Broker-dealer Rankings

All 2012-2011 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. 2013 recruitment and staffing data will publish on April 28.

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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 reps$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
1Correll Company Investment Services Corp.
2MoneyBlock
3St. Bernard Financial Services Inc.
4Protected Investors of America Inc.
5Founders Financial Securities LLC
6Kalos Capital Inc.
7Spire Investment Partners LLC
8Prospera Financial Services Inc.
9SCF Securities Inc.
10Trustmont Financial Group Inc.
11Wunderlich Securities Inc.
12Fortune Financial Services Inc.
13CFD Investments Inc.
14Capital Investment Co.
15Foothill Securities Inc.
16Harbour Investments Inc.
17Ausdal Financial Partners
18Williams Financial Group
19VSR Financial Services Inc.
20Kovack Securities Inc.
21LaSalle St. Securities LLC
22Sterne Agee Financial Services Inc.
23Geneos Wealth Management Inc.
24Tower Square Securities Inc.
25The Investment Center Inc.
Reps▲$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
6
24
45
59
60447$296,5341321
70588$178,0002210
86226$315,732330
1308525$290,0003412
147
154452$95,0001235
178
189182$48,973112
190517$131,9733024
197569$161,7802522
200
252919$153,0002126
2568010$100,0003051
26214526$210,0008841
28016649$345,6537587
28924131$131,0003942
29014016$183,0003526
29515433$151,0003134
29714650$343,08644101
3039111$117,498
30512014$142,5583920
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98 results found

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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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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.