Wunderlich Securities, Inc. (Memphis)

Name: Wunderlich Securities, Inc.
Address: 40 South Main, Memphis, TN, 38103
Telephone: 901-251-1330

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

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Wunderlich Investment Company	Direct owner	1 Dec 1997	75% - 100%	62-1720109
Gary Kent Jr Wunderlich	Director/ceo	1 Dec 1997	Other	2256877
Philip Richard Jr Zanone	Director/president	1 Dec 1997	Other	2135221
James Walker Hays	Director	1 Dec 1997	Other	2270638
Martin Gaia	Director	1 Dec 1997	Other	1995851
Stephen Joseph Bonnema	Chief operating officer & director	1 Jul 2002	Other	2229865
Tracy Leighton Wiswall	Chief compliance officer	1 Jul 2004	Other	3023407
Donald Allen Ritcheson	Chief financial officer and director	1 Jun 2006	Other	2360009
Jerry Lee Cline	President of csa division	1 Mar 2007	Other	1350020
David Charles Claibourne	Chief compliance officer of csa division	1 Jun 2008	Other	4433635
Robert Jeffery Corne	Chief financial officer	1 Nov 2009	Other	4993108
David Lawrence Webb	Chief compliance officer- ia	1 Mar 2010	Other	3017872
William David Woodward	Chief compliance officer	1 Sep 2011	Other	1353440
Brent Patrick Nicks	Chief compliance officer advisory services	1 Oct 2013	Other	4067773
Lionel Findlay Conacher	Board of director	1 Dec 2013	Other	5444718
Stacy Malinda Hodges	Chief financial officer	1 Dec 2014	Other	2544755
Michael John Campbell	Senior advisor and bod member	1 Jan 2015	Other	39294
James Timothy Ritt	Chief compliance officer and general counsel	1 Aug 2015	Other	1836011
Nolan Blake Hughes	Chief compliance officer advisory services	1 Mar 2018	Other	5010510

Indirect Owners

The SEC currently registers 10 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Coil Investment Group As	Shareholder	1 Oct 2007	50% - 75%	foreign
Alfred Ydsteb	Owner	1 Oct 2007	50% - 75%	5489289
Inc. Coil U.S. Holding	Shareholder	1 Dec 2007	50% - 75%	26-1493068
Inc. B. Riley Financial	Parent	1 Jul 2014	75% - 100%	27-0223495
Llc Acp Bd Investments	Shareholder	1 Apr 2015	25% - 50%	80-0964953
Acp Bd Investments Holdings Lp	Shareholder	1 Apr 2015	25% - 50%	61-1734533
Acp Investment Fund Management Llc	General partner	1 Apr 2015	Other	27-4740697
Acp Investment Fund Ii Lp	General partner, shareholder	1 Apr 2015	Other	98-1140723
L.P. Acp Investment Fund Ii A	Shareholder	1 Apr 2015	50% - 75%	98-1140445
Inc. B. Riley Financial	Parent	1 Jul 2017	75% - 100%	27-0223495

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.