Broker-dealer Data Center

Rankings

Recruitment & StaffingFinancialsAssets BreakdownCustom Ranking
Year
State
Clearing firm
Revenue
Total Assets
Total Reps
Advanced Options

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.

You are currently viewing a limited portion of the InvestmentNews B-D rankings.

Subscribe or log in to the B-D Data Center for access to the complete ranking.

Firm Excess net capital ▼
51IMS Securities Inc./IMS Financial Advisors Inc.$10,392
52Cetera Advisors0
53Parkland Securities, LLC0
54Spire Investment Partners LLC0
55Capital Investment Co.0
56Girard Securities Inc.0
57Summit Brokerage Services, Inc.0
58Cetera Advisor Networks0
59Cetera Financial Specialists0
60National Planning Corporation (NPC) 0
61Kalos Capital Inc.0
62Fortune Financial Services, Inc.0
63Independent Financial Group LLC0
64Cetera Financial Institutions0
65Investment Centers of America Inc.0
66INVEST Financial Corp.0
67Ameriprise Financial Services Inc.0
68Kestra Financial0
69Securian Financial Services Inc.0
70Sigma Financial Corp.0
71HD Vest Investment Services0
72SII Investments Inc.0
73Wells Fargo Advisors Financial Network0
74Trustmont Financial Group Inc.0
75First Allied Securities, Inc.0
« Previous PageNext Page »

138 results found

Page 1 | 2 | 3 | 4 | 5 | 6 | View all

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.

For comments or suggestions about the BD Data Center, please contact us.

Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.

Featured video

Events

Get creative: How to boost your message to prospects

Communicating with prospects can be difficult. What are some creative ways that you can enhance your messaging? Bob Huntley of Wise Counsel Wealth Management offers some ideas.

Video Spotlight

The Search for Income

Sponsored by PGIM Investments

Recommended Video

Path to growth

Latest news & opinion

How does your advisory firm stack up?

Comparing a firm's pay to the competition can point out vast flaws.

10 signs your client is cheating on you

Sure signs that clients may be on the way out the door.

Morgan Stanley sees slower fee-based asset flows on fiduciary rule delay

Flows to advisory accounts, while still higher than the start of 2016, dropped off more than 20% from Q2 and were the lowest in a year.

How adviser salaries stack up to other jobs

Median compensation hovers just under $100,000 on the low end and reaches nearly $300,000 for bosses.

Finra ranking brokers in effort to crack down on industry's bad apples

All 634.403 reps have been ranked based on factors such as prior regulatory disclosures, disciplinary actions and employment history.