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All 2011-2016 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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Firm Total revenueFee revenueExcess net capital ▼Operating expenses
1LPL Financial LLC$5,624,856,000$1,982,868,943$100,400,000$4,749,864,491
2Waddell & Reed Financial Advisors$513,832,035$269,338,607$60,508,0000
3Voya Financial Advisors Inc.$477,173,273$185,680,380$54,992,6150
4Commonwealth Equity Services, LLC dba-Commonwealth Financial Network$1,552,748,751$1,052,748,961$50,717,6290
5Raymond James Financial Services Inc.$2,552,554,7860$40,600,4790
6Lincoln Investment Planning, LLC$343,350,000$202,880,000$21,790,000$81,525,094
7Equitable Advisors, LLC$945,651,166$260,209,147$21,284,069$847,311,123
8Avantax Investment Services, Inc.$507,978,780$252,367,061$18,422,896$91,686,385
9Cambridge Investment Research Inc.$1,000,550,889$540,973,217$14,796,385$931,612,672
10Centaurus Financial, Inc.$163,422,286$43,421,302$13,484,7170
11Transamerica Financial Advisors, Inc.$94,152,802$15,345,240$12,513,575$26,980,196
12Securities America Inc.$729,500,000$319,330,000$12,200,0000
13Principal Securities, Inc. $320,669,984$87,296,618$9,837,1890
14Triad Advisors, LLC$141,535,316$44,253,669$9,468,6940
15Prospera Financial Services Inc.$57,580,023$30,718,720$8,481,062$15,639,305
16Securities Service Network LLC$101,502,000$37,468,000$7,899,0000
17Grove Point Financial, LLC$112,134,966$36,571,183$7,788,159$110,877,059
18KMS Financial Services, Inc.$119,202,751$60,806,976$6,989,669$115,448,569
19J.W. Cole Financial Inc.$131,525,000$50,041,829$6,678,900$12,325,890
20American Portfolios Financial Services Inc.$227,503,420$111,763,657$6,469,831$28,180,689
21ProEquities Inc.$123,198,569$40,527,618$6,124,7930
22United Planners Financial Services$129,214,415$78,227,763$4,904,109$128,456,486
23PlanMember Securities Corp.$106,000,000$80,560,000$4,896,0000
24The O.N. Equity Sales Co.$68,411,788$14,711,228$3,319,750$66,802,833
25Kovack Securities, Inc.$78,435,000$38,228,400$3,100,500$71,585,000
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133 results found

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  • Rankings only include firms that participated in the InvestmentNews Independent Broker-dealer Survey on Financials
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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