Wunderlich Securities, Inc. (Memphis)

Wunderlich Securities, Inc. is a large advisory firm based in Memphis. It manages $1.62 billion of regulatory assets for 4,915 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Wunderlich Securities provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Wunderlich Securities: assets under management

The assets under management (AUM) of Wunderlich Securities, Inc. is $1.62 billion. The firm's AUM has grown by 1426% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $686.87 million in discretionary accounts and $930.87 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $352.24 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $313.95 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Wunderlich Securities, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Wunderlich Securities, Inc.

The company employs 394 people that are either part- or full-time employees. 57 percent of the employees work as investment advisers or researchers. 225 employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Gary Kent Jr Wunderlich has been acting as President since 1 Dec 1997. Nolan Blake Hughes joined the executive team most recently as the Chief Compliance Officer Advisory Services.

Direct owners and executive officers

Indirect Owners

The SEC currently registers 10 indirect owners.

Based in Memphis

The principal office where Wunderlich Securities, Inc. performs its advisory services is located at 40 South Main, Memphis, TN 38103, which is also the mailing address of the firm. An additional office of the firm is in Tulsa, OK. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 901-251-1330 or by fax 901-251-1352. The normal business hours are 8:00 a.m. to 4:30 p.m. on Monday - Friday. You can find more information about the New York firm at wunderlichsecurities.com.

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