Broker-dealer Data Center


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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 ▲
138Independent Financial Group LLC0
137Kalos Capital Inc.0
136Trustmont Financial Group Inc.0
135Equity Services Inc.0
134First Allied Securities, Inc.0
133Wells Fargo Advisors Financial Network0
132HD Vest Investment Services0
131Cetera Advisor Networks0
130Cetera Financial Institutions0
129Cetera Advisors0
128VSR Financial Services Inc.0
127Investors Capital Corp.0
126Ameriprise Financial Services Inc.0
125Spire Investment Partners LLC0
124Parkland Securities, LLC0
123Quest Capital Strategies Inc. 0
122Cetera Financial Specialists0
121Summit Brokerage Services, Inc.0
120Sigma Financial Corp.0
119Securian Financial Services Inc.0
118Girard Securities Inc.0
117H. Beck Inc.0
116Fortune Financial Services, Inc.0
115Infinity Financial Services $9,344
114Nationwide Planning Associates, Inc.$270,889
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138 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.