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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.

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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
6Financial Telesis Inc.
7Raymond James Financial Services Inc.
8Founders Financial Securities LLC
9Prospera Financial Services Inc.
10First Allied Securities Inc.
11M Holdings Securities Inc. (M Securities)
12SII Investments Inc.
13Securian Financial Services Inc.
14Triad Advisors Inc.
15United Planners Financial Services
16Summit Brokerage Services, Inc.
17National Planning Corp.
18Williams Financial Group
19Investment Centers of America Inc.
20Securities Service Network Inc.
21Securities America Inc.
22National Securities Corp.
23Cambridge Investment Research Inc.
24NFP Advisor Services Group (and affiliates)
25Royal Alliance Associates Inc.
Reps$100K-$499K reps$500K+ repsAvg. annual payout ▼EmployeesCFPs
7,449——$385,4802,693—
1,445917397$375,315540657
28016649$345,6537587
29714650$343,08644101
1,167794292$335,27284—
45012030$325,0001335
4,7731,976625$318,7502,605742
60447$296,5341321
1308525$290,0003412
815415102$278,214261141
85214076$254,2733568
60525177$244,0007970
1,053444114$238,07314293
679270115$238,00050160
37616019$230,0005075
37533057$215,0008054
1,454483137$211,000191—
26214526$210,0008841
35517034$209,0008580
47217048$206,06556130
1,724813219$201,125378476
59421032$198,00010420
2,821898161$195,919497594
1,650422147$191,574175263
1,930652158$187,750202—
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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.