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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.

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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
1Founders Financial Securities LLC
2Kalos Capital Inc.
3Prospera Financial Services Inc.
4Trustmont Financial Group Inc.
5Fortune Financial Services Inc.
6CFD Investments Inc.
7Capital Investment Co.
8Harbour Investments Inc.
9Ausdal Financial Partners
10Williams Financial Group
11VSR Financial Services Inc.
12Kovack Securities Inc.
13LaSalle St. Securities LLC
14Sterne Agee Financial Services Inc.
15Geneos Wealth Management Inc.
16Tower Square Securities Inc.
17The Investment Center Inc.
18SWS Financial Services
19WRP Investments Inc.
20Berthel Fisher & Co. Financial Services Inc.
21Crown Capital Securities LP
22Investment Centers of America Inc.
23J.W. Cole Financial Inc.
24Summit Brokerage Services, Inc.
25United Planners Financial Services
Reps▲$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
60447$296,5341321
70588$178,0002210
1308525$290,0003412
154452$95,0001235
189182$48,973112
190517$131,9733024
197569$161,7802522
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——
30523453$158,0003920
308975$112,3542613
33013514$137,0002763
33413511$126,7117430
34020515$126,7152575
35517034$209,0008580
35623335$171,3003546
37533057$215,0008054
37616019$230,0005075
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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.