Broker-dealer Data Center

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Year
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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
1Advisor Group$86,214,531
2Alden Investment Group$1
3Allstate Financial Services LLC
4American Portfolios Financial Services Inc.$5,190,594
5Ameriprise Financial Services, LLC0
6Ameritas Investment Company/Ameritas Advisory Services0
7Arete Wealth$234,585
8Arkadios Capital$1,500,000
9Atria Wealth Solutions$18,836,128
10Ausdal Financial Partners
11Avantax Investment Services, Inc.
12BCG Securities, Inc.
13Bernardi Securities Inc.
14Berthel Fisher & Co. Financial Services Inc.
15Bolton Global Capital
16Broker Dealer Financial Services Corp.
17Cadaret, Grant & Co. Inc.
18Calton & Associates Inc.
19Cambridge Investment Research, Inc.$19,084,920
20Cantella & Co. Inc.
21Capital Analysts Inc.
22Capital Investment Co.
23Centaurus Financial, Inc.$10,543,101
24Century Securities Associates Inc.
25Cetera Advisor Networks
26Cetera Advisors
27Cetera Financial Institutions
28Cetera Financial Specialists
29CFD Investments Inc.$930,448
30CoastalOne
31Commonwealth Equity Services, LLC dba-Commonwealth Financial Network$60,479,165
32Concourse Financial Group Securities, Inc.$6,310,156
33Coordinated Capital Securities Inc.
34Correll Co. Investment Services Corp.
35Crown Capital Securities L.P.
36CUNA Brokerage Services Inc.
37Cutter & Company, Inc.$856,000
38D.A. Davidson & Co.
39David A. Noyes & Company
40Edward Jones
41Equitable Advisors, LLC$28,413,961
42Equity Services Inc. 0
43Finance 500 Inc.
44Financial Services International Corp.
45Financial Telesis Inc.
46First Allied Securities, Inc.
47First Republic Securities Co.
48Foothill Securities Inc.
49Foresters Equity Services Inc.
50Fortune Financial Services, Inc.0
51Founders Financial$1,149,135
52FSC Securities Corp.0
53GBS Financial Corp.
54Geneos Wealth Management Inc.$1,000,000
55Grove Point Financial, LLC0
56Harbor Financial Services LLC
57Harbour Investments Inc.$532,000
58Hilltop Securities Independent Network Inc.
59Hornor, Townsend & Kent, LLC0
60Independent Financial Group, LLC0
61Infinity Financial Services
62ING Advisor Network Inc.
63INVEST Financial Corp.
64Investacorp Inc.
65The Investment Center Inc.$3,390,395
66Investment Centers of America Inc.
67J.W. Cole Financial Inc.$8,250,789
68Kalos Capital Inc.
69Kestra Financial, Inc0
70KMS Financial Services, Inc.
71Kovack Securities, Inc.$3,100,500
72LaSalle St. Securities LLC$2,000,000
73Leonard & Co.
74LifeMark Securities Corp.
75Lincoln Financial Network
76Lincoln Investment Planning, LLC$23,060,000
77LPL Financial LLC$107,900,000
78M Holdings Securities Inc. (M Securities)$992,008
79MetLife Inc.
80MML Investors Services, LLC0
81National Planning Corporation (NPC)
82National Securities Corp.
83Nations Financial Group
84Nationwide Planning Associates, Inc.$1,466,283
85New England Securities Inc.
86NEXT Financial Group, Inc.
87Northwestern Mutual 0
88The O.N. Equity Sales Co.$2,172,986
89Packerland Brokerage Services Inc.$922,442
90Park Avenue Securities LLC0
91Parkland Securities, LLC0
92PlanMember Securities Corp.$8,407,000
93Principal Securities, Inc. $9,863,624
94Prospera Financial Services Inc.$7,157,587
95Protected Investors of America Inc.
96Quest Capital Strategies Inc.
97Questar Capital Corp.
98Quincy Cass Associates Inc.
99Raymond James Financial Services Inc.$44,200,000
100Royal Alliance Associates Inc.0
101SA Stone
102SagePoint Financial Inc.0
103SCF Securities Inc.
104Schwab Independent Branch Services (Franchise)
105Securian Financial Services Inc.0
106Securities America Inc.$27,500,000
107Securities Management and Research
108Securities Service Network LLC
109Sigma Financial Corp.0
110Signator Investors Inc.
111SII Investments Inc.
112Spire Investment Partners LLC
113St. Bernard Financial Services Inc.0
114The Strategic Financial Alliance Inc.0
115Summit Brokerage Services, Inc.
116Synergy Investment Group
117TFS Securities Inc.
118The Leaders Group$2,186,689
119Thurston Springer Miller Herd & Titak0
120Tower Square Securities Inc.
121Transamerica Financial Advisors, Inc.0
122Triad Advisors, LLC$13,400,842
123TriCor Financial LLC
124Trustmont Financial Group Inc.0
125Trutoro$36,610
126United Planners Financial Services$5,228,560
127Vanderbilt Financial Group0
128vFinance Investments Inc.
129Voya Financial Advisors Inc.
130Waddell & Reed Financial Advisors$60,137,000
131Wall Street Access
132Walnut Street Securities Inc.
133Wells Fargo Advisors Financial Network
134Williams Financial Group
135Woodbury Financial Services0
136World Capital Brokerage, Inc.
137WRP Investments Inc.
138Wunderlich Securities Inc.

138 results found

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

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