Updated Monday, May 20, 2013 as of 1:04 PM ET
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12:31PM ETAdvisors Hanging On to SEC Registration
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11:52AM ETHighTower Gears Up for Growth
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11:13AM ETJanney Nabs 2 from Morgan Stanley
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10:46AM ETSIFMA Names Judd Gregg CEO
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09:53AM ETFINRA Kicks Off Annual Conference
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09:29AM ETCredit Suisse Mixes Bonds and Gold
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09:26AM ETHancock Names New President
For a variety of reasons, advisors sometimes need to cut ties with clients. Here's how to make a clean break.
Top Stories
Only about 2,100 SEC-registered investment advisors switched their registration to state... more »
The firm completed a round of financing and added two new directors to focus on recruitment. more »
The Financial Industry Regulatory Authority will present the latest on fiduciary rules,... more »
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Research Roundup
Broker Dealer Data
Rank 1
Prev. Rank
Company
Total Revenues $000s
% Change
Commission Rev.
3
--
Raymond James Financial Services
1,178,065
15.2
553,134
Company
Mutual Funds %
Stocks %
Bonds %
Annuities %
Insurance %
Allstate Financial Services, LLC
45 to 81%
60%
60%
45 to 81%
45 to 81%
American Portfolios Fin. Services
90
90
90
90
90
Ameriprise Financial Services
72-95
72-95
72-95
72-95
72-95
Ameritas Investment Corp.
50-90%
50-90%
50-90%
50-90%
50-90%
Rank 3
Company
Total Reps
Producing Reps $000s
Series 6 Reps
Series 7 Reps
1
LPL Financial, LLC
12,847
12,847
1,101
11,746
2
Ameriprise Financial Services
7,498
7,498
--
7,498
3
Raymond James Financial Services
4,670
3,193
--
4,670
4
Commonwealth Financial Network
1,791
1,414
195
1,596
Rank
Company
Total Payout $000
% Change
Average Payout $000
% Change
1
LPL Financial, LLC
2,304,663
4.1
179
(3.4)
2
Ameriprise Financial Services
1,792,818
18.8
239
18.6
3
Raymond James Financial Services
826,692
14.6
259
16.1
4
Commonwealth Financial Network
492,529
11.9
348
7.5
Rank
Prev. Rank
Company
Full-Time Staff
Licensed Professionals
Registered Offices
1
--
Ameriprise Financial Services
2,800
--
--
2
--
LPL Financial, LLC
2,552
852
6,593
3
--
Raymond James Financial Services
2,495
--
1,953
4
--
Waddell & Reed
905
25
419
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