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 ▼
1LPL Financial LLC$97,371,519
2Lincoln Financial Network$43,225,000
3Northwestern Mutual$34,806,706
4Voya Financial Advisors Inc.$28,159,353
5Kestra Financial$25,689,106
6Raymond James Financial Services Inc.$25,578,000
7SII Investments Inc.$23,230,000
8Waddell & Reed Financial Advisors$21,469,000
9INVEST Financial Corp.$20,425,000
10National Planning Corporation (NPC) $19,340,000
11CUNA Brokerage Services Inc.$17,361,292
12MML Investors Services, LLC$15,570,572
13Commonwealth Financial Network$15,531,689
14Signator Investors Inc.$13,792,473
15AXA Advisors$13,557,220
16SagePoint Financial Inc.$11,433,864
17Royal Alliance Associates Inc.$11,323,308
18Woodbury Financial Services$11,087,591
19Investment Centers of America Inc.$10,982,000
20FSC Securities Corp.$10,454,951
21Lincoln Investment Planning, LLC$10,098,000
22National Securities Corp. & Affiliates$9,385,000
23Cadaret, Grant & Co. Inc.$8,450,244
24Princor Financial Services Corp.$8,229,713
25Cambridge Investment Research Inc.$8,145,981
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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.