Broker-Dealers: $100M – $500M AUM

85 Broker-Dealers in the $100M – $500M AUM range, ranked by reported regulatory assets.

Secure Planning

Portsmouth, NH

AUM $187MTEAM 5REPS 7

Crews & Associates, Inc.

Little Rock, AR

AUM $181MTEAM 145REPS 136

Larimer Capital Corporation

Denver, CO

AUM $170MTEAM 4REPS 2

Global Brokerage Services, Inc.

Hunt Valley, MD

AUM $163MTEAM 6REPS 10

Harold Dance Investments

Logan, UT

AUM $158MTEAM 8REPS 8

J.V.B. Investment Company

Jackson, MI

AUM $158MTEAM 9REPS 9

Herndon Plant Oakley Ltd

Corpus Christi, TX

AUM $155MTEAM 3REPS 16

Western Growers Financial Services

Irvine, CA

AUM $154MTEAM 3REPS 3

J K R & Company, Inc.

Van Nuys, CA

AUM $152MTEAM 7REPS 5

Union Capital Company

Tucson, AZ

AUM $150MTEAM 13REPS 11

Wulff, Hansen & Co

San Rafael, CA

AUM $145MTEAM 9REPS 10

James I. Black & Company

Lakeland, FL

AUM $144MTEAM 10REPS 11

Syndicated Capital, Inc.

Brea, CA

AUM $142MTEAM 12REPS 18

Worth Financial Group Inc.

Dallas, TX

AUM $138MTEAM 11REPS 13

Landolt Securities, Inc.

Lake Bluff, IL

AUM $138MTEAM 14REPS 32

Harger and Company, Inc.

Baton Rouge, LA

AUM $137MTEAM 3REPS 7

Coordinated Capital Securities, Inc.

Fort Atkinson, WI

AUM $137MTEAM 31REPS 30

St. Bernard Financial Services, Inc.

Russellville, AR

AUM $136MTEAM 117REPS 108

Canaccord Genuity Wealth Management

Vancouver, British Columbia

AUM $135MTEAM 32REPS 80

PTS Brokerage, LLC

Mt Laurel, NJ

AUM $132MTEAM 18REPS 18

1st Discount Brokerage, Inc.

Lake Worth, FL

AUM $131MTEAM 8REPS 14

DMK Advisor Group, Inc.

Lutz, FL

AUM $131MTEAM 38REPS 39

Lincoln Douglas Investments, LLC

Mount Vernon, OH

AUM $131MTEAM 27REPS 26

R. F. Lafferty & Co, Inc.

New York, NY

AUM $130MTEAM 80REPS 84

Other AUM ranges

Under $100MReported AUM57 FIRMS $500M – $1BReported AUM36 FIRMS $1B – $5BReported AUM55 FIRMS Over $5BReported AUM67 FIRMS

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