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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
58Cetera Advisor Networks0
59Independent Financial Group LLC0
60Cetera Advisors0
61Investors Capital Corp.0
62Quest Capital Strategies Inc. 0
63Parkland Securities, LLC0
64Spire Investment Partners LLC0
65Cetera Financial Institutions0
66Trustmont Financial Group Inc.0
67Equity Services Inc.0
68Sigma Financial Corp.0
69Cetera Financial Specialists0
70Kalos Capital Inc.0
71Fortune Financial Services, Inc.0
72VSR Financial Services Inc.0
73Wells Fargo Advisors Financial Network0
74First Allied Securities, Inc.0
75Ameriprise Financial Services Inc.0
76Securian Financial Services Inc.0
77HD Vest Investment Services0
78Girard Securities Inc.0
79Summit Brokerage Services, Inc.0
80H. Beck Inc.0
81Edward Jones
82BCG Securities, Inc.
83Berthel Fisher & Co. Financial Services Inc.
84Capital Analysts Inc.
85Century Securities Associates Inc.
86Coordinated Capital Securities Inc.
87Correll Co. Investment Services Corp.
88Cutter & Co. Inc.
89First Midwest Securities Inc.
90GBS Financial Corp.
91ING Advisor Network Inc.
92Transamerica Financial Advisors, Inc.
93J.P. Turner & Company LLC
94LPL Investment Holdings Inc.
95National Planning Holdings Inc.
96Prime Capital Services Inc.
97Protected Investors of America Inc.
98WRP Investments Inc.
99Wunderlich Securities Inc.
100Park Avenue Securities LLC
101Wall Street Financial Group Inc.
102LifeMark Securities Corp.
103SWS Financial Services
104Eagle One Investments LLC
105Synergy Investment Group
106IMS Securities Inc./IMS Financial Advisors Inc.
107Leonard & Co.
108Advisor Group
109MetLife Inc.
110New England Securities Inc.
111Tower Square Securities Inc.
112Walnut Street Securities Inc.
113Foothill Securities Inc.
114National Holdings Corp.
115Pointe Capital Inc.
116Capital Investment Co.
117vFinance Investments Inc.
118MetLife Securities Inc.
119R.M. Stark & Co. Inc.
120Wall Street Access
121Cantella & Co. 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.
129Packerland Brokerage Services Inc.
130D.A. Davidson & Co.
131Williams Financial Group
132Finance 500 Inc.
133Foresters Equity Services Inc.
134Ausdal Financial Partners
135SCF Securities Inc.
136Harbor Financial Services LLC
137TriCor Financial LLC
138Calton & Associates Inc.
139St. Bernard Financial Services Inc.
140Bernardi Securities Inc.
141Allstate Financial Services LLC
142World Capital Brokerage, Inc
143The Legend Group Corp.
144Schwab Independent Branch Services (Franchise)

144 results found

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

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