Broker-dealer Data Center
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.
|76||LPL Investment Holdings Inc.||—|
|77||M Holdings Securities Inc. (M Securities)||$34,042,891,000|
|79||MML Investors Services, LLC||$73,100,000,000|
|80||MSI Financial Services, Inc.||—|
|81||National Holdings Corp.||—|
|82||National Planning Corporation (NPC)||$44,664,613,000|
|83||National Planning Holdings Inc.||—|
|84||National Securities Corp. & Affiliates||—|
|85||Nationwide Planning Associates, Inc.||$1,754,112,282|
|86||New England Securities Inc.||—|
|87||NEXT Financial Group Inc.||$14,358,317,515|
|89||The O.N. Equity Sales Co.||$8,933,679,451|
|90||Packerland Brokerage Services Inc.||—|
|91||Park Avenue Securities LLC||—|
|92||Parkland Securities, LLC||$6,411,117,590|
|93||PlanMember Securities Corp.||$9,300,000,000|
|94||Principal Securities, Inc. (fka Princor Financial Services Corp.)||$34,544,887,802|
|96||Prospera Financial Services Inc.||$6,482,744,348|
|97||Protected Investors of America Inc.||—|
|98||Quest Capital Strategies Inc.||—|
|99||Questar Capital Corp.||$11,663,426,200|
|100||Quincy Cass Associates Inc.||—|
- 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.
Assistant managing editor Lorie Konish speaks with contributing editor Mary Beth Franklin about the unique planning considerations for women as they prepare for income needs later in life.
Sponsored by Prudential
Latest news & opinion
A good financial adviser — or, better yet, a team of them — would provide a sense of perspective and calm that would hopefully prevent this winner from following in the footsteps of so many past winners who wound up broke in just a few years.
The profession will need to adjust to enormous shifts in the socioeconomic environment in the coming decade.
Over an eight-year period, the B-Ds failed to properly supervise sales charge waivers to clients in retirement plans and charitable organizations.
Meanwhile, few brokerages and their trade associations, which blasted the DOL's fiduciary rule in comment letters, are responding to the CFP Board's proposal.
An estimated $6.7 billion has flowed into emerging-market stock funds and ETFs so far this year, according to Morningstar.