Broker-dealer Data Center

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All 2011-2014 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 ▼
51NEXT Financial Group Inc.$2,409,225
52J.W. Cole Financial Inc.$2,265,500
53PlanMember Securities Corp.$2,088,000
54Prospera Financial Services Inc.$2,010,698
55Berthel Fisher & Co. Financial Services Inc.$1,921,858
56The Legend Group Corp.$1,809,000
57The Strategic Financial Alliance Inc.$1,730,593
58Securities Management and Research$1,225,890
59The Investment Center Inc.$1,212,656
60Kovack Securities Inc.$1,021,177
61Founders Financial Securities, LLC$904,096
62SWS Financial Services$890,802
63The O.N. Equity Sales Co.$766,000
64Broker Dealer Financial Services Corp.$610,334
65Harbour Investments Inc.$530,873
66Packerland Brokerage Services Inc.$527,850
67CFD Investments Inc.$483,309
68Geneos Wealth Management Inc.$400,000
69Trustmont Financial Group Inc.0
70Allstate Financial Services LLC
71World Capital Brokerage, Inc
72Finance 500 Inc.
73BCG Securities, Inc.
74Capital Analysts Inc.
75Century Securities Associates Inc.
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    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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