Find a Broker-dealer

All 2013-2011 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.

State
Clearing firm
Your Production ($)
Avg. rep payout
No. of reps
Has RIA platform
Sells alternatives
Compare Firm + All Details Avg. payout Reps Min. Production

Spire Investment Partners LLC

Clearing firm National Financial Services LLC
Pershing LLC
Other

Revenue $23,017,005

Excess net capital 0.00

Cost of E&O insurance $2,880

Affiliation fees $0

+ Details

$452,88475$300,000

Ameriprise Financial Services Inc.

A subsidiary of Ameriprise Financial

Clearing firm Other

Revenue $3,241,113,140

Cost of E&O insurance ND

Affiliation fees ND

+ Details

$431,5157,5260.00

Commonwealth Financial Network

Clearing firm National Financial Services LLC
Pershing LLC

Revenue $822,114,509

Excess net capital $13,318,209

Cost of E&O insurance 2150

Affiliation fees 0

+ Details

$424,3111,846$200,000

Geneos Wealth Management Inc.

Clearing firm National Financial Services LLC
Pershing LLC

Revenue $104,552,628

Excess net capital $400,000

Cost of E&O insurance $3200

Affiliation fees 0

+ Details

$402,125280$200,000

Financial Telesis Inc.

Clearing firm Pershing LLC

Revenue $86,000,000

Excess net capital $1,100,000

Cost of E&O insurance $1,000

Affiliation fees 0

+ Details

$375,0004600.00

CUNA Brokerage Services Inc.

A subsidiary of CUNA Mutual Group

Clearing firm Pershing LLC

Revenue $143,000,000

Excess net capital $10,591,000

Cost of E&O insurance 1500

Affiliation fees 0

+ Details

$370,0004980.00

VSR Financial Services Inc.

Clearing firm First Clearing LLC
Pershing LLC

Revenue $107,297,059

Excess net capital $1,814,596

Cost of E&O insurance $4,500.00

Affiliation fees $0.00

+ Details

$364,086274$200,000

Prospera Financial Services Inc.

Clearing firm First Clearing LLC
Pershing LLC

Revenue $38,924,368

Excess net capital $1,631,799

Cost of E&O insurance $2,700

Affiliation fees $1,500

+ Details

$363,284135$300,000

Wells Fargo Advisors Financial Network

Clearing firm First Clearing LLC

Revenue $707,320,000

Cost of E&O insurance 4200

Affiliation fees 1800

+ Details

$345,9161,221$300,000

First Allied Securities Inc.

A subsidiary of RCAP Holdings, LLC

Clearing firm J.P. Morgan Clearing Corp.
Pershing LLC

Revenue $272,284,328

Excess net capital $4,527,089

Cost of E&O insurance $3,450

Affiliation fees 0

+ Details

$301,7527950.00
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138 results found

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