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 ▲
90Prospera Financial Services Inc.$3,109,027
89PlanMember Securities Corp.$3,750,000
88United Planners Financial Services$4,851,978
87Questar Capital Corp.$4,957,612
86Investacorp Inc.$5,223,766
85KMS Financial Services, Inc.$5,524,487
84Securities Service Network Inc.$5,792,000
83Hornor Townsend & Kent Inc.$5,930,000
82Securities America Inc.$6,400,000
81Ameritas Investment Corp.$7,161,541
80Centaurus Financial Inc.$7,200,000
79Triad Advisors Inc.$7,813,306
78ProEquities Inc.$7,846,952
77Cambridge Investment Research Inc.$8,145,981
76Principal Securities, Inc. (fka Princor Financial Services Corp.)$8,229,713
75Cadaret, Grant & Co. Inc.$8,450,244
74National Securities Corp. & Affiliates$9,385,000
73Lincoln Investment Planning, LLC$10,098,000
72FSC Securities Corp.$10,454,951
71Investment Centers of America Inc.$10,982,000
70Woodbury Financial Services$11,087,591
69Royal Alliance Associates Inc.$11,323,308
68SagePoint Financial Inc.$11,433,864
67AXA Advisors LLC$13,557,220
66Signator Investors Inc.$13,792,473
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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.