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 ▲
80Triad Advisors LLC$6,734,779
79Transamerica Financial Advisors, Inc.$7,438,136
78Securities America Inc.$8,400,000
77Investacorp Inc.$8,527,000
76Cambridge Investment Research Inc.$9,514,000
75Commonwealth Financial Network$12,184,563
74Cadaret, Grant & Co. Inc.$12,381,662
73AXA Advisors LLC$12,508,645
72Lincoln Investment Planning, LLC$12,790,000
71Centaurus Financial Inc.$13,552,708
70Signator Investors Inc.$13,634,399
69Principal Securities, Inc. (fka Princor Financial Services Corp.)$13,973,324
68CUNA Brokerage Services Inc.$14,562,423
67Lincoln Financial Network$27,200,000
66Waddell & Reed Financial Advisors$27,774,000
65Voya Financial Advisors Inc.$28,772,335
64Raymond James Financial Services Inc.$34,238,000
63Northwestern Mutual Investment Services$72,000,000
62LPL Financial LLC$91,758,000
61MML Investors Services, LLC$137,534,791
60Tower Square Securities Inc.
59Walnut Street Securities Inc.
58Foothill Securities Inc.
57Hornor Townsend & Kent Inc.
56Quest Capital Strategies Inc.
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  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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