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 ▼
26American Portfolios Financial Services Inc.$4,000,000
27J.W. Cole Financial Inc.$3,567,800
28Crown Capital Securities L.P.$3,412,042
29PlanMember Securities Corp.$2,558,000
30LaSalle St. Securities LLC$2,500,000
31Kovack Securities, Inc.$2,430,820
32Questar Capital Corp.$2,098,000
33The O.N. Equity Sales Co.$1,902,905
34SCF Securities Inc.$1,310,179
35Geneos Wealth Management Inc.$1,014,782
36The Investment Center Inc.$923,729
37CFD Investments Inc.$818,179
38The Strategic Financial Alliance Inc.$788,519
39Founders Financial Securities, LLC$701,159
40Nationwide Planning Associates, Inc.$657,979
41Harbour Investments Inc.$455,000
42M Holdings Securities Inc. (M Securities)$417,838
43Arete Wealth Management$389,000
44David A. Noyes & Company$354,000
45Leaders Group$134,007
46Infinity Financial Services $67,248
47Veritas Independent Partners$24,444
48Kalos Capital Inc.0
49H. Beck Inc.0
50First Allied Securities, Inc.0
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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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