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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$97,371,519
2Lincoln Financial Network$43,225,000
3Northwestern Mutual$34,806,706
4Voya Financial Advisors Inc.$28,159,353
5Kestra Financial$25,689,106
6Raymond James Financial Services Inc.$25,578,000
7SII Investments Inc.$23,230,000
8Waddell & Reed Financial Advisors$21,469,000
9INVEST Financial Corp.$20,425,000
10National Planning Corporation (NPC) $19,340,000
11CUNA Brokerage Services Inc.$17,361,292
12MML Investors Services, LLC$15,570,572
13Commonwealth Financial Network$15,531,689
14Signator Investors Inc.$13,792,473
15AXA Advisors$13,557,220
16SagePoint Financial Inc.$11,433,864
17Royal Alliance Associates Inc.$11,323,308
18Woodbury Financial Services$11,087,591
19Investment Centers of America Inc.$10,982,000
20FSC Securities Corp.$10,454,951
21Lincoln Investment Planning, LLC$10,098,000
22National Securities Corp. & Affiliates$9,385,000
23Cadaret, Grant & Co. Inc.$8,450,244
24Princor Financial Services Corp.$8,229,713
25Cambridge Investment Research Inc.$8,145,981
26ProEquities Inc.$7,846,952
27Triad Advisors Inc.$7,813,306
28Centaurus Financial Inc.$7,200,000
29Ameritas Investment Corp.$7,161,541
30Securities America Inc.$6,400,000
31Hornor Townsend & Kent Inc.$5,930,000
32Securities Service Network Inc.$5,792,000
33KMS Financial Services, Inc.$5,524,487
34Investacorp Inc.$5,223,766
35Questar Capital Corp.$4,957,612
36United Planners Financial Services$4,851,978
37PlanMember Securities Corp.$3,750,000
38Prospera Financial Services Inc.$3,109,027
39LaSalle St. Securities LLC$3,100,000
40NEXT Financial Group Inc.$3,059,089
41Crown Capital Securities L.P.$2,721,813
42J.W. Cole Financial Inc.$2,537,360
43American Portfolios Financial Services Inc.$2,324,594
44The O.N. Equity Sales Co.$2,286,787
45The Strategic Financial Alliance Inc.$2,065,717
46M Holdings Securities Inc. (M Securities)$1,617,157
47Kovack Securities Inc.$1,465,000
48Securities Management and Research$1,286,770
49The Investment Center Inc.$824,354
50Founders Financial Securities, LLC$669,532
51Broker Dealer Financial Services Corp.$553,283
52TFS Securities Inc.$539,586
53CFD Investments Inc.$438,814
54Geneos Wealth Management Inc.$400,000
55Harbour Investments Inc.$370,937
56Nationwide Planning Associates, Inc.$270,889
57Infinity Financial Services $9,344
58Trustmont Financial Group Inc.0
59Cetera Advisors0
60Cetera Advisor Networks0
61HD Vest Investment Services0
62Sigma Financial Corp.0
63Cetera Financial Specialists0
64First Allied Securities, Inc.0
65VSR Financial Services Inc.0
66Wells Fargo Advisors Financial Network0
67Equity Services Inc.0
68Ameriprise Financial Services Inc.0
69Securian Financial Services Inc.0
70Girard Securities Inc.0
71Summit Brokerage Services, Inc.0
72H. Beck Inc.0
73Independent Financial Group LLC0
74Quest Capital Strategies Inc. 0
75Parkland Securities, LLC0
76Spire Investment Partners LLC0
77Cetera Financial Institutions0
78Investors Capital Corp.0
79Kalos Capital Inc.0
80Fortune Financial Services, Inc.0
81MetLife Inc.
82New England Securities Inc.
83Tower Square Securities Inc.
84Walnut Street Securities Inc.
85Century Securities Associates Inc.
86Capital Analysts Inc.
87Foothill Securities Inc.
88LifeMark Securities Corp.
89National Holdings Corp.
90World Capital Brokerage, Inc
91The Legend Group Corp.
92LPL Investment Holdings Inc.
93Capital Investment Co.
94Park Avenue Securities LLC
95vFinance Investments Inc.
96MetLife Securities Inc.
97Wall Street Access
98Cantella & Co. Inc.
99Cutter & Co. Inc.
100Wunderlich Securities Inc.
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.
126St. Bernard Financial Services Inc.
127Correll Co. Investment Services Corp.
128SWS Financial Services
129Bernardi Securities Inc.
130Allstate Financial Services LLC
131Coordinated Capital Securities Inc.
132Transamerica Financial Advisors, Inc.
133Synergy Investment Group
134IMS Securities Inc./IMS Financial Advisors Inc.
135National Planning Holdings Inc.
136Leonard & Co.
137Advisor Group

137 results found

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

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