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
785 692 620 537 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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