Broker-dealer Data Center

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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 Excess net capital ▼
26Hornor Townsend & Kent Inc.$5,050,000
27Principal Securities, Inc. (fka Princor Financial Services Corp.)$4,894,078
28United Planners Financial Services$4,738,245
29Questar Capital Corp.$4,500,000
30Prospera Financial Services Inc.$3,643,059
31NEXT Financial Group Inc.$2,899,858
32LaSalle St. Securities LLC$2,800,000
33Crown Capital Securities L.P.$2,755,164
34J.W. Cole Financial Inc.$2,745,650
35American Portfolios Financial Services Inc.$2,397,842
36The O.N. Equity Sales Co.$2,387,226
37Kovack Securities, Inc.$1,875,500
38The Strategic Financial Alliance Inc.$1,792,637
39The Investment Center Inc.$839,270
40PlanMember Securities Corp.$666,000
41Founders Financial Securities, LLC$634,861
42Harbour Investments Inc.$455,000
43M Holdings Securities Inc. (M Securities)$436,937
44CFD Investments Inc.$433,725
45Geneos Wealth Management Inc.$400,000
46Nationwide Planning Associates, Inc.$313,518
47Arete Wealth Management$274,000
48Veritas Independent Partners$33,933
49St. Bernard Financial Services Inc.$18,000
50Infinity Financial Services $16,600
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    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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