Broker-Dealers: $100M – $500M AUM
87 Broker-Dealers in the $100M – $500M AUM range, ranked by reported regulatory assets.
Alexander Investment Services Co
Broker-DealerLouisville, KY
AUM $496MTEAM 12REPS 12
Brown, Lisle/Cummings, Inc
Broker-DealerProvidence, RI
AUM $487MTEAM 13REPS 13
FSB Premier Wealth Management, Inc.
Broker-DealerWaterloo, IA
AUM $432MTEAM 12REPS 12
Lifemark Securities Corp.
Broker-DealerRochester, NY
AUM $425MTEAM 78REPS 165
Cascade Investment Group, Inc.
Broker-DealerColorado Springs, CO
AUM $420MTEAM 6REPS 7
Oriental Financial Services LLC
Broker-DealerSan Juan, PR
AUM $420MTEAM 28REPS 28
Copper Financial
Broker-DealerLenexa, KS
AUM $411MTEAM 50REPS 47
Northland Asset Management
Broker-DealerMinneapolis, MN
AUM $405MTEAM 22REPS 190
BCI Securities, Inc.
Broker-DealerMiami, FL
AUM $402MTEAM 74REPS 61
The Strategic Financial Alliance
Broker-DealerAtlanta, GA
AUM $382MTEAM 56REPS 143
United Brokerage Services Inc
Broker-DealerParkersburg, WV
AUM $372MTEAM 95REPS 77
M. E. Allison & Co, Inc.
Broker-DealerSan Antonio, TX
AUM $366MTEAM 12REPS 12
U. S. Boston Capital Corporation
Broker-DealerLincoln, MA
AUM $360MTEAM 5REPS 18
Aca/Prudent Investors Planning Corporation
Broker-DealerGreen Brook, NJ
AUM $351MTEAM 2REPS 2
Cresap, Inc.
Broker-DealerRadnor, PA
AUM $339MTEAM 16REPS 17
First Dallas Securities, Inc.
Broker-DealerDallas, TX
AUM $336MTEAM 20REPS 17
American Fundstars
Broker-DealerIrvine, CA
AUM $333MTEAM 14REPS 24
Colliers Securities LLC
Broker-DealerMinneapolis, MN
AUM $330MTEAM 120REPS 76
Weitzel Financial Services, Inc.
Broker-DealerDubuque, IA
AUM $328MTEAM 4REPS 7
Universal Financial Services Inc.
Broker-DealerGuaynabo, PR
AUM $325MTEAM 3REPS 8
Emerson Equity LLC
Broker-DealerSan Mateo, CA
AUM $322MTEAM 343REPS 219
B.B. Graham & Company, Inc.
Broker-DealerOrange, CA
AUM $322MTEAM 32REPS 82
H. C. Denison Co
Broker-DealerSheboygan, WI
AUM $310MTEAM 4REPS 4
Oneamerica Securities, Inc.
Broker-DealerIndianapolis, IN
AUM $306MTEAM 340REPS 596
Other AUM ranges
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