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 payout ▼EmployeesCFPs
1Spire Investment Partners LLC751810$452,8843311
2Ameriprise Financial Services Inc.7,526$431,515
3Commonwealth Financial Network1,846881482$424,311604696
4Geneos Wealth Management Inc.28014359$402,1255097
5Financial Telesis Inc.46014050$375,0001340
6CUNA Brokerage Services Inc.49822979$370,00013365
7VSR Financial Services Inc.27416254$364,0867582
8Prospera Financial Services Inc.1359144$363,2844217
9Wells Fargo Advisors Financial Network1,221626373$345,91684
10First Allied Securities Inc.795428127$301,752262133
11Securian Financial Services Inc.1,035423135$297,657142194
12Raymond James Financial Services Inc.4,9431,929772$295,2542,5841,792
13Founders Financial Securities LLC68548$284,3751424
14SII Investments Inc.79226194$269,0008275
15Kalos Capital Inc.946813$265,0002810
16Summit Brokerage Services, Inc.38027374$260,0008556
17Securities Service Network Inc.45018251$258,14158123
18Investment Centers of America Inc.37318152$257,0009185
19M Holdings Securities Inc. (M Securities)88914371$236,3884172
20National Planning Corp.1,439524163$236,000194276
21Cambridge Investment Research Inc.3,0411,003226$222,016579639
22Royal Alliance Associates Inc.1,916675193$220,718176
23Girard Securities Inc.3658935$220,00031100
24The Strategic Financial Alliance Inc.1465815$218,6862432
25FSC Securities Corp.1,261453132$216,390176
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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.