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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
1LPL Financial LLC
2Raymond James Financial Services Inc.
3Commonwealth Financial Network
4Wells Fargo Advisors Financial Network
5Securities America Inc.
6Northwestern Mutual
7Cambridge Investment Research Inc.
8Royal Alliance Associates Inc.
9NFP Advisor Services Group (and affiliates)
10Cetera Advisor Networks
11National Planning Corp.
12Triad Advisors Inc.
13Securian Financial Services Inc.
14First Allied Securities Inc.
15FSC Securities Corp.
16Centaurus Financial Inc.
17Waddell & Reed Inc.
18ING Financial Partners Inc.
19Invest Financial Corp.
20SII Investments Inc.
21Axa Advisors LLC
22M Holdings Securities Inc. (M Securities)
23Cetera Advisors
24CUNA Brokerage Services Inc.
25SagePoint Financial Inc.
Reps$100K-$499K reps$500K+ reps ▼Avg. annual payoutEmployeesCFPs
13,3366,4161,268$184,6002,687—
4,7731,976625$318,7502,605742
1,445917397$375,315540657
1,167794292$335,27284—
1,724813219$201,125378476
5,939837169$62,780461714
2,821898161$195,919497594
1,930652158$187,750202—
1,650422147$191,574175263
1,955619144$183,399448—
1,454483137$211,000191—
679270115$238,00050160
1,053444114$238,07314293
815415102$278,214261141
1,28939395$187,276202—
70230293$141,05265216
1,87578683$126,418199259
3,22062483$119,760201—
1,40247582$163,000183—
60525177$244,0007970
5,2421,46677$87,73664432
85214076$254,2733568
1,20942375$171,834427—
50825362$109,25013660
1,65045861$114,062202—
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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.