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 ▼
1MML Investors Services, LLC$137,534,791
2LPL Financial LLC$91,758,000
3Northwestern Mutual Investment Services$72,000,000
4Raymond James Financial Services Inc.$34,238,000
5Voya Financial Advisors Inc.$28,772,335
6Waddell & Reed Financial Advisors$27,774,000
7Lincoln Financial Network$27,200,000
8CUNA Brokerage Services Inc.$14,562,423
9Principal Securities, Inc. (fka Princor Financial Services Corp.)$13,973,324
10Signator Investors Inc.$13,634,399
11Centaurus Financial Inc.$13,552,708
12Lincoln Investment Planning, LLC$12,790,000
13AXA Advisors LLC$12,508,645
14Cadaret, Grant & Co. Inc.$12,381,662
15Commonwealth Financial Network$12,184,563
16Cambridge Investment Research Inc.$9,514,000
17Investacorp Inc.$8,527,000
18Securities America Inc.$8,400,000
19Transamerica Financial Advisors, Inc.$7,438,136
20Triad Advisors LLC$6,734,779
21Securities Service Network Inc.$6,354,000
22Ameritas Investment Corp.$6,175,791
23Prospera Financial Services Inc.$5,707,276
24ProEquities Inc.$4,983,528
25United Planners Financial Services$4,295,278
26American Portfolios Financial Services Inc.$4,000,000
27J.W. Cole Financial Inc.$3,567,800
28Crown Capital Securities L.P.$3,412,042
29PlanMember Securities Corp.$2,558,000
30LaSalle St. Securities LLC$2,500,000
31Kovack Securities, Inc.$2,430,820
32Questar Capital Corp.$2,098,000
33The O.N. Equity Sales Co.$1,902,905
34SCF Securities Inc.$1,310,179
35Geneos Wealth Management Inc.$1,014,782
36The Investment Center Inc.$923,729
37CFD Investments Inc.$818,179
38The Strategic Financial Alliance Inc.$788,519
39Founders Financial Securities, LLC$701,159
40Nationwide Planning Associates, Inc.$657,979
41Harbour Investments Inc.$455,000
42M Holdings Securities Inc. (M Securities)$417,838
43Arete Wealth Management$389,000
44David A. Noyes & Company$354,000
45Leaders Group$134,007
46Infinity Financial Services $67,248
47Veritas Independent Partners$24,444
48Kalos Capital Inc.0
49H. Beck Inc.0
50First Allied Securities, Inc.0
51Cetera Advisor Networks0
52Cetera Advisors0
53Kestra Financial, Inc0
54Sigma Financial Corp.0
55Cetera Financial Specialists0
56Wells Fargo Advisors Financial Network0
57Woodbury Financial Services0
58Ameriprise Financial Services Inc.0
59Securian Financial Services Inc.0
60Summit Brokerage Services, Inc.0
61Independent Financial Group LLC0
62Parkland Securities, LLC0
63Spire Investment Partners LLC0
64Capital Investment Co.0
65Cetera Financial Institutions0
66SagePoint Financial Inc.0
67FSC Securities Corp.0
68Trustmont Financial Group Inc.0
69Royal Alliance Associates Inc.0
70Fortune Financial Services, Inc.0
71Synergy Investment Group
72Securities Management and Research
73Leonard & Co.
74MetLife Inc.
75New England Securities Inc.
76Tower Square Securities Inc.
77Walnut Street Securities Inc.
78Investment Centers of America Inc.
79INVEST Financial Corp.
80Foothill Securities Inc.
81Hornor Townsend & Kent Inc.
82Quest Capital Strategies Inc.
83World Capital Brokerage, Inc
84Coordinated Capital Securities Inc.
85Century Securities Associates Inc.
86National Securities Corp. & Affiliates
87vFinance Investments Inc.
88Wall Street Access
89Cantella & Co. Inc.
90TFS Securities Inc.
91KMS Financial Services, Inc.
92Schwab Independent Branch Services (Franchise)
93ING Advisor Network Inc.
94Edward Jones
95Capital Analysts Inc.
96SA Stone
97Financial Telesis Inc.
98First Republic Securities Co.
99Financial Services International Corp.
100Quincy Cass Associates Inc.
101Packerland Brokerage Services Inc.
102Broker Dealer Financial Services Corp.
103HD Vest Investment Services
104D.A. Davidson & Co.
105Williams Financial Group
106Finance 500 Inc.
107Foresters Equity Services Inc.
108GBS Financial Corp.
109Ausdal Financial Partners
110Equity Services Inc.
111Cutter & Co. Inc.
112Harbor Financial Services LLC
113TriCor Financial LLC
114Berthel Fisher & Co. Financial Services Inc.
115BCG Securities, Inc.
116Calton & Associates Inc.
117St. Bernard Financial Services Inc.
118Wunderlich Securities Inc.
119WRP Investments Inc.
120Bernardi Securities Inc.
121Park Avenue Securities LLC
122Allstate Financial Services LLC
123LifeMark Securities Corp.
124Bolton Global Capital
125Hilltop Securities Independent Network Inc.
126Protected Investors of America Inc.
127NEXT Financial Group Inc.
128Correll Co. Investment Services Corp.
129SII Investments Inc.
130National Planning Corporation (NPC)

130 results found

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

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

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