Broker-dealer Data Center

Rankings

Recruitment & StaffingFinancialsAssets BreakdownCustom Ranking
Year
State
Clearing firm
Revenue
Total Assets
Total Reps
Advanced Options

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.

You are currently viewing a limited portion of the InvestmentNews B-D rankings.

Subscribe or log in to the B-D Data Center for access to the complete ranking.

Firm Excess net capital ▼
26Hornor Townsend & Kent Inc.$5,050,000
27Principal Securities, Inc. (fka Princor Financial Services Corp.)$4,894,078
28United Planners Financial Services$4,738,245
29Questar Capital Corp.$4,500,000
30Prospera Financial Services Inc.$3,643,059
31NEXT Financial Group Inc.$2,899,858
32LaSalle St. Securities LLC$2,800,000
33Crown Capital Securities L.P.$2,755,164
34J.W. Cole Financial Inc.$2,745,650
35American Portfolios Financial Services Inc.$2,397,842
36The O.N. Equity Sales Co.$2,387,226
37Kovack Securities, Inc.$1,875,500
38The Strategic Financial Alliance Inc.$1,792,637
39The Investment Center Inc.$839,270
40PlanMember Securities Corp.$666,000
41Founders Financial Securities, LLC$634,861
42Harbour Investments Inc.$455,000
43M Holdings Securities Inc. (M Securities)$436,937
44CFD Investments Inc.$433,725
45Geneos Wealth Management Inc.$400,000
46Nationwide Planning Associates, Inc.$313,518
47Arete Wealth Management$274,000
48Veritas Independent Partners$33,933
49St. Bernard Financial Services Inc.$18,000
50Infinity Financial Services $16,600
« Previous PageNext Page »

136 results found

Page 1 | 2 | 3 | 4 | 5 | 6 | View all

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

Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.

For comments or suggestions about the BD Data Center, please contact us.

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.

Featured video

Events

Why Brinker is ramping up its services for RIAs

Brinker Capital introduced a new platform aimed at providing services to independent advisers. Brinker's Brendan McConnell explains how the firm will differentiate from a crowded field.

Video Spotlight

Help Clients Be Prepared, Not Surprised

Sponsored by Prudential

Recommended Video

Path to growth

Latest news & opinion

RIAs struggle to keep clients grounded amid stock market euphoria

With equities at record levels, financial advisers are confronted with realities of greed and fear.

Regulators showing renewed interest in cracking down on investment fees

SEC, Finra targeting high-fee share classes, 12b-1 fees and failure to give sales load discounts and waivers to investors.

Tax update: Brady says sales tax deduction in final bill

Taxpayers will be able to deduct state income taxes or state sales taxes in addition to property levies — up to a $10,000 cap.

Complexity of new indexed annuities causing concern

Insurers are using 'hybrid' indices as a way to differentiate themselves, but critics contend the products are less transparent, more confusing and don't add financial benefit.

Critics say regulation hasn't curbed overly rosy projections for indexed universal life insurance

They say rule didn't go far enough and more stringent measures may be necessary.