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 Reps ▲$100K-$499K reps$500K+ repsAvg. annual payoutEmployeesCFPs
43Spire Investment Partners LLC65
42Founders Financial Securities, LLC73
41World Capital Brokerage, Inc73
40Nationwide Planning Associates, Inc.114
39Prospera Financial Services Inc.134
38The Strategic Financial Alliance Inc.176
37Harbour Investments Inc.255
36The Investment Center Inc.2749120$177,2874055
35KMS Financial Services, Inc.322
34Securities Service Network Inc.337
33Crown Capital Securities L.P.360
32PlanMember Securities Corp.470
31Summit Brokerage Services, Inc.484
30United Planners Financial Services531
29NEXT Financial Group Inc.539
28H. Beck Inc.589
27Centaurus Financial Inc.610
26Independent Financial Group LLC625
25First Allied Securities, Inc.637
24Questar Capital Corp.642
23The O.N. Equity Sales Co.669
22ProEquities Inc.720
21American Portfolios Financial Services Inc.803
20Cadaret, Grant & Co. Inc.834
19M Holdings Securities Inc. (M Securities)834
18FSC Securities Corp.900
17Woodbury Financial Services921
16Securian Financial Services Inc.1,210
15SagePoint Financial Inc.1,247
14Cetera Advisors1,315
13Royal Alliance Associates Inc.1,393
12Waddell & Reed Financial Advisors1,481
11Lincoln Investment Planning, LLC1,512
10Commonwealth Financial Network1,778
9Voya Financial Advisors Inc.1,883
8Signator Investors Inc.2,071
7Principal Securities, Inc. (fka Princor Financial Services Corp.)2,122
6Securities America Inc.2,478
5Cetera Advisor Networks2,638
4Transamerica Financial Advisors, Inc.3,273
3Cambridge Investment Research Inc.3,834
2Lincoln Financial Network8,935
1Geneos Wealth Management Inc.

43 results found

Page 1 | 2 | View all

  • 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

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


What's the first thing advisers should do when they get home from a conference?

After attending a financial services conference, advisers can be overwhelmed by options, choices and tools. What's the first thing they should do when they get back to their office?

Latest news & opinion

Speculation mounts on whether others will follow UBS' latest move to prevent brokers from leaving

UBS brokers must sign a 12-month non-solicit agreement if they want their 2017 bonuses.

Maryland jumps into fiduciary fray with legislation requiring brokers to act in best interests of clients

Legislation requires brokers to act in the best interests of clients.

8 apps advisers love for getting stuff done

Smartphone apps that advisers are using in 2018 to run their business more efficiently.

Galvin's DOL fiduciary rule enforcement triggers industry plea for court decision

Plaintiffs warned the Fifth Circuit that Massachusetts' move against Scottrade signaled that the partially implemented regulation can raise costs for financial firms.

Social Security underpaid 82% of dually entitled widows and widowers

Agency failed to tell survivors that they could switch to a higher retirement benefit later.


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.