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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Rank Firm Reps$100K-$499K reps ▼$500K+ repsAvg. annual payoutEmployeesCFPs
1LPL Financial LLC13,6736,6271,680$207,5272,9840
2Raymond James Financial Services Inc.01,929772$294,8932,584759
3AXA Advisors5,0781,490115$98,65237460
4Northwestern Mutual5,9981,022228$85,581464779
5Cambridge Investment Research Inc.3,0411,003226$222,016579639
6Commonwealth Financial Network1,846881482$424,311604696
7Waddell & Reed Financial Advisors1,902835126$126,269247251
8Securities America Inc.1,772827225$215,705452506
9Royal Alliance Associates Inc.1,916675193$220,7181760
10Voya Financial Advisors Inc.3,06866296$137,694299304
11MML Investors Services LLC4,71765058$63,9322040
12Wells Fargo Advisors Financial Network1,221626373$421,808840
13Woodbury Financial Services1,19859682$187,866176156
14SagePoint Financial Inc.1,49155496$139,6911760
15HD Vest Investment Services4,48852883$85,931311631
16National Planning Corp.1,439524163$236,000194276
17FSC Securities Corp.1,261453132$216,3901760
18NFP Advisor Services1,654430163$211,100182250
19INVEST Financial Corp.1,350428102$208,000178194
20Securian Financial Services Inc.1,035423135$211,553142194
21Signator Investors Inc.1,54738537$83,567178235
22Park Avenue Securities LLC4,18536729$39,52811172
23Cadaret, Grant & Co. Inc.95034758$182,583113162
24Princor Financial Services Corp.2,27633416$113,9681850
25NEXT Financial Group Inc.89932143$168,443158105
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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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