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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 ▼
1LPL Financial LLC$95,177,588
2Northwestern Mutual$66,410,404
3Voya Financial Advisors Inc.$30,470,488
4Lincoln Financial Network$27,294,000
5Cambridge Investment Research Inc.$27,028,690
6Raymond James Financial Services Inc.$23,498,000
7SII Investments Inc.$19,601,000
8Royal Alliance Associates Inc.$19,545,844
9MML Investors Services LLC$18,017,550
10INVEST Financial Corp.$17,382,000
11Cetera Financial Institutions$16,940,000
12SagePoint Financial Inc.$15,782,063
13CUNA Brokerage Services Inc.$15,717,994
14Commonwealth Financial Network$15,218,839
15Woodbury Financial Services$15,207,785
16Lincoln Investment Planning Inc.$15,004,000
17Cetera Advisor Networks$13,535,000
18ProEquities Inc.$13,008,569
19AXA Advisors$12,413,419
20National Planning Corp.$12,030,000
21FSC Securities Corp.$11,763,000
22Securian Financial Services Inc.$10,865,678
23Investment Centers of America Inc.$10,782,000
24Waddell & Reed Financial Advisors$10,715,000
25H. Beck Inc.$10,119,409
26Cetera Advisors$9,044,000
27NFP Advisor Services$7,013,914
28Cadaret, Grant & Co. Inc.$6,999,427
29Securities America Inc.$6,800,000
30Princor Financial Services Corp.$6,720,250
31National Securities Corp.$6,682,000
32Centaurus Financial Inc.$6,200,837
33Hornor Townsend & Kent Inc.$5,990,000
34Ameritas Investment Corp.$5,637,243
35Triad Advisors Inc.$5,630,659
36Summit Brokerage Services, Inc.$5,300,000
37Cetera Financial Specialists$4,768,000
38Investacorp Inc.$4,703,719
39J.P. Turner & Company LLC$4,607,000
40Signator Investors Inc.$4,228,046
41First Allied Securities, Inc.$3,949,296
42United Planners Financial Services$3,900,000
43VSR Financial Services Inc.$3,897,633
44Securities Service Network Inc.$3,559,000
45Investors Capital Corp.$3,500,000
46LaSalle St. Securities LLC$3,300,000
47Questar Capital Corp.$3,293,472
48M Holdings Securities Inc. (M Securities)$3,229,749
49American Portfolios Financial Services Inc.$2,978,445
50Crown Capital Securities L.P.$2,773,187
51NEXT Financial Group Inc.$2,409,225
52J.W. Cole Financial Inc.$2,265,500
53PlanMember Securities Corp.$2,088,000
54Prospera Financial Services Inc.$2,010,698
55Berthel Fisher & Co. Financial Services Inc.$1,921,858
56The Legend Group Corp.$1,809,000
57The Strategic Financial Alliance Inc.$1,730,593
58Securities Management and Research$1,225,890
59The Investment Center Inc.$1,212,656
60Kovack Securities Inc.$1,021,177
61Founders Financial Securities, LLC$904,096
62SWS Financial Services$890,802
63The O.N. Equity Sales Co.$766,000
64Broker Dealer Financial Services Corp.$610,334
65Harbour Investments Inc.$530,873
66Packerland Brokerage Services Inc.$527,850
67CFD Investments Inc.$483,309
68Geneos Wealth Management Inc.$400,000
69Trustmont Financial Group Inc.0
70World Capital Brokerage
71Finance 500 Inc.
72BCG Securities, Inc.
73Capital Analysts Inc.
74Century Securities Associates Inc.
75Coordinated Capital Securities Inc.
76Correll Co. Investment Services Corp.
77Cutter & Co. Inc.
78Equity Services Inc.
79First Midwest Securities Inc.
80GBS Financial Corp.
81HD Vest Investment Services
82ING Advisor Network Inc.
83Transamerica Financial Advisors, Inc.
84LPL Investment Holdings Inc.
85National Planning Holdings Inc.
86Prime Capital Services Inc.
87Protected Investors of America Inc.
88Sigma Financial Corp.
89Wells Fargo Advisors Financial Network
90WRP Investments Inc.
91Wunderlich Securities Inc.
92Ameriprise Financial Services Inc.
93Park Avenue Securities LLC
94Wall Street Financial Group Inc.
95LifeMark Securities Corp.
96Girard Securities Inc.
97Eagle One Investments LLC
98Synergy Investment Group
99IMS Securities Inc./IMS Financial Advisors Inc.
100Independent Financial Group LLC
101Leonard & Co.
102Advisor Group
103MetLife Inc.
104New England Securities Inc.
105Tower Square Securities Inc.
106Walnut Street Securities Inc.
107Foothill Securities Inc.
108National Holdings Corp.
109Pointe Capital Inc.
110Quest Capital Strategies Inc.
111Parkland Securities, LLC
112Spire Investment Partners LLC
113Capital Investment Co.
114vFinance Investments Inc.
115MetLife Securities Inc.
116R.M. Stark & Co. Inc.
117Wall Street Access
118Cantella & Co. Inc.
119TFS Securities Inc.
120Ladenburg Thalmann Financial Services Inc.
121Financial Advisers of America LLC
122Sterne Agee Financial Services
123Financial Telesis Inc.
124First Republic Securities Co.
125Financial Services International Corp.
126Quincy Cass Associates Inc.
127MidAmerica Financial Services Inc.
128Williams Financial Group
129Foresters Equity Services Inc.
130Ausdal Financial Partners
131SCF Securities Inc.
132Harbor Financial Services LLC
133TriCor Financial LLC
134Kalos Capital Inc.
135Fortune Financial Services Inc.
136Calton & Associates Inc.
137St. Bernard Financial Services Inc.
138Bernardi Securities Inc.
139Allstate Financial Services LLC

139 results found

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

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