Broker-dealer Data Center


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All 2011-2015 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
56Arete Wealth Management$275,000
57Nationwide Planning Associates, Inc.$270,889
58IMS Securities Inc./IMS Financial Advisors Inc.$34,881
59Veritas Independent Partners$19,716
60St. Bernard Financial Services Inc.$15,000
61Infinity Financial Services $9,344
62First Allied Securities, Inc.0
63Wells Fargo Advisors Financial Network0
64Equity Services Inc.0
65Cetera Advisors0
66Quest Capital Strategies Inc. 0
67Transamerica Financial Advisors, Inc.0
68Parkland Securities, LLC0
69Spire Investment Partners LLC0
70Ameriprise Financial Services Inc.0
71Kalos Capital Inc.0
72Fortune Financial Services, Inc.0
73Investors Capital Corp.0
74Girard Securities Inc.0
75Summit Brokerage Services, 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.