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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, Inc. $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
24Principal Securities, Inc. (fka Princor 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
58Cetera Financial Specialists0
59H. Beck Inc.0
60Equity Services Inc.0
61First Allied Securities, Inc.0
62HD Vest Investment Services0
63Cetera Advisor Networks0
64Cetera Advisors0
65Investors Capital Corp.0
66Sigma Financial Corp.0
67VSR Financial Services Inc.0
68Wells Fargo Advisors Financial Network0
69Ameriprise Financial Services Inc.0
70Securian Financial Services Inc.0
71Girard Securities Inc.0
72Summit Brokerage Services, Inc.0
73Independent Financial Group LLC0
74Quest Capital Strategies Inc. 0
75Parkland Securities, LLC0
76Spire Investment Partners LLC0
77Cetera Financial Institutions0
78Trustmont Financial Group Inc.0
79Kalos Capital Inc.0
80Fortune Financial Services, Inc.0
81Advisor Group
82MetLife Inc.
83New England Securities Inc.
84Tower Square Securities Inc.
85Walnut Street Securities Inc.
86Wunderlich Securities Inc.
87WRP Investments Inc.
88Foothill Securities Inc.
89Protected Investors of America Inc.
90National Holdings Corp.
91World Capital Brokerage, Inc
92The Legend Group Corp.
93Berthel Fisher & Co. Financial Services Inc.
94Capital Investment Co.
95National Planning Holdings Inc.
96vFinance Investments Inc.
97MSI Financial Services, Inc.
98Wall Street Access
99Cantella & Co. Inc.
100LPL Investment Holdings Inc.
101J.P. Turner & Company LLC
102BCG Securities, Inc.
103Transamerica Financial Advisors, Inc.
104ING Advisor Network Inc.
105GBS Financial Corp.
106Sterne Agee Financial Services
107Financial Telesis Inc.
108First Republic Securities Co.
109Financial Services International Corp.
110Quincy Cass Associates Inc.
111Packerland Brokerage Services Inc.
112Schwab Independent Branch Services (Franchise)
113Cutter & Co. Inc.
114D.A. Davidson & Co.
115Williams Financial Group
116Finance 500 Inc.
117Foresters Equity Services Inc.
118Correll Co. Investment Services Corp.
119Ausdal Financial Partners
120Coordinated Capital Securities Inc.
121SCF Securities Inc.
122Harbor Financial Services LLC
123TriCor Financial LLC
124Edward Jones
125Veritas Independent Partners
126Calton & Associates Inc.
127St. Bernard Financial Services Inc.
128Bernardi Securities Inc.
129Hilltop Securities Independent Network Inc.
130Bolton Global Capital
131Allstate Financial Services LLC
132Century Securities Associates Inc.
133LifeMark Securities Corp.
134Park Avenue Securities LLC
135Synergy Investment Group
136IMS Securities Inc./IMS Financial Advisors Inc.
137Capital Analysts Inc.
138Leonard & Co.

138 results found

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

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