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 payoutEmployees ▼CFPs
1LPL Financial LLC13,6736,6271,680$207,5272,984
2Raymond James Financial Services Inc.4,9431,929772$295,2542,5841,792
3Lincoln Financial Network8,453803
4Cetera Financial Institutions1,782$140,761621
5Commonwealth Financial Network1,846881482$424,311604696
6Cambridge Investment Research Inc.3,0411,003226$222,016579639
7Cetera Advisor Networks2,884$189,560542
8Cetera Advisors1,258$215,556513
9Cetera Financial Specialists1,483$74,740503
10Northwestern Mutual5,9981,022228$85,581464779
11Securities America Inc.1,772827225$215,705452506
12HD Vest Investment Services4,48852883$86,250311631
13ING Financial Partners Inc.3,06866296$137,694299304
14First Allied Securities, Inc.795428127$301,752262133
15Lincoln Investment Planning Inc.80828984$192,745259173
16Waddell & Reed Financial Advisors1,902835126$148,594247251
17MML Investors Services LLC4,71755451$41,650204
18National Planning Corp.1,439524163$236,000194276
19Princor Financial Services Corp.2,27633416$113,968185
20NFP Advisor Services1,654430163$211,100182301
21INVEST Financial Corp.1,350428102$208,000178194
22Signator Investors Inc.1,54738537$83,567178235
23Woodbury Financial Services1,19859682$187,866176156
24Royal Alliance Associates Inc.1,916675193$220,718176
25SagePoint Financial Inc.1,71855496$139,691176
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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.