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All 2011-2015 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
5Raymond James Financial Services Inc.$25,578,000
6SII Investments Inc.$23,230,000
7Waddell & Reed Financial Advisors$21,469,000
8INVEST Financial Corp.$20,425,000
9National Planning Corporation (NPC) $19,340,000
10CUNA Brokerage Services Inc.$17,361,292
11MML Investors Services, LLC$15,570,572
12Commonwealth Financial Network$15,531,689
13Signator Investors Inc.$13,792,473
14AXA Advisors LLC$13,557,220
15SagePoint Financial Inc.$11,433,864
16Royal Alliance Associates Inc.$11,323,308
17Woodbury Financial Services$11,087,591
18Investment Centers of America Inc.$10,982,000
19FSC Securities Corp.$10,454,951
20Lincoln Investment Planning, LLC$10,098,000
21National Securities Corp. & Affiliates$9,385,000
22Cadaret, Grant & Co. Inc.$8,450,244
23Principal Securities, Inc. (fka Princor Financial Services Corp.)$8,229,713
24Cambridge Investment Research Inc.$8,145,981
25ProEquities Inc.$7,846,952
26Triad Advisors Inc.$7,813,306
27Centaurus Financial Inc.$7,200,000
28Ameritas Investment Corp.$7,161,541
29Securities America Inc.$6,400,000
30Hornor Townsend & Kent Inc.$5,930,000
31Securities Service Network Inc.$5,792,000
32KMS Financial Services, Inc.$5,524,487
33Investacorp Inc.$5,223,766
34Questar Capital Corp.$4,957,612
35United Planners Financial Services$4,851,978
36PlanMember Securities Corp.$3,750,000
37Prospera Financial Services Inc.$3,109,027
38LaSalle St. Securities LLC$3,100,000
39NEXT Financial Group Inc.$3,059,089
40Crown Capital Securities L.P.$2,721,813
41J.W. Cole Financial Inc.$2,537,360
42American Portfolios Financial Services Inc.$2,324,594
43The O.N. Equity Sales Co.$2,286,787
44The Strategic Financial Alliance Inc.$2,065,717
45M Holdings Securities Inc. (M Securities)$1,617,157
46Kovack Securities, Inc.$1,465,000
47Securities Management and Research$1,286,770
48The Investment Center Inc.$824,354
49Founders Financial Securities, LLC$669,532
50Broker Dealer Financial Services Corp.$553,283
51TFS Securities Inc.$539,586
52CFD Investments Inc.$438,814
53Geneos Wealth Management Inc.$400,000
54Harbour Investments Inc.$370,937
55Arete Wealth Management$275,000
56Nationwide Planning Associates, Inc.$270,889
57IMS Securities Inc./IMS Financial Advisors Inc.$34,881
58Veritas Independent Partners$19,716
59St. Bernard Financial Services Inc.$15,000
60Infinity Financial Services $9,344
61Independent Financial Group LLC0
62Ameriprise Financial Services Inc.0
63Investors Capital Corp.0
64Securian Financial Services Inc.0
65First Allied Securities, Inc.0
66Transamerica Financial Advisors, Inc.0
67Equity Services Inc.0
68VSR Financial Services Inc.0
69Quest Capital Strategies Inc. 0
70Parkland Securities, LLC0
71Kalos Capital Inc.0
72Fortune Financial Services, Inc.0
73Spire Investment Partners LLC0
74Capital Investment Co.0
75Wells Fargo Advisors Financial Network0
76Cetera Advisors0
77H. Beck Inc.0
78Girard Securities Inc.0
79Summit Brokerage Services, Inc.0
80Cetera Financial Institutions0
81HD Vest Investment Services0
82Cetera Financial Specialists0
83RBC Capital Markets Corp.0
84Sigma Financial Corp.0
85Cetera Advisor Networks0
86Kestra Financial0
87Trustmont Financial Group Inc.0
88Capital Analysts Inc.
89Ausdal Financial Partners
90SCF Securities Inc.
91Harbor Financial Services LLC
92TriCor Financial LLC
93Calton & Associates Inc.
94Protected Investors of America Inc.
95Allstate Financial Services LLC
96Berthel Fisher & Co. Financial Services Inc.
97BCG Securities, Inc.
98World Capital Brokerage, Inc
99The Legend Group Corp.
100Schwab Independent Branch Services (Franchise)
101Edward Jones
102Bernardi Securities Inc.
103National Planning Holdings Inc.
104LPL Investment Holdings Inc.
105J.P. Turner & Company LLC
106WRP Investments Inc.
107Wunderlich Securities Inc.
108ING Advisor Network Inc.
109Park Avenue Securities LLC
110LifeMark Securities Corp.
111Bolton Global Capital
112Hilltop Securities Independent Network Inc.
113Synergy Investment Group
114Leonard & Co.
115Advisor Group
116MetLife Inc.
117New England Securities Inc.
118Tower Square Securities Inc.
119Walnut Street Securities Inc.
120GBS Financial Corp.
121Foothill Securities Inc.
122National Holdings Corp.
123Cutter & Co. Inc.
124vFinance Investments Inc.
125MSI Financial Services, Inc.
126Wall Street Access
127Cantella & Co. Inc.
128Correll Co. Investment Services Corp.
129Coordinated Capital Securities Inc.
130Century Securities Associates Inc.
131Sterne Agee Financial Services
132Financial Telesis Inc.
133First Republic Securities Co.
134Financial Services International Corp.
135Quincy Cass Associates Inc.
136Packerland Brokerage Services Inc.
137D.A. Davidson & Co.
138Williams Financial Group
139Finance 500 Inc.
140Foresters Equity Services 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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