Broker-dealer Data Center


Recruitment & StaffingFinancialsAssets BreakdownCustom Ranking
Clearing firm
Total Assets
Total Reps
Advanced Options

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.

You are currently viewing a limited portion of the InvestmentNews B-D rankings.

Subscribe or log in to the B-D Data Center for access to the complete ranking.

Firm Excess net capital ▼
1LPL Financial LLC$104,787,589
2Waddell & Reed Financial Advisors$52,389,000
3Royal Alliance Associates Inc.$40,300,000
4Lincoln Financial Network$32,600,000
5Raymond James Financial Services Inc.$26,273,000
6Voya Financial Advisors Inc.$24,420,211
7FSC Securities Corp.$22,400,000
8Woodbury Financial Services$20,600,000
9MML Investors Services, LLC$17,582,765
10Commonwealth Financial Network$14,134,534
11AXA Advisors LLC$13,175,068
12Cambridge Investment Research Inc.$11,899,039
13Triad Advisors LLC$11,025,673
14Lincoln Investment Planning, LLC$9,392,611
15Centaurus Financial Inc.$9,313,674
16CUNA Brokerage Services Inc.$8,934,559
17Ameritas Investment Corp.$7,667,631
18Investacorp Inc.$7,043,000
19Securities Service Network Inc.$6,918,000
20ProEquities Inc.$6,673,998
21Cadaret, Grant & Co. Inc.$6,295,361
22Signator Investors Inc.$5,561,914
23KMS Financial Services, Inc.$5,266,860
24Securities America Inc.$5,200,000
25Hornor Townsend & Kent Inc.$5,050,000
26Principal Securities, Inc. (fka Princor Financial Services Corp.)$4,894,078
27United Planners Financial Services$4,738,245
28Questar Capital Corp.$4,500,000
29Prospera Financial Services Inc.$3,643,059
30NEXT Financial Group Inc.$2,899,858
31LaSalle St. Securities LLC$2,800,000
32Crown Capital Securities L.P.$2,755,164
33J.W. Cole Financial Inc.$2,745,650
34American Portfolios Financial Services Inc.$2,397,842
35The O.N. Equity Sales Co.$2,387,226
36Kovack Securities, Inc.$1,875,500
37The Strategic Financial Alliance Inc.$1,792,637
38SCF Securities Inc.$889,016
39The Investment Center Inc.$839,270
40PlanMember Securities Corp.$666,000
41Founders Financial Securities, LLC$634,861
42Harbour Investments Inc.$455,000
43M Holdings Securities Inc. (M Securities)$436,937
44CFD Investments Inc.$433,725
45Geneos Wealth Management Inc.$400,000
46Nationwide Planning Associates, Inc.$313,518
47Arete Wealth Management$274,000
48Leaders Group$253,560
49Veritas Independent Partners$33,933
50St. Bernard Financial Services Inc.$18,000
51Infinity Financial Services $16,600
52IMS Securities Inc./IMS Financial Advisors Inc.$10,392
53Cetera Financial Specialists0
54First Allied Securities, Inc.0
55HD Vest Investment Services0
56Cetera Advisor Networks0
57Cetera Advisors0
58Transamerica Financial Advisors, Inc.0
59INVEST Financial Corp.0
60Investment Centers of America Inc.0
61National Planning Corporation (NPC) 0
62SII Investments Inc.0
63Kestra Financial, Inc0
64Sigma Financial Corp.0
65Wells Fargo Advisors Financial Network0
66Ameriprise Financial Services Inc.0
67Securian Financial Services Inc.0
68Summit Brokerage Services, Inc.0
69Independent Financial Group LLC0
70Parkland Securities, LLC0
71Spire Investment Partners LLC0
72Capital Investment Co.0
73Cetera Financial Institutions0
74SagePoint Financial Inc.0
75Trustmont Financial Group Inc.0
76Kalos Capital Inc.0
77Fortune Financial Services, Inc.0
78Advisor Group
79MetLife Inc.
80New England Securities Inc.
81Tower Square Securities Inc.
82Walnut Street Securities Inc.
83WRP Investments Inc.
84Protected Investors of America Inc.
85Foothill Securities Inc.
86National Planning Holdings Inc.
87National Holdings Corp.
88Quest Capital Strategies Inc.
89World Capital Brokerage, Inc
90Century Securities Associates Inc.
91Capital Analysts Inc.
92National Securities Corp. & Affiliates
93vFinance Investments Inc.
94Wall Street Access
95Cantella & Co. Inc.
96TFS Securities Inc.
97LPL Investment Holdings Inc.
98Schwab Independent Branch Services (Franchise)
99J.P. Turner & Company LLC
100Edward Jones
101ING Advisor Network Inc.
102SA Stone
103Financial Telesis Inc.
104First Republic Securities Co.
105Financial Services International Corp.
106Quincy Cass Associates Inc.
107Packerland Brokerage Services Inc.
108Broker Dealer Financial Services Corp.
109GBS Financial Corp.
110D.A. Davidson & Co.
111Williams Financial Group
112Finance 500 Inc.
113Foresters Equity Services Inc.
114Equity Services Inc.
115Ausdal Financial Partners
116Cutter & Co. Inc.
117Correll Co. Investment Services Corp.
118Harbor Financial Services LLC
119TriCor Financial LLC
120Berthel Fisher & Co. Financial Services Inc.
121BCG Securities, Inc.
122Calton & Associates Inc.
123Coordinated Capital Securities Inc.
124Bernardi Securities Inc.
125Allstate Financial Services LLC
126Hilltop Securities Independent Network Inc.
127Bolton Global Capital
128LifeMark Securities Corp.
129H. Beck Inc.
130Park Avenue Securities LLC
131Northwestern Mutual Investment Services
132Synergy Investment Group
133Wunderlich Securities Inc.
134Securities Management and Research
135Leonard & Co.

135 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

Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.

For comments or suggestions about the BD Data Center, please contact us.

Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.

Featured video


The #MeToo movement and the financial advice industry

Attendees at the Women to Watch luncheon commend the #MeToo movement for raising awareness about the issue of sexual harassment and bringing women together.

Latest news & opinion

What the next market downturn means for small RIAs

Firms that have enjoyed AUM growth because of the runup in stocks may find it hard to adjust to declining revenues if the market suffers a major correction.

DOL fiduciary rule likely to live on despite appeals court loss

Future developments will hinge on whether the Labor Department continues the fight to remake the regulation its own way.

DOL fiduciary rule: Industry reacts to Fifth Circuit ruling

Groups on both sides of the fiduciary debate had plenty to say.

Fifth Circuit Court of Appeals vacates DOL fiduciary rule

In split decision, judges say agency exceeded authority.

UBS, after dumping the broker protocol, continues to see brokers come and go

The wirehouse has seen 14 individuals or teams leave and five join for a net loss of $2.4 billion in AUM


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.