Cetera Financial Specialists1,48300$74,7405030
24National Planning Corp.1,439524163$236,000194276
25INVEST Financial Corp.1,350428102$208,000178194
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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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