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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 ▲
1Trustmont Financial Group Inc.0
2Geneos Wealth Management Inc.$400,000
3CFD Investments Inc.$483,309
4Packerland Brokerage Services Inc.$527,850
5Harbour Investments Inc.$530,873
6Broker Dealer Financial Services Corp.$610,334
7The O.N. Equity Sales Co.$766,000
8SWS Financial Services$890,802
9Founders Financial Securities, LLC$904,096
10Kovack Securities Inc.$1,021,177
11The Investment Center Inc.$1,212,656
12Securities Management and Research$1,225,890
13The Strategic Financial Alliance Inc.$1,730,593
14The Legend Group Corp.$1,809,000
15Berthel Fisher & Co. Financial Services Inc.$1,921,858
16Prospera Financial Services Inc.$2,010,698
17PlanMember Securities Corp.$2,088,000
18J.W. Cole Financial Inc.$2,265,500
19NEXT Financial Group Inc.$2,409,225
20Crown Capital Securities L.P.$2,773,187
21American Portfolios Financial Services Inc.$2,978,445
22M Holdings Securities Inc. (M Securities)$3,229,749
23Questar Capital Corp.$3,293,472
24LaSalle St. Securities LLC$3,300,000
25Investors Capital Corp.$3,500,000
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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.