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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 ▼
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, LLC$15,004,000
17Cetera Advisor Networks$13,535,000
18ProEquities Inc.$13,008,569
19AXA Advisors$12,413,419
20National Planning Corporation (NPC) $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
70Allstate Financial Services LLC
71World Capital Brokerage, Inc
72Finance 500 Inc.
73BCG Securities, Inc.
74Capital Analysts Inc.
75Century Securities Associates Inc.
76Coordinated Capital Securities Inc.
77Correll Co. Investment Services Corp.
78Cutter & Co. Inc.
79Equity Services Inc.
80First Midwest Securities Inc.
81GBS Financial Corp.
82HD Vest Investment Services
83ING Advisor Network Inc.
84Transamerica Financial Advisors, Inc.
85LPL Investment Holdings Inc.
86National Planning Holdings Inc.
87Prime Capital Services Inc.
88Protected Investors of America Inc.
89Sigma Financial Corp.
90Wells Fargo Advisors Financial Network
91WRP Investments Inc.
92Wunderlich Securities Inc.
93Ameriprise Financial Services Inc.
94Park Avenue Securities LLC
95Wall Street Financial Group Inc.
96LifeMark Securities Corp.
97Girard Securities Inc.
98Eagle One Investments LLC
99Synergy Investment Group
100IMS Securities Inc./IMS Financial Advisors Inc.
101Independent Financial Group LLC
102Leonard & Co.
103Advisor Group
104MetLife Inc.
105New England Securities Inc.
106Tower Square Securities Inc.
107Walnut Street Securities Inc.
108Foothill Securities Inc.
109National Holdings Corp.
110Pointe Capital Inc.
111Quest Capital Strategies Inc.
112Parkland Securities, LLC
113Spire Investment Partners LLC
114Capital Investment Co.
115vFinance Investments Inc.
116MetLife Securities Inc.
117R.M. Stark & Co. Inc.
118Wall Street Access
119Cantella & Co. Inc.
120TFS Securities Inc.
121Ladenburg Thalmann Financial Services Inc.
122Financial Advisers of America LLC
123Sterne Agee Financial Services
124Financial Telesis Inc.
125First Republic Securities Co.
126Financial Services International Corp.
127Quincy Cass Associates Inc.
128MidAmerica Financial Services Inc.
129D.A. Davidson & Co.
130Williams Financial Group
131Foresters Equity Services Inc.
132Ausdal Financial Partners
133SCF Securities Inc.
134Harbor Financial Services LLC
135TriCor Financial LLC
136Kalos Capital Inc.
137Fortune Financial Services, Inc.
138Calton & Associates Inc.
139St. Bernard Financial Services Inc.
140Bernardi Securities Inc.

140 results found

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

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