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. 2013 recruitment and staffing data will publish on April 28.

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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
10National Planning Corp.
11Securian Financial Services Inc.
12Triad Advisors Inc.
13First Allied Securities Inc.
14FSC Securities Corp.
15Centaurus Financial Inc.
16ING Financial Partners Inc.
17Waddell & Reed Financial Advisors
18INVEST Financial Corp.
19SII Investments Inc.
20Axa Advisors
21M Holdings Securities Inc. (M Securities)
22CUNA Brokerage Services Inc.
23SagePoint Financial Inc.
24Summit Brokerage Services, Inc.
25Woodbury Financial Services
Reps$100K-$499K reps$500K+ reps ▼Avg. annual payoutEmployeesCFPs
13,3366,4161,268$187,4782,687
4,8051,853608$267,1952,6051,630
1,800917397$375,315540657
1,167794292$335,27284
1,724813219$201,125378476
5,939837169$62,780461714
2,821898161$195,919497594
1,929652158$187,750202
1,650422147$191,574175263
1,454483137$211,000191
1,053438120$238,073142182
779270115$238,00050160
815415102$278,214261141
1,28939395$192,826202
70230293$141,05265216
3,22062483$118,568201279
1,87578683$126,920234259
1,40247582$163,000183
60525177$244,0007970
5,2421,46677$87,73664432
85214076$254,2733568
48825362$326,00013660
1,65945861$119,892202
37528657$215,0008054
1,25856754$166,066215163
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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.