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 payout ▼EmployeesCFPs
1Commonwealth Financial Network1,965895580$497,671704741
2Ameriprise Financial Services Inc.7,589$492,000
3Spire Investment Partners LLC621411$481,8032812
4Wells Fargo Advisors Financial Network1,248625395$473,91285
5Geneos Wealth Management Inc.27513169$447,36252101
6VSR Financial Services Inc.27220850$370,7386877
7LPL Financial LLC14,0366,9061,914$362,3533,384
8First Allied Securities, Inc.924$351,390267
9Raymond James Financial Services Inc.1,834977$334,5942,645760
10Prospera Financial Services Inc.1388525$326,6424615
11M Holdings Securities Inc. (M Securities)91114988$288,2363770
12SII Investments Inc.587270101$288,00084
13Kalos Capital Inc.1097419$279,0003510
14Summit Brokerage Services, Inc.388$272,22580
15Triad Advisors Inc.78428187$266,40060199
16National Planning Corp.1,401566174$258,0001980
17Investment Centers of America Inc.39519151$257,0009083
18The Strategic Financial Alliance Inc.1565018$254,4082954
19Securities Service Network Inc.44917451$248,84759130
20Royal Alliance Associates Inc.1,887663214$248,783217
21FSC Securities Corp.1,252458137$240,2271510
22National Securities Corp.79330777$240,00031527
23J.P. Turner & Company LLC291$228,92186
24Cambridge Investment Research Inc.3,3741,118268$228,458659692
25Securities America Inc.2,042829246$228,425505600
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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.