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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 revenue ▼Excess net capitalOperating expenses
1Ameriprise Financial Services, LLC$5,068,504,399$2,838,388,40500
2LPL Financial LLC$5,624,856,000$1,982,868,943$100,400,000$4,749,864,491
3Commonwealth Equity Services, LLC dba-Commonwealth Financial Network$1,552,748,751$1,052,748,961$50,717,6290
4Northwestern Mutual Investment Services$1,351,248,000$892,371,00000
5Cambridge Investment Research Inc.$1,000,550,889$540,973,217$14,796,385$931,612,672
6MML Investors Services, LLC$1,184,702,241$484,342,33300
7Royal Alliance Associates Inc.$961,062,600$350,110,3820$118,460,057
8Securities America Inc.$729,500,000$319,330,000$12,200,0000
9Kestra Financial, Inc$570,683,514$319,154,41500
10Waddell & Reed Financial Advisors$513,832,035$269,338,607$60,508,0000
11Equitable Advisors, LLC$945,651,166$260,209,147$21,284,069$847,311,123
12Lincoln Financial Network$847,223,962$256,036,88200
13Avantax Investment Services, Inc.$507,978,780$252,367,061$18,422,896$91,686,385
14Lincoln Investment Planning, LLC$343,350,000$202,880,000$21,790,000$81,525,094
15Voya Financial Advisors Inc.$477,173,273$185,680,380$54,992,6150
16SagePoint Financial Inc.$415,464,414$145,826,9420$61,713,512
17Securian Financial Services Inc.$370,200,000$142,386,55800
18Woodbury Financial Services$498,079,797$133,838,9080$78,321,237
19American Portfolios Financial Services Inc.$227,503,420$111,763,657$6,469,831$28,180,689
20FSC Securities Corp.$289,124,260$109,708,6800$44,179,741
21Geneos Wealth Management Inc.$128,796,103$96,154,052$1,100,0000
22Park Avenue Securities LLC$227,105,000$92,783,00000
23Principal Securities, Inc. $320,669,984$87,296,618$9,837,1890
24Independent Financial Group, LLC$193,497,500$80,880,50000
25PlanMember Securities Corp.$106,000,000$80,560,000$4,896,0000
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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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