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 ▼
1Raymond James Financial Services Inc.4,9431,929772$295,2542,5841,792
2Northwestern Mutual5,9981,022228$85,581464779
3Commonwealth Financial Network1,846881482$424,311604696
4Cambridge Investment Research Inc.3,0411,003226$222,016579639
5HD Vest Investment Services4,48852883$86,250311631
6Securities America Inc.1,772827225$215,705452506
7Axa Advisors5,0781,490115$98,65237460
8Voya Financial Advisors Inc.3,06866296$137,694299304
9NFP Advisor Services1,654430163$211,100182301
10National Planning Corp.1,439524163$236,000194276
11Waddell & Reed Financial Advisors1,902835126$148,594247251
12Signator Investors Inc.1,54738537$83,567178235
13Transamerica Financial Advisors Inc.5,003165217
14Securian Financial Services Inc.1,035423135$297,657142194
15INVEST Financial Corp.1,350428102$208,000178194
16Lincoln Investment Planning Inc.80828984$192,745259173
17Cadaret Grant & Co. Inc.95034758$182,583113162
18Woodbury Financial Services1,19859682$187,866176156
19First Allied Securities, Inc.795428127$301,752262133
20Securities Service Network Inc.45018251$258,14158123
21H. Beck Inc.84726340$163,71188122
22NEXT Financial Group Inc.89932143$168,443158105
23Girard Securities Inc.3658935$220,00031100
24Sigma Financial Corp.70023419$126,157103100
25Geneos Wealth Management Inc.28014359$402,1255097
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  • 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.