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 Reps ▲$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
43Spire Investment Partners LLC701917$468,8764031
42World Capital Brokerage, Inc73
41Founders Financial Securities, LLC75559$332,7761920
40Nationwide Planning Associates, Inc.114348$226,028186
39Prospera Financial Services Inc.1357234$386,8555313
38The Strategic Financial Alliance Inc.1785522$358,9713954
37Harbour Investments Inc.25512814$205,0002238
36The Investment Center Inc.2749120$177,2874055
35Geneos Wealth Management Inc.28515273$360,60255113
34KMS Financial Services, Inc.322
33Crown Capital Securities L.P.37111613$124,3412879
32Securities Service Network Inc.42318752$279,00062113
31PlanMember Securities Corp.45419145015443
30United Planners Financial Services53723154$257,00060104
29NEXT Financial Group Inc.539
28Summit Brokerage Services, Inc.54100$237,8171170
27H. Beck Inc.58920047$134,6837795
26Independent Financial Group LLC62522067$210,9007781
25Centaurus Financial Inc.633348147$234,12185236
24Questar Capital Corp.64027632$160,6009136
23First Allied Securities, Inc.75500$258,2371540
22M Holdings Securities Inc. (M Securities)83018282$284,5305764
21Cadaret, Grant & Co. Inc.83030367$214,380108141
20The O.N. Equity Sales Co.83713710$82,2144878
19American Portfolios Financial Services Inc.83732262$191,434100102
18ProEquities Inc.1,08219633$112,1051080
17Securian Financial Services Inc.1,134449157$237,192191204
16Cetera Advisors1,45000$205,6752010
15Waddell & Reed Financial Advisors1,467779181$175,302503261
14Lincoln Investment Planning, LLC1,487414132$210,665428223
13FSC Securities Corp.1,710374144$228,8841980
12Principal Securities, Inc. (fka Princor Financial Services Corp.)1,76738238$95,5172950
11Voya Financial Advisors Inc.1,800680126$182,991261283
10Woodbury Financial Services1,936538106$195,5381190
9Signator Investors Inc.2,007743142$158,269237554
8Commonwealth Financial Network2,195939708$512,017854795
7SagePoint Financial Inc.2,344578140$190,7322990
6Securities America Inc.2,506912290$225,295661674
5Royal Alliance Associates Inc.2,876635212$239,646900
4Cetera Advisor Networks3,07100$180,4683630
3Transamerica Financial Advisors, Inc.3,36400000
2Cambridge Investment Research Inc.3,9561,369343$262,588754778
1Lincoln Financial Network8,9350007560

43 results found

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  • Rankings only include firms that participated in the InvestmentNews Independent Broker-dealer Survey on Recruitment & Staffing
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed
  • Clearing firms listed are as of 2011. For a $historical list of clearing firms, contact the IN Data Team

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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.

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