Broker-dealer Rankings

All 2014-2011 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 ▼
1Northwestern Mutual6,0141,120282$97,796457880
2Raymond James Financial Services Inc.1,834977$334,5942,645760
3Commonwealth Financial Network1,965895580$497,671704741
4Cambridge Investment Research Inc.3,3741,118268$228,458659692
5HD Vest Investment Services4,51557695$94,681318626
6Securities America Inc.2,042829246$228,425505600
7AXA Advisors4,8541,958194$108,301223446
8NFP Advisor Services1,760433195$222,418201278
9Voya Financial Advisors Inc.2,811698103$138,912299259
10Waddell & Reed Financial Advisors1,915859186$153,791255251
11Centaurus Financial Inc.632341128$198,07075240
12Securian Financial Services Inc.1,083428161$224,363141201
13Triad Advisors Inc.78428187$266,40060199
14Lincoln Investment Planning Inc.82430092$216,605272176
15Cadaret, Grant & Co. Inc.91334059$202,982111149
16Signator Investors Inc.1,37441046$108,448185142
17Securities Service Network Inc.44917451$248,84759130
18NEXT Financial Group Inc.73932050$179,591135115
19Sigma Financial Corp.68926527$138,178103102
20Geneos Wealth Management Inc.27513169$447,36252101
21United Planners Financial Services43819032$227,0005590
22Investacorp Inc.51916336$208,2347787
23Independent Financial Group LLC56521461$184,6006385
24Investment Centers of America Inc.39519151$257,0009083
25Crown Capital Securities L.P.33311713$141,1862580
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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.