Broker-dealer Rankings

All 2012-2011 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. 2013 recruitment and staffing data will publish on April 28.

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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 reps$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
1Ameriprise Financial Services Inc.
2Commonwealth Financial Network
3VSR Financial Services Inc.
4Geneos Wealth Management Inc.
5Wells Fargo Advisors Financial Network
6CUNA Brokerage Services Inc.
7Financial Telesis Inc.
8Spire Investment Partners LLC
9Founders Financial Securities LLC
10Prospera Financial Services Inc.
11First Allied Securities Inc.
12Raymond James Financial Services Inc.
13M Holdings Securities Inc. (M Securities)
14SII Investments Inc.
15Securian Financial Services Inc.
16Triad Advisors Inc.
17United Planners Financial Services
18Summit Brokerage Services, Inc.
19National Planning Corp.
20Williams Financial Group
21Investment Centers of America Inc.
22Securities Service Network Inc.
23Girard Securities Inc.
24Securities America Inc.
25National Securities Corp.
Reps$100K-$499K reps$500K+ repsAvg. annual payout ▼EmployeesCFPs
7,449$385,480
1,800917397$375,315540657
28016649$345,6537587
29714650$343,08644101
1,167794292$335,27284
48825362$326,00013660
45012030$325,0001335
86226$315,732330
60447$296,5341321
1308525$290,0003412
815415102$278,214261141
4,8051,853608$267,1952,6051,630
85214076$254,2733568
60525177$244,0007970
1,053438120$238,073142182
779270115$238,00050160
37616019$230,0005075
37528657$215,0008054
1,454483137$211,000191
26214526$210,0008841
35517034$209,0008580
47217048$206,06556130
3537631$205,0003085
1,724813219$201,125378476
59421032$198,00010420
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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.