Broker-dealer Data Center


Recruitment & StaffingFinancialsAssets BreakdownCustom Ranking
Clearing firm
Total Assets
Total Reps
Advanced Options

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.

You are currently viewing a limited portion of the InvestmentNews B-D rankings.

Subscribe or log in to the B-D Data Center for access to the complete ranking.

Firm Excess net capital ▲
85United Planners Financial Services$4,738,245
84Principal Securities, Inc. (fka Princor Financial Services Corp.)$4,894,078
83Hornor Townsend & Kent Inc.$5,050,000
82Securities America Inc.$5,200,000
81KMS Financial Services, Inc.$5,266,860
80Signator Investors Inc.$5,561,914
79Cadaret, Grant & Co. Inc.$6,295,361
78ProEquities Inc.$6,673,998
77Securities Service Network Inc.$6,918,000
76Investacorp Inc.$7,043,000
75Ameritas Investment Corp.$7,667,631
74CUNA Brokerage Services Inc.$8,934,559
73Centaurus Financial Inc.$9,313,674
72Lincoln Investment Planning, LLC$9,392,611
71Triad Advisors LLC$11,025,673
70Cambridge Investment Research Inc.$11,899,039
69AXA Advisors LLC$13,175,068
68Commonwealth Financial Network$14,134,534
67MML Investors Services, LLC$17,582,765
66Woodbury Financial Services$20,600,000
65FSC Securities Corp.$22,400,000
64Voya Financial Advisors Inc.$24,420,211
63Raymond James Financial Services Inc.$26,273,000
62Lincoln Financial Network$32,600,000
61Northwestern Mutual Investment Services$33,900,000
« Previous PageNext Page »

135 results found

Page 1 | 2 | 3 | 4 | 5 | 6 | View all

  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.

For comments or suggestions about the BD Data Center, please contact us.

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.

Featured video


The #MeToo movement and the financial advice industry

Attendees at the Women to Watch luncheon commend the #MeToo movement for raising awareness about the issue of sexual harassment and bringing women together.

Latest news & opinion

Finra looks to streamline broker-dealer exams

CEO Robert Cook says three examination teams may be consolidated.

The 401(k) robo-revolution is here

Could human advisers be displaced as digital-advice firms use technology to deliver services to plan sponsors and participants?

SEC forging ahead on fiduciary rule despite DOL rule decision in 5th Circuit

Chairman Jay Clayton says 'the sooner the better' when asked when an SEC fiduciary rule will be ready.

What the next market downturn means for small RIAs

Firms that have enjoyed AUM growth because of the runup in stocks may find it hard to adjust to declining revenues if the market suffers a major correction.

DOL fiduciary rule likely to live on despite appeals court loss

Future developments will hinge on whether the Labor Department continues the fight to remake the regulation its own way.


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.