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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
1Cambridge Investment Research Inc.
2LaSalle St. Securities LLC
3Finance 500 Inc.
4vFinance Investments Inc.
5Cetera Financial Specialists
6Spire Investment Partners LLC
7Cetera Advisors
8Cetera Advisor Networks
9Foresters Equity Services Inc.
10Commonwealth Financial Network
11Prospera Financial Services Inc.
12Raymond James Financial Services Inc.
13GBS Financial Corp.
14Princor Financial Services Corp.
15Correll Company Investment Services Corp.
16CFD Investments Inc.
17Triad Advisors Inc.
18J.P. Turner & Co.
19VSR Financial Services Inc.
20CUNA Brokerage Services Inc.
21Kovack Securities Inc.
22First Allied Securities Inc.
23Cadaret Grant & Co. Inc.
24Securian Financial Services Inc.
25Investors Capital Corp.
Reps$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
2,821898161$195,919497594
29014016$183,0003526
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1,56422012$45,823423—
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1,20942375$171,834427—
1,955619144$183,399448—
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1,445917397$375,315540657
1308525$290,0003412
4,7731,976625$318,7502,605742
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2,2833923$98,44986—
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190517$131,9733024
679270115$238,00050160
44718330$156,00010015
28016649$345,6537587
50825362$109,25013660
28924131$131,0003942
815415102$278,214261141
97733143$155,005110164
1,053444114$238,07314293
53221221$180,0006752
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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.