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

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