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 ▲
86Securities America Inc.$6,400,000
85Ameritas Investment Corp.$7,161,541
84Centaurus Financial Inc.$7,200,000
83Triad Advisors Inc.$7,813,306
82ProEquities Inc.$7,846,952
81Cambridge Investment Research Inc.$8,145,981
80Princor Financial Services Corp.$8,229,713
79Cadaret, Grant & Co. Inc.$8,450,244
78National Securities Corp. & Affiliates$9,385,000
77Lincoln Investment Planning, LLC$10,098,000
76FSC Securities Corp.$10,454,951
75Investment Centers of America Inc.$10,982,000
74Woodbury Financial Services$11,087,591
73Royal Alliance Associates Inc.$11,323,308
72SagePoint Financial Inc.$11,433,864
71AXA Advisors$13,557,220
70Signator Investors Inc.$13,792,473
69Commonwealth Financial Network$15,531,689
68MML Investors Services, LLC$15,570,572
67CUNA Brokerage Services Inc.$17,361,292
66National Planning Corporation (NPC) $19,340,000
65INVEST Financial Corp.$20,425,000
64Waddell & Reed Financial Advisors$21,469,000
63SII Investments Inc.$23,230,000
62Raymond James Financial Services Inc.$25,578,000
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    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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