Broker-dealer Data Center


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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.

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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
6SagePoint Financial Inc.$26,000,000
7Voya Financial Advisors Inc.$24,420,211
8FSC Securities Corp.$22,400,000
9Woodbury Financial Services$20,600,000
10MML Investors Services, LLC$17,582,765
11Commonwealth Financial Network$14,134,534
12AXA Advisors LLC$13,175,068
13Cambridge Investment Research Inc.$11,899,039
14Triad Advisors LLC$11,025,673
15Lincoln Investment Planning, LLC$9,392,611
16Centaurus Financial Inc.$9,313,674
17CUNA Brokerage Services Inc.$8,934,559
18Ameritas Investment Corp.$7,667,631
19Investacorp Inc.$7,043,000
20Securities Service Network Inc.$6,918,000
21ProEquities Inc.$6,673,998
22Cadaret, Grant & Co. Inc.$6,295,361
23Signator Investors Inc.$5,561,914
24KMS Financial Services, Inc.$5,266,860
25Securities America Inc.$5,200,000
26Hornor Townsend & Kent Inc.$5,050,000
27Principal Securities, Inc. (fka Princor Financial Services Corp.)$4,894,078
28United Planners Financial Services$4,738,245
29Questar Capital Corp.$4,500,000
30Prospera Financial Services Inc.$3,643,059
31NEXT Financial Group Inc.$2,899,858
32LaSalle St. Securities LLC$2,800,000
33Crown Capital Securities L.P.$2,755,164
34J.W. Cole Financial Inc.$2,745,650
35American Portfolios Financial Services Inc.$2,397,842
36The O.N. Equity Sales Co.$2,387,226
37Kovack Securities, Inc.$1,875,500
38The Strategic Financial Alliance Inc.$1,792,637
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
48Veritas Independent Partners$33,933
49St. Bernard Financial Services Inc.$18,000
50Infinity Financial Services $16,600
51IMS Securities Inc./IMS Financial Advisors Inc.$10,392
52Cetera Financial Specialists0
53First Allied Securities, Inc.0
54HD Vest Investment Services0
55Cetera Advisor Networks0
56Cetera Advisors0
57Transamerica Financial Advisors, Inc.0
58INVEST Financial Corp.0
59Investment Centers of America Inc.0
60National Planning Corporation (NPC) 0
61SII Investments Inc.0
62Kestra Financial0
63Sigma Financial Corp.0
64Wells Fargo Advisors Financial Network0
65Ameriprise Financial Services Inc.0
66Securian Financial Services Inc.0
67Girard Securities 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
74Trustmont Financial Group Inc.0
75Kalos Capital Inc.0
76Fortune Financial Services, Inc.0
77World Capital Brokerage, Inc
78Leonard & Co.
79Advisor Group
80MetLife Inc.
81New England Securities Inc.
82Tower Square Securities Inc.
83Walnut Street Securities Inc.
84Protected Investors of America Inc.
85National Planning Holdings Inc.
86Foothill Securities Inc.
87LPL Investment Holdings Inc.
88National Holdings Corp.
89Quest Capital Strategies Inc.
90The Legend Group Corp.
91Capital Analysts Inc.
92Broker Dealer Financial Services Corp.
93National Securities Corp. & Affiliates
94vFinance Investments Inc.
95Wall Street Access
96Cantella & Co. Inc.
97TFS Securities Inc.
98J.P. Turner & Company LLC
99Schwab Independent Branch Services (Franchise)
100ING Advisor Network Inc.
101GBS Financial Corp.
102Equity Services Inc.
103Sterne Agee Financial Services
104Financial Telesis Inc.
105First Republic Securities Co.
106Financial Services International Corp.
107Quincy Cass Associates Inc.
108Packerland Brokerage Services Inc.
109Edward Jones
110Cutter & Co. Inc.
111D.A. Davidson & Co.
112Williams Financial Group
113Finance 500 Inc.
114Foresters Equity Services Inc.
115Correll Co. Investment Services Corp.
116Ausdal Financial Partners
117Coordinated Capital Securities Inc.
118SCF Securities Inc.
119Harbor Financial Services LLC
120TriCor Financial LLC
121Berthel Fisher & Co. Financial Services Inc.
122BCG Securities, Inc.
123Calton & Associates Inc.
124H. Beck Inc.
125Bernardi Securities Inc.
126Allstate Financial Services LLC
127Bolton Global Capital
128Hilltop Securities Independent Network Inc.
129LifeMark Securities Corp.
130Park Avenue Securities LLC
131Century Securities Associates Inc.
132Securities Management and Research
133Northwestern Mutual Investment Services
134Wunderlich Securities Inc.
135Synergy Investment Group
136WRP Investments Inc.

136 results found

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

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