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
76Lincoln Investment Planning, LLC$23,060,000
77LPL Financial LLC$107,900,000
78M Holdings Securities Inc. (M Securities)$992,008
79MetLife Inc.
80MML Investors Services, LLC0
81National Planning Corporation (NPC)
82National Securities Corp.
83Nations Financial Group
84Nationwide Planning Associates, Inc.$1,466,283
85New England Securities Inc.
86NEXT Financial Group, Inc.
87Northwestern Mutual 0
88The O.N. Equity Sales Co.$2,172,986
89Packerland Brokerage Services Inc.$922,442
90Park Avenue Securities LLC0
91Parkland Securities, LLC0
92PlanMember Securities Corp.$8,407,000
93Principal Securities, Inc. $9,863,624
94Prospera Financial Services Inc.$7,157,587
95Protected Investors of America Inc.
96Quest Capital Strategies Inc.
97Questar Capital Corp.
98Quincy Cass Associates Inc.
99Raymond James Financial Services Inc.$44,200,000
100Royal Alliance Associates Inc.0
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    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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