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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Rank Firm Reps$100K-$499K reps ▼$500K+ repsAvg. annual payoutEmployeesCFPs
1LPL Financial LLC14,0366,9061,914$362,3533,384
2AXA Advisors4,8541,958194$108,301223446
3Raymond James Financial Services Inc.1,834977$334,5942,645760
4Northwestern Mutual6,0141,120282$97,796457880
5Cambridge Investment Research Inc.3,3741,118268$228,458659692
6Commonwealth Financial Network1,965895580$497,671704741
7Waddell & Reed Financial Advisors1,915859186$153,791255251
8Securities America Inc.2,042829246$228,425505600
9Voya Financial Advisors Inc.2,811698103$138,912299259
10MML Investors Services LLC4,89269184$68,009193
11Royal Alliance Associates Inc.1,887663214$248,783217
12Wells Fargo Advisors Financial Network1,248625395$473,91285
13SagePoint Financial Inc.1,638587107$186,619199
14Woodbury Financial Services1,207579100$195,818178
15HD Vest Investment Services4,51557695$94,681318626
16National Planning Corp.1,401566174$258,0001980
17INVEST Financial Corp.1,314478119$205,0001700
18FSC Securities Corp.1,252458137$240,2271510
19NFP Advisor Services1,760433195$222,418201278
20Securian Financial Services Inc.1,083428161$224,363141201
21Signator Investors Inc.1,37441046$108,448185142
22Centaurus Financial Inc.632341128$198,07075240
23Princor Financial Services Corp.2,31334121$123,790222
24Cadaret, Grant & Co. Inc.91334059$202,982111149
25NEXT Financial Group Inc.73932050$179,591135115
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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

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