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 96
GWN Securities Inc.
Broker-DealerPalm Beach Gardens, FL
AUM $4.8BTEAM 707REPS 704
Founders Financial Securities, LLC
Broker-DealerTowson, MD
AUM $4.1BTEAM 139REPS 132
Money Concepts Advisory Service
Broker-DealerPalm Beach Gardens, FL
AUM $4.1BTEAM 478REPS 476
Thoroughbred Financial Services, LLC
Broker-DealerBrentwood, TN
AUM $4BTEAM 31REPS 46
Voya Financial Advisors, Inc.
Broker-DealerWindsor, CT
AUM $3.9BTEAM 638REPS 978
Hsbc Securities (USA) Inc.
Broker-DealerNew York, NY
AUM $3.8BTEAM 490REPS 1291
Ausdal Financial Partners, Inc.
Broker-DealerDavenport, IA
AUM $3.7BTEAM 306REPS 295
Sage, Rutty & Co, Inc.
Broker-DealerRochester, NY
AUM $3.5BTEAM 36REPS 62
Arvest Wealth Management
Broker-DealerLowell, AR
AUM $3.4BTEAM 238REPS 220
Moors & Cabot, Inc
Broker-DealerBoston, MA
AUM $3.4BTEAM 121REPS 125
M Holdings Securities, Inc.
Broker-DealerPortland, OR
AUM $3.2BTEAM 1442REPS 659
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 768
Sunbelt Securities
Broker-DealerHouston, TX
AUM $2.6BTEAM 68REPS 84
First Citizens Investor Services, Inc.
Broker-DealerRaleigh, NC
AUM $2.6BTEAM 352REPS 719
Popular Securities, LLC
Broker-DealerHato Rey, PR
AUM $2.6BTEAM 91REPS 105
Creativeone Securities, LLC
Broker-DealerOverland Park, KS
AUM $2.5BTEAM 196REPS 208
Hilltop Securities Inc.
Broker-DealerDallas, TX
AUM $2.5BTEAM 92REPS 551
Silver Oak Securities, Inc.
Broker-DealerJackson, TN
AUM $2.4BTEAM 103REPS 209
Smith Moore & Co
Broker-DealerClayton, MO
AUM $2.4BTEAM 65REPS 57
A.G.P. / Alliance Global Partners
Broker-DealerWestport, CT
AUM $2.3BTEAM 320REPS 307
Other AUM ranges
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