Broker-Dealers: $500M – $1B AUM
34 Broker-Dealers in the $500M – $1B AUM range, ranked by reported regulatory assets.
Sanders Morris LLC
Broker-DealerHouston, TX
AUM $576MTEAM 27REPS 24
G.W. Sherwold Associates, Inc.
Broker-DealerLake Forest, CA
AUM $572MTEAM 3REPS 5
Conning Investment Products, Inc.
Broker-DealerHartford, CT
AUM $572MTEAM 8REPS 37
First Kentucky Securities Corp
Broker-DealerLouisville, KY
AUM $566MTEAM 19REPS 21
Wellington Shields & Co, LLC
Broker-DealerNew York, NY
AUM $546MTEAM 25REPS 50
Gagnon Securities, LLC
Broker-DealerNew York, NY
AUM $530MTEAM 19REPS 19
Barrett & Company
Broker-DealerProvidence, RI
AUM $530MTEAM 7REPS 9
Mclaughlin Ryder Investments, Inc.
Broker-DealerAlexandria, VA
AUM $522MTEAM 3REPS 5
Andrew Garrett, Inc.
Broker-DealerNew York, NY
AUM $521MTEAM 14REPS 30
James T. Borello & Co
Broker-DealerEast Dundee, IL
AUM $514MTEAM 4REPS 4
Other AUM ranges
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