Broker-dealer Data Center


Recruitment & StaffingFinancialsAssets BreakdownCustom Ranking
Clearing firm
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
39SCF Securities Inc.$889,016
40The Investment Center Inc.$839,270
41PlanMember Securities Corp.$666,000
42Founders Financial Securities, LLC$634,861
44Harbour Investments Inc.$455,000
45M Holdings Securities Inc. (M Securities)$436,937
46CFD Investments Inc.$433,725
47Geneos Wealth Management Inc.$400,000
48Nationwide Planning Associates, Inc.$313,518
49Arete Wealth Management$274,000
50Leaders Group$253,560
« Previous PageNext Page »

135 results found

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

  • 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


The #MeToo movement and the financial advice industry

Attendees at the Women to Watch luncheon commend the #MeToo movement for raising awareness about the issue of sexual harassment and bringing women together.

Latest news & opinion

What to watch for next with the DOL fiduciary rule

Much hinges on whether the Labor Department appeals the 5th Circuit decision by April 30.

Social Security benefits losing buying power

Low inflation combined with rising Medicare costs threaten the adequacy of seniors' income.

Finra looks to streamline broker-dealer exams

CEO Robert Cook says three examination teams may be consolidated.

The 401(k) robo-revolution is here

Could human advisers be displaced as digital-advice firms use technology to deliver services to plan sponsors and participants?

SEC forging ahead on fiduciary rule despite DOL rule decision in 5th Circuit

Chairman Jay Clayton says 'the sooner the better' when asked when an SEC fiduciary rule will be ready.


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.