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 Total revenueFee revenueExcess net capital ▲Operating expenses
138Ameriprise Financial Services, LLC$5,037,581,832$3,122,182,86800
137Royal Alliance Associates Inc.$936,353,114$378,881,4390$132,298,637
136Hornor, Townsend & Kent, LLC$119,874,666$43,356,00000
135Ameritas Investment Company/Ameritas Advisory Services$150,200,000$63,100,00000
134Parkland Securities, LLC$62,993,829$20,596,16500
133Vanderbilt Financial Group0000
132Fortune Financial Services, Inc.$21,188,836000
131Sigma Financial Corp.$130,820,243$56,300,92100
130Equity Services Inc. $56,000,000$18,800,00000
129Transamerica Financial Advisors, Inc.0000
128The Strategic Financial Alliance Inc.$45,306,465$22,701,21700
127MML Investors Services, LLC$1,239,300,000$539,400,00000
126Park Avenue Securities LLC$249,647,000$101,680,00000
125Thurston Springer Miller Herd & Titak0000
124Grove Point Financial, LLC$109,100,000$39,200,00000
123SagePoint Financial Inc.$387,366,961$153,625,9750$62,333,591
122FSC Securities Corp.$237,146,541$104,875,6830$37,278,927
121Kestra Financial, Inc$607,872,562$364,302,18600
120Woodbury Financial Services$509,720,933$159,813,0030$80,176,654
119Independent Financial Group, LLC$197,100,000$91,551,50000
118St. Bernard Financial Services Inc.0000
117Northwestern Mutual $1,517,364,000$1,022,145,00000
116Securian Financial Services Inc.$374,830,000$154,729,90800
115Trustmont Financial Group Inc.0000
114Alden Investment Group$5,348,524$691$1$1
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138 results found

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    Notes
  • Rankings only include firms that participated in the InvestmentNews Independent Broker-dealer Survey on Financials
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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