Find a Broker-dealer

All 2014-2011 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

Independent Financial Group LLC

Clearing firm Pershing LLC

Revenue $118,702,200

Cost of E&O insurance $3,480

Affiliation fees $300

+ Details

$184,600565$1,000,000

Prospera Financial Services Inc.

Clearing firm First Clearing LLC
Pershing LLC

Revenue $43,279,095

Excess net capital $2,010,698

Cost of E&O insurance $3,300

Affiliation fees $125

+ Details

$326,642138$300,000

Kalos Capital Inc.

Clearing firm National Financial Services LLC

Revenue $29,400,000

Cost of E&O insurance $3,450

+ Details

$279,000109$300,000

Raymond James Financial Services Inc.

A subsidiary of Raymond James Financial

Clearing firm Self-clearing

Revenue $1,564,990,000

Excess net capital $23,498,000

Cost of E&O insurance $3,960

Affiliation fees None

+ Details

$334,594$300,000

Spire Investment Partners LLC

Clearing firm National Financial Services LLC
Pershing LLC
Other

Revenue $23,923,680

Cost of E&O insurance $3,120

Affiliation fees None

+ Details

$481,80362$300,000

Wells Fargo Advisors Financial Network

Clearing firm First Clearing LLC

Revenue $810,182,000

Cost of E&O insurance 4200

Affiliation fees 1800

+ Details

$473,9121,248$300,000

Triad Advisors Inc.

A subsidiary of Ladenburg Thalmann Financial Services Inc.

Clearing firm National Financial Services LLC

Revenue $177,491,322

Excess net capital $5,630,659

Cost of E&O insurance 4000

Affiliation fees None

+ Details

$266,400784$250,000

Geneos Wealth Management Inc.

Clearing firm National Financial Services LLC
Pershing LLC

Revenue $112,735,297

Excess net capital $400,000

Cost of E&O insurance $3,300

Affiliation fees None

+ Details

$447,362275$200,000

SII Investments Inc.

A subsidiary of National Planning Holdings Inc.

Clearing firm Pershing LLC

Revenue $193,123,000

Excess net capital $19,601,000

Cost of E&O insurance $3,300

Affiliation fees $1,200

+ Details

$288,000587$200,000

Commonwealth Financial Network

Clearing firm National Financial Services LLC
Pershing LLC

Revenue $950,310,266

Excess net capital $15,218,839

Cost of E&O insurance $2,150

Affiliation fees None

+ Details

$497,6711,965$200,000
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139 results found

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