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Gradient Securities

An independent broker-dealer and RIA firm designed for entrepreneurial-minded financial services professionals.

Gradient Securities

At Gradient Securities, LLC, we understand the importance of providing the best available financial solutions. When your objective is establishing and achieving important financial milestones, like retirement planning, you need a partner to scout ahead and prepare the map for you. Whatever your destination, whatever your preferred method of travel, our representatives can provide a detailed plan on how to get there.

Who We Are

Gradient Securities is an independent broker-dealer and SEC registered investment advisor that offers an innovative approach to the sale of securities products and advisory services. Through our representatives, you have access to a full suite of products and services including equities, debt securities, mutual funds, variable annuities, variable life insurance, non-traded and publicly-traded real estate investment trusts (REITs), managed accounts, personal and business banking solutions, and 529 plans. Our clearing firm partner, RBC Correspondent Services, is one of the leading clearing firms for independent broker-dealers and one of North America’s leading diversified financial services companies.

Our Commitment to You

Our continued success is a result of our partnership with independent financial services professionals who share our work ethic and dedication to helping you reach your financial goals. As a testament to our approach, Gradient Securities was ranking among top firms in Financial Advisor Magazine’s 2016 broker-deal ranking1. This is an accomplishment considering that there are nearly 3,800 broker-dealers regulated by FINRA, the securities industry’s primary regulator2. In today’s environment it’s important to know who has stewardship of your hard-earned assets. Gradient Securities partners with qualified custodians that hold your assets and provide account statements directly to you.

1. As seen in the April 2017 edition of Financial Advisor Magazine.


Gradient Securities researched every clearing firm in the industry to find the right fit for financial services professionals we partner with and their clients. We selected RBC Correspondent Services (RBC CS), a division of RBC Capital Markets, LLC, member NYSE/FINRA/SIPC, as our clearing partner not only because of their safety, technology platform and robust value-adds, but because they best matched the Midwest work ethic and relationship philosophy that we believe in. Founded in 1979, RBC CS has a strong history in the clearing business. RBC CS is the second largest clearing firm for independent broker-dealers.1 RBC CS provides unparalleled support and exceptional service for our representatives. RBC CS is a division of RBC Capital Markets, LLC, one of the industry’s leading brokerage and investment banking firms.

1. RBC Correspondent Services is ranked second by number of broker-dealer clients (Investment News 2016)