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 ▼
51IMS Securities Inc./IMS Financial Advisors Inc.$10,392
52Cetera Financial Specialists0
53First Allied Securities, Inc.0
54HD Vest Investment Services0
55Cetera Advisor Networks0
56Cetera Advisors0
57Transamerica Financial Advisors, Inc.0
58INVEST Financial Corp.0
59Investment Centers of America Inc.0
60National Planning Corporation (NPC) 0
61SII Investments Inc.0
62Kestra Financial0
63Sigma Financial Corp.0
64Wells Fargo Advisors Financial Network0
65Ameriprise Financial Services Inc.0
66Securian Financial Services Inc.0
67Girard Securities Inc.0
68Summit Brokerage Services, Inc.0
69Independent Financial Group LLC0
70Parkland Securities, LLC0
71Spire Investment Partners LLC0
72Capital Investment Co.0
73Cetera Financial Institutions0
74Trustmont Financial Group Inc.0
75Kalos Capital Inc.0
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    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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