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All 2014-2011 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 ▼
1NEXT Financial Group Inc.$2,409,225
2J.W. Cole Financial Inc.$2,265,500
3PlanMember Securities Corp.$2,088,000
4Prospera Financial Services Inc.$2,010,698
5Berthel Fisher & Co. Financial Services Inc.$1,921,858
6The Legend Group Corp.$1,809,000
7The Strategic Financial Alliance Inc.$1,730,593
8Securities Management and Research$1,225,890
9The Investment Center Inc.$1,212,656
10Kovack Securities Inc.$1,021,177
11Founders Financial Securities, LLC$904,096
12SWS Financial Services$890,802
13The O.N. Equity Sales Co.$766,000
14Broker Dealer Financial Services Corp.$610,334
15Harbour Investments Inc.$530,873
16Packerland Brokerage Services Inc.$527,850
17CFD Investments Inc.$483,309
18Geneos Wealth Management Inc.$400,000
19Trustmont Financial Group Inc.0
20World Capital Brokerage
21Finance 500 Inc.
22BCG Securities, Inc.
23Capital Analysts Inc.
24Century Securities Associates Inc.
25Coordinated Capital Securities Inc.
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  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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