Broker-dealer Data Center


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All 2011-2014 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 ▼
51Broker Dealer Financial Services Corp.$553,283
52TFS Securities Inc.$539,586
53CFD Investments Inc.$438,814
54Geneos Wealth Management Inc.$400,000
55Harbour Investments Inc.$370,937
56Nationwide Planning Associates, Inc.$270,889
57Infinity Financial Services $9,344
58Cetera Financial Specialists0
59VSR Financial Services Inc.0
60Securian Financial Services Inc.0
61Cetera Financial Institutions0
62Kalos Capital Inc.0
63Fortune Financial Services, Inc.0
64Cetera Advisor Networks0
65Equity Services Inc.0
66Wells Fargo Advisors Financial Network0
67Trustmont Financial Group Inc.0
68Investors Capital Corp.0
69Sigma Financial Corp.0
70Girard Securities Inc.0
71Summit Brokerage Services, Inc.0
72Spire Investment Partners LLC0
73First Allied Securities, Inc.0
74H. Beck Inc.0
75Parkland Securities, LLC0
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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.