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 capitalOperating expenses ▼
1LPL Financial LLC$5,188,400,000$2,766,008,000$100,100,000$4,470,740,342
2Cambridge Investment Research, Inc.$906,665,662$509,612,090$1,862,175$860,066,326
3Equitable Advisors, LLC$913,766,249$237,451,393$17,474,857$839,351,631
4United Planners Financial Services$131,918,119$76,594,825$5,108,857$124,993,813
5KMS Financial Services, Inc.$122,780,641$60,795,192$7,128,658$117,203,696
6Investacorp Inc.$104,683,443$28,116,000$9,236,000$96,601,000
7Royal Alliance Associates Inc.$603,933,811$255,654,1980$82,882,692
8Lincoln Investment Planning, LLC$336,840,000$199,932,000$18,420,000$79,102,299
9The O.N. Equity Sales Co.$77,096,757$13,245,972$2,560,056$75,275,242
10Kovack Securities, Inc.$79,347,000$35,746,560$2,250,000$74,655,600
11The Leaders Group$72,532,0540$407,996$71,114,992
12Avantax Investment Services, Inc.$373,173,600$164,353,527$3,665,758$68,071,711
13Woodbury Financial Services$373,562,068$97,583,8090$61,341,896
14SagePoint Financial Inc.$405,712,335$136,968,0120$60,443,995
15The Investment Center Inc.$56,702,206$23,788,089$932,000$54,847,473
16Harbour Investments Inc.$54,914,000$24,080,000$367,000$54,000,000
17FSC Securities Corp.$305,578,221$108,596,3870$46,959,453
18Berthel Fisher & Co. Financial Services Inc.$52,419,235$17,858,085$2,024,216$36,750,000
19American Portfolios Financial Services Inc.$218,210,687$109,063,912$9,800,000$27,369,348
20Founders Financial$29,136,901$22,144,045$1,016,096$27,233,750
21Arete Wealth$30,085,805$10,362,588$275,000$26,318,330
22Transamerica Financial Advisors, Inc.$109,330,863$16,805,778$10,203,306$25,992,515
23Ameritas Investment Company/Ameritas Advisory Services$139,100,000$47,400,000$6,280,864$20,500,000
24CFD Investments Inc.$31,198,973$12,685,490$519,669$18,486,216
25M Holdings Securities Inc. (M Securities)$175,742,932$25,836,194$2,119,983$15,189,990
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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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