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 payoutEmployees ▼CFPs
1LPL Financial LLC14,0366,9061,914$362,3533,384
2Raymond James Financial Services Inc.1,834977$334,5942,645760
3Lincoln Financial Network8,457797
4Commonwealth Financial Network1,965895580$497,671704741
5Cetera Financial Institutions1,879$137,588667
6Cambridge Investment Research Inc.3,3741,118268$228,458659692
7Cetera Advisor Networks2,948$197,476583
8Cetera Advisors1,310$223,328547
9Cetera Financial Specialists1,385$80,497546
10Securities America Inc.2,042829246$228,425505600
11Northwestern Mutual6,0141,120282$97,796457880
12HD Vest Investment Services4,51557695$94,681318626
13National Securities Corp.79330777$240,00031527
14Voya Financial Advisors Inc.2,811698103$138,912299259
15Lincoln Investment Planning Inc.82430092$216,605272176
16First Allied Securities, Inc.924$351,390267
17Waddell & Reed Financial Advisors1,915859186$153,791255251
18AXA Advisors4,8541,958194$108,301223446
19Princor Financial Services Corp.2,31334121$123,790222
20Royal Alliance Associates Inc.1,887663214$248,783217
21NFP Advisor Services1,760433195$222,418201278
22SagePoint Financial Inc.1,638587107$186,619199
23National Planning Corp.1,401566174$258,0001980
24MML Investors Services LLC4,89269184$68,009193
25Signator Investors Inc.1,37441046$108,448185142
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  • 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.