SII INVESTMENTS, INC.
CRD #2225 SEC #801-54935 APPLETON, WI 800-426-5975
SEC Registered Broker-Dealer Disclosures
Total AUM
--
Discretionary
--
Employees
81
Clients
0
Accounts
--
AUM Over Time
| Date | Total AUM | Discretionary | Non-Disc. | Employees | Clients |
|---|---|---|---|---|---|
| Jan 2018 | $4.4B | $4.3B | $84.5M | 646 | 0 |
| Dec 2017 | $5.7B | $5.6B | $84.5M | 646 | 0 |
| Jul 2017 | $4.3B | $4.1B | $159.7M | 747 | 23,800 |
| May 2017 | $4.3B | $4.1B | $159.7M | 747 | 23,800 |
| Apr 2017 | $4.3B | $4.1B | $159.7M | 747 | 23,800 |
| Mar 2017 | $4.3B | $4.1B | $159.7M | 747 | 23,800 |
| Mar 2017 | $4.2B | $3.1B | $1.1B | 739 | 19,800 |
| Dec 2016 | $4.2B | $3.1B | $1.1B | 739 | 19,800 |
| Sep 2016 | $4.2B | $3.1B | $1.1B | 739 | 19,800 |
| Jul 2016 | $4.2B | $3.1B | $1.1B | 739 | 19,800 |
| Jul 2016 | $4.2B | $3.1B | $1.1B | 739 | 19,800 |
| Apr 2016 | $4.2B | $3.1B | $1.1B | 739 | 19,800 |
| Mar 2016 | $4.2B | $3.1B | $1.1B | 739 | 19,800 |
| Mar 2016 | $4B | $3.1B | $866.6M | 763 | 16,800 |
| Jan 2016 | $4B | $3.1B | $866.6M | 763 | 16,800 |
| Dec 2015 | $4B | $3.1B | $866.6M | 763 | 16,800 |
| Jun 2015 | $4B | $3.1B | $866.6M | 763 | 16,800 |
| Jun 2015 | $4B | $3.1B | $866.6M | 763 | 16,800 |
| Apr 2015 | $4B | $3.1B | $866.6M | 763 | 16,800 |
| Mar 2015 | $4B | $3.1B | $866.6M | 763 | 16,800 |
| Jan 2015 | $3.3B | $2.8B | $444.7M | 786 | 22,220 |
| Sep 2014 | $3.3B | $2.8B | $444.7M | 786 | 22,220 |
| Jul 2014 | $3.3B | $2.8B | $444.7M | 786 | 22,220 |
| Mar 2014 | $3.3B | $2.8B | $444.7M | 786 | 22,220 |
| Apr 2013 | $2.5B | $2.2B | $374.5M | 778 | 10,700 |
| Mar 2012 | $2B | $1.8B | $146.2M | 251 | 8,000 |
| May 2011 | $1.8B | $1B | $822.5M | 251 | -- |
| May 2011 | $1.8B | $1B | $822.5M | 251 | -- |
| Mar 2011 | $1.8B | $1B | $822.5M | 251 | -- |
| Mar 2010 | $917.2M | $786.5M | $130.7M | 251 | -- |
| Mar 2009 | $878.7M | $787.5M | $91.2M | 251 | -- |
| Jan 2008 | $818.9M | $733.8M | $85.1M | 251 | -- |
| Mar 2007 | $818.9M | $733.8M | $85.1M | 251 | -- |
| Mar 2006 | $621.7M | $608.9M | $12.8M | 251 | -- |
| Feb 2005 | $621.7M | $608.9M | $12.8M | 251 | -- |
| Jan 2005 | $495.7M | $473.2M | $22.5M | 251 | -- |
| Jan 2005 | $495.7M | $473.2M | $22.5M | 251 | -- |
| Jan 2005 | $495.7M | $473.2M | $22.5M | 251 | -- |
| Aug 2004 | $495.7M | $473.2M | $22.5M | 251 | -- |
| Aug 2004 | $495.7M | $473.2M | $22.5M | 251 | -- |
| Jun 2004 | $495.7M | $473.2M | $22.5M | 251 | -- |
| Apr 2004 | $495.7M | $473.2M | $22.5M | 251 | -- |
| Mar 2004 | $495.7M | $473.2M | $22.5M | 251 | -- |
| Oct 2003 | $399.6M | $385.8M | $13.7M | 501 | -- |
| Mar 2002 | $386.5M | $371.5M | $15M | 501 | -- |
| Mar 2002 | $386.5M | $371.5M | $15M | 501 | -- |
DateJan 2018
Total AUM$4.4B
Discretionary$4.3B
Non-Disc.$84.5M
Employees646
Clients0
DateDec 2017
Total AUM$5.7B
Discretionary$5.6B
Non-Disc.$84.5M
Employees646
Clients0
DateJul 2017
Total AUM$4.3B
Discretionary$4.1B
Non-Disc.$159.7M
Employees747
Clients23,800
DateMay 2017
Total AUM$4.3B
Discretionary$4.1B
Non-Disc.$159.7M
Employees747
Clients23,800
DateApr 2017
Total AUM$4.3B
Discretionary$4.1B
Non-Disc.$159.7M
Employees747
Clients23,800
DateMar 2017
Total AUM$4.3B
Discretionary$4.1B
Non-Disc.$159.7M
Employees747
Clients23,800
DateMar 2017
Total AUM$4.2B
Discretionary$3.1B
Non-Disc.$1.1B
Employees739
Clients19,800
DateDec 2016
Total AUM$4.2B
Discretionary$3.1B
Non-Disc.$1.1B
Employees739
Clients19,800
DateSep 2016
Total AUM$4.2B
Discretionary$3.1B
Non-Disc.$1.1B
Employees739
Clients19,800
DateJul 2016
Total AUM$4.2B
Discretionary$3.1B
Non-Disc.$1.1B
Employees739
Clients19,800
DateJul 2016
Total AUM$4.2B
Discretionary$3.1B
Non-Disc.$1.1B
Employees739
Clients19,800
DateApr 2016
Total AUM$4.2B
Discretionary$3.1B
Non-Disc.$1.1B
Employees739
Clients19,800
DateMar 2016
Total AUM$4.2B
Discretionary$3.1B
Non-Disc.$1.1B
Employees739
Clients19,800
DateMar 2016
Total AUM$4B
Discretionary$3.1B
Non-Disc.$866.6M
Employees763
Clients16,800
DateJan 2016
Total AUM$4B
Discretionary$3.1B
Non-Disc.$866.6M
Employees763
Clients16,800
DateDec 2015
Total AUM$4B
Discretionary$3.1B
Non-Disc.$866.6M
Employees763
Clients16,800
DateJun 2015
Total AUM$4B
Discretionary$3.1B
Non-Disc.$866.6M
Employees763
Clients16,800
DateJun 2015
Total AUM$4B
Discretionary$3.1B
Non-Disc.$866.6M
Employees763
Clients16,800
DateApr 2015
Total AUM$4B
Discretionary$3.1B
Non-Disc.$866.6M
Employees763
Clients16,800
DateMar 2015
Total AUM$4B
Discretionary$3.1B
Non-Disc.$866.6M
Employees763
Clients16,800
DateJan 2015
Total AUM$3.3B
Discretionary$2.8B
Non-Disc.$444.7M
Employees786
Clients22,220
DateSep 2014
Total AUM$3.3B
Discretionary$2.8B
Non-Disc.$444.7M
Employees786
Clients22,220
DateJul 2014
Total AUM$3.3B
Discretionary$2.8B
Non-Disc.$444.7M
Employees786
Clients22,220
DateMar 2014
Total AUM$3.3B
Discretionary$2.8B
Non-Disc.$444.7M
Employees786
Clients22,220
DateApr 2013
Total AUM$2.5B
Discretionary$2.2B
Non-Disc.$374.5M
Employees778
Clients10,700
DateMar 2012
Total AUM$2B
Discretionary$1.8B
Non-Disc.$146.2M
Employees251
Clients8,000
DateMay 2011
Total AUM$1.8B
Discretionary$1B
Non-Disc.$822.5M
Employees251
Clients--
DateMay 2011
Total AUM$1.8B
Discretionary$1B
Non-Disc.$822.5M
Employees251
Clients--
DateMar 2011
Total AUM$1.8B
Discretionary$1B
Non-Disc.$822.5M
Employees251
Clients--
DateMar 2010
Total AUM$917.2M
Discretionary$786.5M
Non-Disc.$130.7M
Employees251
Clients--
DateMar 2009
Total AUM$878.7M
Discretionary$787.5M
Non-Disc.$91.2M
Employees251
Clients--
DateJan 2008
Total AUM$818.9M
Discretionary$733.8M
Non-Disc.$85.1M
Employees251
Clients--
DateMar 2007
Total AUM$818.9M
Discretionary$733.8M
Non-Disc.$85.1M
Employees251
Clients--
DateMar 2006
Total AUM$621.7M
Discretionary$608.9M
Non-Disc.$12.8M
Employees251
Clients--
DateFeb 2005
Total AUM$621.7M
Discretionary$608.9M
Non-Disc.$12.8M
Employees251
Clients--
DateJan 2005
Total AUM$495.7M
Discretionary$473.2M
Non-Disc.$22.5M
Employees251
Clients--
DateJan 2005
Total AUM$495.7M
Discretionary$473.2M
Non-Disc.$22.5M
Employees251
Clients--
DateJan 2005
Total AUM$495.7M
Discretionary$473.2M
Non-Disc.$22.5M
Employees251
Clients--
DateAug 2004
Total AUM$495.7M
Discretionary$473.2M
Non-Disc.$22.5M
Employees251
Clients--
DateAug 2004
Total AUM$495.7M
Discretionary$473.2M
Non-Disc.$22.5M
Employees251
Clients--
DateJun 2004
Total AUM$495.7M
Discretionary$473.2M
Non-Disc.$22.5M
Employees251
Clients--
DateApr 2004
Total AUM$495.7M
Discretionary$473.2M
Non-Disc.$22.5M
Employees251
Clients--
DateMar 2004
Total AUM$495.7M
Discretionary$473.2M
Non-Disc.$22.5M
Employees251
Clients--
DateOct 2003
Total AUM$399.6M
Discretionary$385.8M
Non-Disc.$13.7M
Employees501
Clients--
DateMar 2002
Total AUM$386.5M
Discretionary$371.5M
Non-Disc.$15M
Employees501
Clients--
DateMar 2002
Total AUM$386.5M
Discretionary$371.5M
Non-Disc.$15M
Employees501
Clients--