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Year
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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$107,900,000
2Advisor Group$86,214,531
3Commonwealth Equity Services, LLC dba-Commonwealth Financial Network$60,479,165
4Waddell & Reed Financial Advisors$60,137,000
5Raymond James Financial Services Inc.$44,200,000
6Equitable Advisors, LLC$28,413,961
7Securities America Inc.$27,500,000
8Lincoln Investment Planning, LLC$23,060,000
9Cambridge Investment Research, Inc.$19,084,920
10Atria Wealth Solutions$18,836,128
11Triad Advisors, LLC$13,400,842
12Centaurus Financial, Inc.$10,543,101
13Principal Securities, Inc. $9,863,624
14PlanMember Securities Corp.$8,407,000
15J.W. Cole Financial Inc.$8,250,789
16Prospera Financial Services Inc.$7,157,587
17Concourse Financial Group Securities, Inc.$6,310,156
18United Planners Financial Services$5,228,560
19American Portfolios Financial Services Inc.$5,190,594
20The Investment Center Inc.$3,390,395
21Kovack Securities, Inc.$3,100,500
22The Leaders Group$2,186,689
23The O.N. Equity Sales Co.$2,172,986
24LaSalle St. Securities LLC$2,000,000
25Arkadios Capital$1,500,000
26Nationwide Planning Associates, Inc.$1,466,283
27Founders Financial$1,149,135
28Geneos Wealth Management Inc.$1,000,000
29M Holdings Securities Inc. (M Securities)$992,008
30CFD Investments Inc.$930,448
31Packerland Brokerage Services Inc.$922,442
32Cutter & Company, Inc.$856,000
33Harbour Investments Inc.$532,000
34Arete Wealth$234,585
35Trutoro$36,610
36Alden Investment Group$1
37Woodbury Financial Services0
38The Strategic Financial Alliance Inc.0
39Independent Financial Group, LLC0
40Kestra Financial, Inc0
41FSC Securities Corp.0
42SagePoint Financial Inc.0
43Grove Point Financial, LLC0
44Transamerica Financial Advisors, Inc.0
45Equity Services Inc. 0
46Sigma Financial Corp.0
47Thurston Springer Miller Herd & Titak0
48Vanderbilt Financial Group0
49Parkland Securities, LLC0
50Ameritas Investment Company/Ameritas Advisory Services0
51Hornor, Townsend & Kent, LLC0
52Securian Financial Services Inc.0
53Royal Alliance Associates Inc.0
54Park Avenue Securities LLC0
55Ameriprise Financial Services, LLC0
56MML Investors Services, LLC0
57Trustmont Financial Group Inc.0
58Fortune Financial Services, Inc.0
59Northwestern Mutual 0
60St. Bernard Financial Services Inc.0
61Finance 500 Inc.
62Foresters Equity Services Inc.
63CUNA Brokerage Services Inc.
64Ausdal Financial Partners
65SCF Securities Inc.
66Harbor Financial Services LLC
67TriCor Financial LLC
68Kalos Capital Inc.
69Calton & Associates Inc.
70Bernardi Securities Inc.
71Allstate Financial Services LLC
72Securities Management and Research
73World Capital Brokerage, Inc.
74Infinity Financial Services
75Schwab Independent Branch Services (Franchise)
76Edward Jones
77David A. Noyes & Company
78CoastalOne
79Nations Financial Group
80BCG Securities, Inc.
81Berthel Fisher & Co. Financial Services Inc.
82Broker Dealer Financial Services Corp.
83Cadaret, Grant & Co. Inc.
84Capital Analysts Inc.
85Century Securities Associates Inc.
86Coordinated Capital Securities Inc.
87Correll Co. Investment Services Corp.
88Crown Capital Securities L.P.
89First Allied Securities, Inc.
90GBS Financial Corp.
91Avantax Investment Services, Inc.
92ING Advisor Network Inc.
93Cetera Advisor Networks
94Voya Financial Advisors Inc.
95Cetera Advisors
96Investacorp Inc.
97INVEST Financial Corp.
98Investment Centers of America Inc.
99National Planning Corporation (NPC)
100SII Investments Inc.
101NEXT Financial Group, Inc.
102Protected Investors of America Inc.
103Securities Service Network LLC
104Signator Investors Inc.
105Cetera Financial Specialists
106Questar Capital Corp.
107Wells Fargo Advisors Financial Network
108WRP Investments Inc.
109Wunderlich Securities Inc.
110Lincoln Financial Network
111LifeMark Securities Corp.
112Bolton Global Capital
113Hilltop Securities Independent Network Inc.
114Summit Brokerage Services, Inc.
115Synergy Investment Group
116Leonard & Co.
117MetLife Inc.
118New England Securities Inc.
119Tower Square Securities Inc.
120Walnut Street Securities Inc.
121Foothill Securities Inc.
122Quest Capital Strategies Inc.
123Spire Investment Partners LLC
124Capital Investment Co.
125National Securities Corp.
126vFinance Investments Inc.
127Wall Street Access
128Cantella & Co. Inc.
129TFS Securities Inc.
130KMS Financial Services, Inc.
131Cetera Financial Institutions
132SA Stone
133Financial Telesis Inc.
134First Republic Securities Co.
135Financial Services International Corp.
136Quincy Cass Associates Inc.
137D.A. Davidson & Co.
138Williams Financial Group

138 results found

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    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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