Broker-dealer Data Center


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All 2014-2011 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$95,177,588
2Northwestern Mutual$66,410,404
3Voya Financial Advisors Inc.$30,470,488
4Lincoln Financial Network$27,294,000
5Cambridge Investment Research Inc.$27,028,690
6Raymond James Financial Services Inc.$23,498,000
7SII Investments Inc.$19,601,000
8Royal Alliance Associates Inc.$19,545,844
9MML Investors Services LLC$18,017,550
10INVEST Financial Corp.$17,382,000
11Cetera Financial Institutions$16,940,000
12SagePoint Financial Inc.$15,782,063
13CUNA Brokerage Services Inc.$15,717,994
14Commonwealth Financial Network$15,218,839
15Woodbury Financial Services$15,207,785
16Lincoln Investment Planning Inc.$15,004,000
17Cetera Advisor Networks$13,535,000
18ProEquities Inc.$13,008,569
19AXA Advisors$12,413,419
20National Planning Corp.$12,030,000
21FSC Securities Corp.$11,763,000
22Securian Financial Services Inc.$10,865,678
23Investment Centers of America Inc.$10,782,000
24Waddell & Reed Financial Advisors$10,715,000
25H. Beck Inc.$10,119,409
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139 results found

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

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Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.