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

VSR Financial Services Inc.

Clearing firm First Clearing LLC
Pershing LLC

Revenue $105,081,959

Excess net capital $3,897,633

Cost of E&O insurance $5,040-$5,760

Affiliation fees None

+ Details

$370,738272$200,000

Founders Financial Securities, LLC

A subsidiary of Founders Financial, Inc.

Revenue $21,400,000

Excess net capital $904,096

+ Details

$314,70568

United Planners Financial Services

Clearing firm Pershing LLC

Revenue $84,682,530

Excess net capital $3,900,000

Cost of E&O insurance $3,110

Affiliation fees $2,652

+ Details

$227,000438$100,000

Investacorp Inc.

A subsidiary of Ladenburg Thalmann Financial Services Inc.

Clearing firm National Financial Services LLC

Revenue $91,830,340

Excess net capital $4,703,719

Cost of E&O insurance $2,250

Affiliation fees $125/month

+ Details

$208,234519$75,000

Cadaret, Grant & Co. Inc.

Clearing firm Pershing LLC
Self-clearing

Revenue $167,834,137

Excess net capital $6,999,427

Cost of E&O insurance $1,700

Affiliation fees $450

+ Details

$202,982913$125,000

CFD Investments Inc.

Clearing firm National Financial Services LLC
RBC Correspondent Services

Revenue $27,317,569

Excess net capital $483,309

Cost of E&O insurance $2,400

Affiliation fees $0-$700

+ Details

$166,192211$25,000

PlanMember Securities Corp.

Clearing firm Pershing LLC
Self-clearing

Revenue $67,158,000

Excess net capital $2,088,000

Cost of E&O insurance $1,975

Affiliation fees $600

+ Details

$106,884472$35,000

Ameritas Investment Corp.

A subsidiary of Ameritas Life Insurance Co.

Clearing firm National Financial Services LLC
RBC Correspondent Services

Revenue $148,200,000

Excess net capital $5,637,243

Cost of E&O insurance $2,530

Affiliation fees $0

+ Details

$100,3091,192$10,000

The O.N. Equity Sales Co.

A subsidiary of Ohio National Financial Services

Clearing firm Pershing LLC

Revenue $60,558,972

Excess net capital $766,000

Cost of E&O insurance $1,350.00 (non RIA) ; $1,880 (RIA)

+ Details

$91,895874$20,000

Fortune Financial Services Inc.

Clearing firm Other

Revenue $10,469,471

Excess net capital 0.00

Affiliation fees $1,800

+ Details

$55,652225$30,000
Next Page »

139 results found

Page 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | View all

Firm comparison

Select firm checkboxes on the left to compare profiles or payouts. Compare up to four (4) firms.

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 InvestmentNews Data.

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.