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 ▼
101J.P. Turner & Company LLC
102WRP Investments Inc.
103Berthel Fisher & Co. Financial Services Inc.
104BCG Securities, Inc.
105Sterne Agee Financial Services
106Financial Telesis Inc.
107First Republic Securities Co.
108Financial Services International Corp.
109Quincy Cass Associates Inc.
110Packerland Brokerage Services Inc.
111Schwab Independent Branch Services (Franchise)
112GBS Financial Corp.
113D.A. Davidson & Co.
114Williams Financial Group
115Finance 500 Inc.
116Foresters Equity Services Inc.
117Protected Investors of America Inc.
118Ausdal Financial Partners
119ING Advisor Network Inc.
120SCF Securities Inc.
121Harbor Financial Services LLC
122TriCor Financial LLC
123Edward Jones
124Pinnacle Investments, LLC
125Calton & 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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