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
1Correll Company Investment Services Corp.
2TriCor Financial LLC
3Bernardi Securities Inc.
4Financial Services International Corp.
5MoneyBlock
6Quest Capital Strategies Inc.
7St. Bernard Financial Services Inc.
8Protected Investors of America Inc.
9Founders Financial Securities LLC
10Spire Investment Partners LLC
11Harbor Financial Services LLC
12BCG Securities, Inc.
13Kalos Capital Inc.
14IMS Securities Inc./IMS Financial Advisors Inc.
15LifeMark Securities Corp.
16Trustmont Financial Group Inc.
17Prospera Financial Services Inc.
18The Strategic Financial Alliance Inc.
19SCF Securities Inc.
20Wunderlich Securities Inc.
21Capital Investment Co.
22Century Securities Associates Inc.
23CFD Investments Inc.
24Foothill Securities Inc.
25Ausdal Financial Partners
Reps▲$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
8
1873$202,89862
25
33
42
50
54
62
68548$284,3751424
751810$452,8843311
77
87
946813$265,0002810
104406$138,8201411
105
134493$120,8001338
1359144$363,2844217
1465815$218,6862432
167
192
196569$166,0382525
198134301212
2025810$139,0153627
206
227
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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.