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
1Raymond James Financial Services Inc.
2Northwestern Mutual
3Commonwealth Financial Network
4Cambridge Investment Research Inc.
5HD Vest Investment Services
6Securities America Inc.
7Axa Advisors
8ING Financial Partners Inc.
9NFP Advisor Services Group
10National Planning Corp.
11Waddell & Reed Financial Advisors
12Signator Investors Inc.
13Transamerica Financial Advisors Inc.
14Securian Financial Services Inc.
15INVEST Financial Corp.
16Lincoln Investment Planning Inc.
17Cadaret Grant & Co. Inc.
18Woodbury Financial Services
19First Allied Securities Inc.
20Securities Service Network Inc.
21H. Beck Inc.
22NEXT Financial Group Inc.
23Sigma Financial Corp.
24Girard Securities Inc.
25Geneos Wealth Management Inc.
Reps$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs ▼
4,9431,929772$295,2542,5841,792
5,9981,022228$85,581464779
1,846881482$424,311604696
3,0411,003226$222,016579639
4,48852883$86,250311631
1,772827225$215,705452506
5,0781,490115$98,65237460
3,06866296$137,694299304
1,654430163$211,100182301
1,439524163$236,000194276
1,902835126$148,594247251
1,54738537$83,567178235
5,003165217
1,035423135$297,657142194
1,350428102$208,000178194
80828984$192,745259173
95034758$182,583113162
1,19859682$187,866176156
795428127$301,752262133
45018251$258,14158123
84726340$163,71188122
89932143$168,443158105
70023419$126,157103100
3658935$220,00031100
28014359$402,1255097
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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.