Broker-dealer Data Center


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All 2011-2016 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$104,787,589
2Waddell & Reed Financial Advisors$52,389,000
3Royal Alliance Associates Inc.$40,300,000
4Lincoln Financial Network$32,600,000
5Raymond James Financial Services Inc.$26,273,000
6Voya Financial Advisors Inc.$24,420,211
7FSC Securities Corp.$22,400,000
8Woodbury Financial Services$20,600,000
9MML Investors Services, LLC$17,582,765
10Commonwealth Financial Network$14,134,534
11AXA Advisors LLC$13,175,068
12Cambridge Investment Research Inc.$11,899,039
13Triad Advisors LLC$11,025,673
14Lincoln Investment Planning, LLC$9,392,611
15Centaurus Financial Inc.$9,313,674
16CUNA Brokerage Services Inc.$8,934,559
17Ameritas Investment Corp.$7,667,631
18Investacorp Inc.$7,043,000
19Securities Service Network Inc.$6,918,000
20ProEquities Inc.$6,673,998
21Cadaret, Grant & Co. Inc.$6,295,361
22Signator Investors Inc.$5,561,914
23KMS Financial Services, Inc.$5,266,860
24Securities America Inc.$5,200,000
25Hornor Townsend & Kent Inc.$5,050,000
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135 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.

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