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+ reps ▼Avg. annual payoutEmployeesCFPs
1LPL Financial LLC13,6736,6271,680$207,5272,984
2Raymond James Financial Services Inc.01,929772$294,8932,584759
3Commonwealth Financial Network1,846881482$424,311604696
4Wells Fargo Advisors Financial Network1,221626373$345,91684
5Northwestern Mutual5,9981,022228$85,581464779
6Cambridge Investment Research Inc.3,0411,003226$222,016579639
7Securities America Inc.1,772827225$215,705452506
8Royal Alliance Associates Inc.1,916675193$220,718176
9NFP Advisor Services1,654430163$211,100182301
10National Planning Corp.1,439524163$236,000194276
11Securian Financial Services Inc.1,035423135$297,657142194
12FSC Securities Corp.1,261453132$216,390176
13First Allied Securities, Inc.795428127$301,752262133
14Waddell & Reed Financial Advisors1,902835126$148,594247251
15Axa Advisors5,0781,490115$98,65237460
16INVEST Financial Corp.1,350428102$208,000178194
17Voya Financial Advisors Inc.3,06866296$137,694299304
18SagePoint Financial Inc.1,71855496$139,691176
19SII Investments Inc.79226194$269,0008275
20Lincoln Investment Planning Inc.80828984$192,745259173
21HD Vest Investment Services4,48852883$86,250311631
22Woodbury Financial Services1,19859682$187,866176156
23CUNA Brokerage Services Inc.49822979$370,00013365
24Summit Brokerage Services, Inc.38027374$260,0008556
25M Holdings Securities Inc. (M Securities)88914371$236,3884172
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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.