Broker-Dealers: $1B – $5B AUM
55 Broker-Dealers in the $1B – $5B AUM range, ranked by reported regulatory assets.
Advisors Asset Management, Inc.
Broker-DealerMonument, CO
AUM $2.2BTEAM 255REPS 181
Capitol Securities Management, Inc.
Broker-DealerGlen Allen, VA
AUM $2.2BTEAM 170REPS 143
Transamerica Financial Advisors, LLC
Broker-DealerPhiladelphia, PA
AUM $2.1BTEAM 991REPS 2877
Navy Federal Investment Services, LLC
Broker-DealerVienna, VA
AUM $2.1BTEAM 206REPS 181
Madison Avenue Securities, LLC
Broker-DealerSan Diego, CA
AUM $2BTEAM 125REPS 300
Raymond James (USA) Ltd
Broker-DealerVancouver
AUM $2BTEAM 175REPS 265
Midwestern Securities Trading Co,LLC
Broker-DealerEast Peoria, IL
AUM $2BTEAM 105REPS 62
Landaas & Company
Broker-DealerMilwaukee, WI
AUM $1.9BTEAM 27REPS 24
Blue Vista Capital, LLC
Broker-DealerChicago, IL
AUM $1.9BTEAM 60REPS 5
Ashton Thomas Securities, LLC
Broker-DealerRochester, NY
AUM $1.9BTEAM 46REPS 95
U.S Bancorp Advisors, LLC
Broker-DealerSaint Paul, MN
AUM $1.8BTEAM 379REPS 2010
Lanark Financial, Inc.
Broker-DealerBirmingham, AL
AUM $1.8BTEAM 68REPS 85
Aegis Capital Corp.
Broker-DealerNew York, NY
AUM $1.8BTEAM 260REPS 231
Northern Trust Securities, Inc
Broker-DealerChicago, IL
AUM $1.7BTEAM 385REPS 396
Momentum Independent Network Inc.
Broker-DealerDallas, TX
AUM $1.6BTEAM 97REPS 216
Calton & Associates, Inc.
Broker-DealerTampa, FL
AUM $1.6BTEAM 373REPS 367
Romano Wealth Management
Broker-DealerEvanston, IL
AUM $1.5BTEAM 16REPS 13
RBC Securities, Inc.
Broker-DealerLos Angeles, CA
AUM $1.5BTEAM 186REPS 192
Kimelman & Baird, LLC
Broker-DealerNew York, NY
AUM $1.5BTEAM 9REPS 6
Security Capital Management
Broker-DealerWheeling, WV
AUM $1.4BTEAM 20REPS 22
Private Client Services, LLC
Broker-DealerLouisville, KY
AUM $1.4BTEAM 60REPS 821
Packerland Brokerage Services, Inc.
Broker-DealerGreen Bay, WI
AUM $1.4BTEAM 318REPS 365
Hunter Associates LLC
Broker-DealerPittsburgh, PA
AUM $1.3BTEAM 14REPS 23
Centennial Securities Company Inc
Broker-DealerGrand Rapids, MI
AUM $1.3BTEAM 45REPS 45
Other AUM ranges
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