Broker-dealer Data Center
Rankings
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.
| Firm | Total revenue | Fee revenue ▼ | Excess net capital | Operating expenses | |
|---|---|---|---|---|---|
| 26 | Principal Securities, Inc. | $316,187,460 | $80,468,487 | $11,382,094 | 0 |
| 27 | First Allied Securities, Inc. | $239,977,492 | $79,357,654 | 0 | 0 |
| 28 | Cetera Financial Specialists | $157,742,605 | $78,914,305 | 0 | 0 |
| 29 | United Planners Financial Services | $131,918,119 | $76,594,825 | $5,108,857 | $124,993,813 |
| 30 | Independent Financial Group, LLC | $174,207,800 | $73,559,400 | 0 | 0 |
| 31 | PlanMember Securities Corp. | $97,311,000 | $71,573,000 | $5,100,000 | 0 |
| 32 | KMS Financial Services, Inc. | $122,780,641 | $60,795,192 | $7,128,658 | $117,203,696 |
| 33 | Summit Brokerage Services, Inc. | $152,766,802 | $48,553,908 | 0 | 0 |
| 34 | Cetera Financial Institutions | $340,713,456 | $48,368,083 | 0 | 0 |
| 35 | Ameritas Investment Company/Ameritas Advisory Services | $139,100,000 | $47,400,000 | $6,280,864 | $20,500,000 |
| 36 | Sigma Financial Corp. | $117,498,872 | $44,609,185 | 0 | 0 |
| 37 | Centaurus Financial, Inc. | $155,849,550 | $41,403,277 | $16,935,781 | 0 |
| 38 | J.W. Cole Financial Inc. | $121,435,444 | $40,715,794 | $4,490,243 | $9,789,324 |
| 39 | Concourse Financial Group Securities, Inc. | $117,123,444 | $39,071,888 | $3,432,969 | 0 |
| 40 | Hornor, Townsend & Kent, LLC | $124,165,295 | $37,500,000 | 0 | 0 |
| 41 | Securities Service Network LLC | $100,445,000 | $35,994,000 | $8,684,000 | 0 |
| 42 | Kovack Securities, Inc. | $79,347,000 | $35,746,560 | $2,250,000 | $74,655,600 |
| 43 | Grove Point Financial, LLC | $116,887,423 | $35,232,244 | $6,646,199 | 0 |
| 44 | Investacorp Inc. | $104,683,443 | $28,116,000 | $9,236,000 | $96,601,000 |
| 45 | Prospera Financial Services Inc. | $54,156,438 | $26,514,253 | $7,696,516 | $14,603,953 |
| 46 | M Holdings Securities Inc. (M Securities) | $175,742,932 | $25,836,194 | $2,119,983 | $15,189,990 |
| 47 | Harbour Investments Inc. | $54,914,000 | $24,080,000 | $367,000 | $54,000,000 |
| 48 | Spire Investment Partners LLC | $33,458,313 | $23,905,551 | 0 | 0 |
| 49 | The Investment Center Inc. | $56,702,206 | $23,788,089 | $932,000 | $54,847,473 |
| 50 | Founders Financial | $29,136,901 | $22,144,045 | $1,016,096 | $27,233,750 |
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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