Broker-Dealers: $1B – $5B AUM
55 Broker-Dealers in the $1B – $5B AUM range, ranked by reported regulatory assets.
NATIONS FINANCIAL GROUP, INC.
Broker-DealerCEDAR RAPIDS, IA
AUM $4.8BTEAM 94REPS 97
GWN SECURITIES INC.
Broker-DealerPALM BEACH GARDENS, FL
AUM $4.8BTEAM 707REPS 703
FOUNDERS FINANCIAL SECURITIES, LLC
Broker-DealerTOWSON, MD
AUM $4.1BTEAM 139REPS 129
MONEY CONCEPTS ADVISORY SERVICE
Broker-DealerPALM BEACH GARDENS, FL
AUM $4.1BTEAM 478REPS 477
THOROUGHBRED FINANCIAL SERVICES, LLC
Broker-DealerBRENTWOOD, TN
AUM $4BTEAM 31REPS 45
VOYA FINANCIAL ADVISORS, INC.
Broker-DealerWindsor, CT
AUM $3.9BTEAM 638REPS 959
HSBC SECURITIES (USA) INC.
Broker-DealerNew York, NY
AUM $3.8BTEAM 490REPS 1296
AUSDAL FINANCIAL PARTNERS, INC.
Broker-DealerDAVENPORT, IA
AUM $3.7BTEAM 306REPS 290
SAGE, RUTTY & CO., INC.
Broker-DealerROCHESTER, NY
AUM $3.5BTEAM 36REPS 61
ARVEST WEALTH MANAGEMENT
Broker-DealerLOWELL, AR
AUM $3.4BTEAM 238REPS 221
MOORS & CABOT, INC
Broker-DealerBOSTON, MA
AUM $3.4BTEAM 121REPS 119
M HOLDINGS SECURITIES, INC.
Broker-DealerPORTLAND, OR
AUM $3.2BTEAM 1442REPS 657
SANTANDER SECURITIES
Broker-DealerBOSTON, MA
AUM $3.1BTEAM 449REPS 379
TIMOTHY PARTNERS, LTD.
Broker-DealerMAITLAND, FL
AUM $2.9BTEAM 24REPS 12
ROTHSCHILD INVESTMENT
Broker-DealerCHICAGO, IL
AUM $2.8BTEAM 39REPS 45
ESI FINANCIAL ADVISORS
Broker-DealerMONTPELIER, VT
AUM $2.8BTEAM 500REPS 772
FIRST CITIZENS INVESTOR SERVICES, INC.
Broker-DealerRALEIGH, NC
AUM $2.6BTEAM 352REPS 723
POPULAR SECURITIES, LLC
Broker-DealerHATO REY, PR
AUM $2.6BTEAM 91REPS 106
CREATIVEONE SECURITIES, LLC
Broker-DealerOVERLAND PARK, KS
AUM $2.5BTEAM 196REPS 208
HILLTOP SECURITIES INC.
Broker-DealerDALLAS, TX
AUM $2.5BTEAM 92REPS 544
SILVER OAK SECURITIES, INC.
Broker-DealerJACKSON, TN
AUM $2.4BTEAM 103REPS 210
SMITH MOORE & CO.
Broker-DealerCLAYTON, MO
AUM $2.4BTEAM 65REPS 57
A.G.P. / Alliance Global Partners
Broker-DealerWESTPORT, CT
AUM $2.3BTEAM 320REPS 300
ADVISORS ASSET MANAGEMENT, INC.
Broker-DealerMONUMENT, CO
AUM $2.2BTEAM 255REPS 191
Other AUM ranges
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