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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 ▲
140Trustmont Financial Group Inc.0
139Geneos Wealth Management Inc.$400,000
138CFD Investments Inc.$483,309
137Packerland Brokerage Services Inc.$527,850
136Harbour Investments Inc.$530,873
135Broker Dealer Financial Services Corp.$610,334
134The O.N. Equity Sales Co.$766,000
133SWS Financial Services$890,802
132Founders Financial Securities, LLC$904,096
131Kovack Securities Inc.$1,021,177
130The Investment Center Inc.$1,212,656
129Securities Management and Research$1,225,890
128The Strategic Financial Alliance Inc.$1,730,593
127The Legend Group Corp.$1,809,000
126Berthel Fisher & Co. Financial Services Inc.$1,921,858
125Prospera Financial Services Inc.$2,010,698
124PlanMember Securities Corp.$2,088,000
123J.W. Cole Financial Inc.$2,265,500
122NEXT Financial Group Inc.$2,409,225
121Crown Capital Securities L.P.$2,773,187
120American Portfolios Financial Services Inc.$2,978,445
119M Holdings Securities Inc. (M Securities)$3,229,749
118Questar Capital Corp.$3,293,472
117LaSalle St. Securities LLC$3,300,000
116Investors Capital Corp.$3,500,000
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140 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.