FA’s 2020 B-D Ranking
COVER STORY | BROKER-DEALER REVIEW AND RANKING 2020
FA's 2020 B-D Ranking (By Gross Revenue)
2019 GROSS REVENUE RANK
FIRM NAME
NUMBER OF PRODUCING
REPS
GROSS REVENUE
2019 ($MM)
1
LPL Financial
2
Ameriprise Financial Services
3
Raymond James Financial Services
4
Commonwealth Financial Network
5
Northwestern Mutual Investment Services
6
MML Investors Services
7
Cambridge Investment Research
8
Royal Alliance Associates*
9
AXA Advisors
10
Lincoln Financial Network
11
Securities America*
12
Kestra Investment Services
13
Waddell & Reed Financial Advisors
14
Avantax Wealth Management
15
Woodbury Financial Services*
16
Voya Financial Advisors
17
SagePoint Financial*
18
Securian Financial Services
19
Lincoln Investment Planning
20
Principal Securities
21
FSC Securities Corporation*
22
Park Avenue Securities
23
American Portfolios Financial Services
24
CUNA Brokerage Services
25
Independent Financial Group
26
CUSO Financial Services LP/Sorrento Pacific Financial**
27
M Holdings Securities
28
Centaurus Financial
29
Cadaret Grant & Co.**
30
Ameritas Investment Company
31
Triad Advisors*
32
J.W. Cole Financial
33
United Planners Financial Services
34
Geneos Wealth Management
35
Sigma Financial Corporation
36
Hornor, Townsend & Kent (HTK)
37
KMS Financial Services*
38
ProEquities
39
PlanMember Securities Corporation
40
Securities Service Network*
41
Investacorp
42
NEXT Financial Group**
43
Transamerica Financial Advisors
44
Kovack Securities
* Member Of Advisor Group. **A subsidiary of Atria Wealth Solutions.
16,464 7,740 4,347 2,007 5,112 8,336 3,407 2,888 4,487 9,046 2,608 1,343 1, 327 3,984 1,548 1,707 1, 329 1,090 1,051 1406 698 1,935 723 501 553 750 539 648 725 846 640 440 419 265 558 837 351 604 472 330 450 434 2,840 382
5,624.9 5,068.5 2,552.2 1,552.7 1,351.2 1,184.7 1,000.6
961.1 945.7 847.2 729.5 570.7 513.8 508.0 498.1 477.2 415.5 370.2 343.3 300.5 289.1 227.1 202.5 200.9 193.5 190.6 170.7 163.4 153.6 150.2 141.5 131.5 129.2 128.8 123.3 122.7 119.2 114.7 106.0 101.5
99.8 92.7 92.2 78.4
GROSS REVENUE PER REP
2019
341,646 654,845 564,455 797,918 264,329
142,119 298,538 333,000
197,132 N/A
280,151 424,932 379,126 127,505 322,000 279,539 313,000 338,807 326,688 213,705 414,000 117,000 280,088 400,998 349,900 254,124 316,604 252,195
211,851 177,574 221,148 298,920 290,000 486,023 220,982 146,550 339,608 185,000 224,576 307,584 221,708 213,565 32,448 205,327
FIRM PAYOUT % 2019
up to 98% up to 91%
85% up to 98% up to 95% up to 83% up to 100%
94% 95% up to 90% up to 95% 93% up to 94% 78% 89% up to 92% 93% 88% N/A up to 95% 93% set by agency 90% up to 42% up to 95% N/A up to 96% up to 90% N/A up to 94% up to 95% 90% 90% up to 95% up to 94% up to 85% up to 96% up to 92% up to 93% up to 95% up to 95% N/A up to 90% 90%
AUM 2019 ($MM)
764,409.6 N/A
344,442.0 200,661.8 189,705.3 207,400.0 114,065.5 123,580.1 152,897.0
N/A 103,000.0
88,087.5 60,095.1 70,134.7 67,244.8 58,323.1 52,189.7 39,027.3 38,046.0 67,868.6 36,206.1 33,590.0 30,845.2 25,534.7 32,108.1 33,505.6 48,800.0 23,000.0 24,149.5 24,311.0 32,537.8 22,489.5 9,380.7 16,380.0 12,400.0 18,200.0 19,380.0 3,843.6 3,939.0 17,478.7 14,635.9 12,667.9 11,823.4 12,245.3
This PDF is for your personal, non-commercial use only. Reproduction and distribution of this content are strictly prohibited. For reprints, contact Susanna Marra at 732-450-8866 ext 24, or susanna@fa-.
COVER STORY | BROKER-DEALER REVIEW AND RANKING 2020
FA's 2020 B-D Ranking (By Gross Revenue)
2019 GROSS REVENUE RANK
FIRM NAME
45
The O.N. Equity Sales Company
46
Parkland Securities
47
Prospera Financial Services
48
The Investment Center
49
Harbour Investments
50
Berthel Fisher & Company Financial Services
51
Lion Street Financial
52
LaSalle St. Securities
53
The Strategic Financial Alliance
54
Spire Securities
55
Arete Wealth Management
56
cfd Investments
57
Founders Financial Securities
58
Fortune Financial Services
59
Gradient Securities
60
Trustmont Financial Group
61
Securities Management & Research
62
Signal Securities
* Member Of Advisor Group. **A subsidiary of Atria Wealth Solutions.
NUMBER OF PRODUCING
REPS
560 333 130 272 214 236 178 200 104 48 95 158 79 24 9 93
91 146 44
GROSS REVENUE
2019 ($MM)
68.4 67.6 65.0 59.7 58.8 47.9 46.3 43.0 42.4 35.6 34.4 31.4 29.5 20.6 13.8 12.9
7.3 6.4
GROSS REVENUE PER REP
2019
122,164 203,015 499,582 214,917 274,500 203,000 260,118 215,000 407,211 741,666 362,356 198,498 373,317
82,721 150,000 142,000
50,162 146,000
Gross Revenue Change Of Top 20 B-Ds
2019 GROSS REVENUE RANK
FIRM NAME
1
LPL Financial
2
Ameriprise Financial Services
3
Raymond James Financial Services
4
Commonwealth Financial Network
5
Northwestern Mutual Investment Services
6
MML Investors Services
7
Cambridge Investment Research
8
Royal Alliance Associates*
9
AXA Advisors
10
Lincoln Financial Network
11
Securities America*
13
Kestra Investment Services
14
Waddell & Reed Financial Advisors
15
Avantax Wealth Management
16
Woodbury Financial Services*
17
Voya Financial Advisors
18
SagePoint Financial*
19
Securian Financial Services
20
Lincoln Investment Planning
* Member Of Advisor Group. **A subsidiary of Atria Wealth Solutions.
GROSS REVENUE
2019 ($MM)
5,624.9 5,068.5 2,552.2 1,552.7 1,351.2 1,184.7 1,000.6
961.1 945.7 847.2 729.5 570.7 513.8 508.0 498.1 477.2 415.5 370.2 343.3
GROSS REVENUE ($MM) % CHANGE FROM 2018
8.41% 5.51% 5.91% 8.94% 10.81% 5.16% 10.35% 59.13% 3.49% 13.31% -9.21% 4.98% -1.71% 36.12% 33.33% 20.17% 2.40% 0.24% 1.93%
FIRM PAYOUT % 2019
up to 92% up to 94% up to 99%
90% up to 93% up to 90% up to 94% up to 92%
90+% negotiable up to 90% up to 92% up to 90% up to 90% up to 90% up to 90% up to 90% up to 90%
AUM 2019 ($MM)
11,100.8 6,300.0 9,200.0 8,780.0 11,205.0 6,321.8 12,150.0 10,500.0
N/A 4,200.5 4,000.0 4,000.0 3,362.7 2,309.5 1,792.5 1,908.6
501.3 1,010.0
This PDF is for your personal, non-commercial use only. Reproduction and distribution of this content are strictly prohibited. For reprints, contact Susanna Marra at 732-450-8866 ext 24, or susanna@fa-.
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