SPONSORED BY ’s 2017 B-D Ranking (By Gross Revenue)

FEATURE | BROKER-DEALER REVIEW AND RANKING

FA's 2017 B-D Ranking (By Gross Revenue)

2016 GROSS REVENUE RANK

FIRM NAME

1

LPL Financial

2

Ameriprise Financial

3

Raymond James Financial Services

4

Commonwealth Financial Network

5

Northwestern Mutual Investment Services

6

Lincoln Financial Network

7

AXA Advisors

8

Cambridge Investment Research

9

Securities America

10

Cetera Advisor Networks

11

Waddell & Reed

12

Royal Alliance Associates*

13

Kestra Financial

14

National Planning Corporation

15

MML Investors Services

16

Signator Investors

17

Securian Financial Services

18

SagePoint Financial*

19

Voya Financial Advisors

20

Cetera Advisors

21

Principal Securities

22

FSC Securities Corporation*

23

Cetera Financial Institutions

24

Woodbury Financial Services*

25

INVEST Financial Corporation

26

Lincoln Investment Planning

27

First Allied Securities

28

Triad Advisors

29

SII Investments

30

American Portfolios Financial Services

31

M Holdings Securities

32

Cadaret, Grant & Company

33

Centaurus Financial

34

Summit Brokerage

35

Ameritas Investment Corporation

36

Cetera Financial Specialists

37

Independent Financial Group

38

Investment Centers of America

39

Securities Service Network

40

NEXT Financial Group

41

ProEquities

42

Geneos Wealth Management

43

Questar Capital Corporation

44

United Planners Financial Services

45

KMS Financial Services

46

J.W. Cole Financial

*A Member Of Advisor Group

NUMBER OF PRODUCING

REPS

14,377 7,668 3,827 1,710 6,456 8,885 4,722 3,005 2,209 2,288 1,780 1,566 1,321 1,291 3,737 2,152 1, 214 1, 287 2,012 1, 361 1,875

95 2 1,684 1,004 1,054

785 6 92 620 537 67 5 546 683 630 551 1,012 1,186 508 355 354 619 754 256 651 430 322 409

GROSS REVENUE

2016 ($MM)

3,977.4 3,945.0 1,841.2 1,068.7

842.9 826.3 727.5 711.5 535.5 519.5 487.4 466.8 423.2 376.8 367.8 366.1 325.6 307.6 301.9 283.1 279.3 274.1 263.0 253.9 249.8 232.6 227.1 173.2 169.3 159.4 152.0 149.5 144.0 144.0 132.1 128.8 122.9 113.4 111.6 107.8 106.2 104.5 102.6

97.3 96.4 89.4

SPONSORED BY

GROSS REVENUE PER REP

2016

276,652 514,473 481,106 624,976 130,566

N/A 154,076 244,238 256,824 227,074 279,827 298,109 320,390 291,887

98,421 190,000 268,239 238,973 150,049 214,823 148,973 287,936

156,197 252,931 237,023 240,000 328,118 279,423 315,325 236,112 278,000 218,884 228,862 261,255 130,520 108,613 229,700 319,515 315,307 174,132 117,500 408,042 157,650 226,385 299,452 218,671

FIRM PAYOUT %

2016

EMPLOYEE TO PRODUCING REP RATIO

AUM 2016 ($MM)

86% up to 91% up to 90% up to 95% up to 90% 52% - 95% up to 93% up to 94% up to 95%

91% 74% 92%

92 90% 87% up to 93% 88% 88% 86% 88.0% 76% 88% 87% 87% 88% N/A 86% 89% up to 92% 90% 95% - 97% 90% up to 90% 89% 85% 75% 91% up to 85% 94% 88% up to 92% 88% up to 90% 90% up to 95% up to 92%

1:4.4 N/A 1:1.3 1:2.2 N/A N/A N/A 1:4.2 1:4.0 1:8.0 1:3.3 1:2.6 1:5.5 1:6.6 1:18.5 1:8.3 1:5.7 1:2.1 1:10.1 1:8.5 1:7.7 1:1.6 1:5.3 1:1.6 1:5.9 1:2.5 1:4.4 1:8.3 1:6.2 1:0.2 1:14.4 1:6.6 1:7.4 1:5.5 1:13.1 1:12.1 1:8.0 1:3.7 1:6.0 1:5.0 1:6.9 1:4.7 1:7.2 1:7.5 1:5.0 1:7.4

211,609.4 N/A

248,605.0 114,420.0 124,559.4 24,335.7 119,818.0 78,507.5 66,000.0 73,268.3

51,728.1 60,757.0 75,605.0

N/A 73,100.0 53,100.0 30,877.0 39,000.0 45,424.4 37,238.2 34,544.9 35,666.0 33,447.2 31,633.0

N/A 25,692.3 28,366.6 24,400.0

N/A 21,738.1 50,800.0 3,867.0 2,840.9 17,608.4 4,094.3 19,810.0 16,559.0

N/A 13,423.7 14,331.0 2,906.0 11,300.0

N/A 5,223.1 15,289.0 10,276.0

FEATURE | BROKER-DEALER REVIEW AND RANKING

FA's 2017 B-D Ranking (By Gross Revenue)

2016 GROSS REVENUE RANK

FIRM NAME

NUMBER OF PRODUCING

REPS

GROSS REVENUE

2016 ($MM)

47

Investacorp

48

Sigma Financial Corporation

49

PlanMember Securities Corporation

50

Kovack Securities

51

The O.N. Equity Sales Company

52

Girard Securities

53

The Investment Center

54

Prospera Financial Services

55

The Strategic Financial Alliance

56

Parkland Securities

57

Crown Capital Securities

58

LaSalle St. Securities

59

Harbour Investments

60

Kalos Capital

61

Calton & Associates

62

CFD Investments

63

Founders Financial Securities

64

Fortune Financial Services

65

IMS Securities

66

Gradient Securities

67

Signal Securities

68

Correll Co. Investment Services Corporation

*A Member Of Advisor Group

440

87.8

568

86.6

490

75.1

390

65.4

647

56.7

200

49.7

246

45.1

135

43.8

129

43.7

348

41.3

330

41.0

250

40.6

200

37.0

110

34.5

303

34.2

185

29.2

76

23.2

254

12.2

100

11.6

108

10.0

49

5.1

7

0.8

SPONSORED BY

GROSS REVENUE PER REP

2016

199,480 154,397 153,257 167,646 87,589 248,340 183,381 324,105 330,000 108,373 124,320 160,000 185,000 313,636 112,785 157,960 321,663 63,000 116,302 92,205 107,446 100,000

FIRM PAYOUT %

2016

EMPLOYEE TO PRODUCING REP RATIO

90% 85% 90% - 94% 90% up to 92% 91% 90% + up to 99% 90% + 82% 92% up to 90% up to 92% 88% 75% - 92% up to 92% up to 90% up to 90% up to 90% up to 90% up to 90% 90%

1:5.9 1:5.4 1:3.2 1:5.7 1:13.2 1:5.0 1:6.5 1:2.8 1:4.0 1:3.3 1:12.9 1:8.6 1:10.0 1:3.1 1:12.1 1:4.0 1:4.8 1:23.1 1:6.3 1:6.4 1:5.2 1:2.3

AUM 2016 ($MM)

9,021.5 11,200.0 9,300.0 8,265.0 8,933.7 8,032.0 6,100.0 6,482.7 4,026.2 5,900.0 11,306.2 8,000.0 7,256.0

N/A 4,000.0

1,217.9 2,095.0 1,600.9

N/A 1,184.4

0.9 275.0

Gross Revenue Per Rep Of Top 15 B-Ds

2016 GROSS REVENUE RANK

FIRM NAME

GROSS REVENUE PER REP

2016

GROSS REVENUE PER REP CHANGE

FROM 2015

1

LPL Financial

2

Ameriprise Financial

3

Raymond James Financial Services

4

Commonwealth Financial Network

5

Northwestern Mutual Investment Svs.

6

AXA Advisors

7

Cambridge Investment Research

8

Securities America

9

Cetera Advisor Networks

10

Waddell & Reed

11

Royal Alliance Associates*

12

Kestra Financial

13

National Planning Corporation

14

MML Investors Services

15

Signator Investors

*A Member Of Advisor Group

276,652 514,473 481,106 624,976 130,566 154,076 244,238 256,824 227,074 279,827 298,109 320,390 291,887 98,421 190,000

-7.49% 1.08% -1.55% 2.67% -2.40% -2.08% -3.20% -3.29% 0.54% -3.25% 4.71%

N/A -4.73% 0.70%

N/A

Gross Revenue ($MM) Of Top 15 B-Ds

2016 GROSS REVENUE RANK

FIRM NAME

GROSS REVENUE

2016 ($MM)

GROSS REVENUE ($MM) % CHANGE FROM 2015

1

LPL Financial

3,977.4

2

Ameriprise Financial

3,945.0

3

Raymond James Financial Services

1,841.2

4

Commonwealth Financial Network

1,068.7

5

Northwestern Mutual Investment Svs. 842.9

6

Lincoln Financial Network

826.3

7

AXA Advisors

727.5

8

Cambridge Investment Research

711.5

9

Securities America

535.5

10

Cetera Advisor Networks

519.5

11

Waddell & Reed

487.4

12

Royal Alliance Associates*

466.8

13

Kestra Financial

423.2

14

National Planning Corporation

376.8

15

MML Investors Services

367.8

*A Member Of Advisor Group

-5.36% 0.66% 6.30% 6.15% 4.75% -3.31% -2.60% 1.92% -2.97% -7.07% -7.36% 1.21%

NEW -7.60% -5.38%

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