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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Alliant Securities, Inc. Turner, Nord, Kienbaum Liberty Lake WA US 50.0 
Bmo Nesbitt Burns Securities Limited. Toronto, Ontario CA 50.0 
Landolt Securities, Inc. Oshkosh WI US 50.6 
Stockcross Financial Service Beverly Hills CA US 50.7 
Quest Securities, Inc. Fair Oaks CA US 51.0 
Herndon Plant Oakley Limited Corpus Christi TX US 51.6 
Private Portfolio Of San Diego La Jolla CA US 52.1 
Charter Oak Asset Management, Inc. Cheshire CT US 53.1 
Syndicated Capital, Inc. Santa Monica CA US 53.5 
Lifecourse Capital, Inc. Madison AL US 54.5 
Jsk Associates Inc. White Plains NY US 55.3 
Portfolio Design Advisors, Inc. Centennial CO US 56.1 
Conley Capital Group Eugene OR US 58.5 
Dempsey Lord Smith, LLC Rome GA US 58.9 
Emerson Equity LLC San Mateo CA US 60.0 
Rjj Pasadena Securities, Inc. South Pasadena CA US 61.1 
Qca Capital Management Inc Los Angeles CA US 62.0 
Wyser Pratte Management Co Inc 63.4 
Carter, Terry & Company, Inc. Atlanta GA US 63.7 
Presidential Brokerage, Inc. Greenwood Village CO US 64.7 
The Scott S. James Company Falls Church VA US 65.8 
Sorrento Pacific Financial, LLC San Diego CA US 67.3 
St. Bernard Financial Service, Inc. Russellville AR US 69.0 
Vectorglobal Iag, Inc. Miami FL US 70.9 
Vaughan And Company Securities, Inc. Ridgewood NJ US 72.2 
Wescom Financial Service, LLC Pasadena CA US 73.1 
APS Associates Jackson CA US 75.0 
Cfs Wealth Management Macon GA US 75.2 
Thornhill Securities, Inc. Austin TX US 75.7 
B.b. Graham & Company, Inc. Orange CA US 77.5 
Painter, Smith And Amberg Inc. Redlands CA US 80.4 
Gilford Financial Corporation. New York NY US 80.7 
P. R. Herzig & Co. Inc. Roslyn Heights NY US 81.0 
Mid-atlantic Securities, Inc. Raleigh NC US 83.3 
Wulff, Hansen & Co. San Francisco CA US 84.2 
Dale Buckner, Inc. Dba Dale Buckner And Asset Planning Group Amarillo TX US 84.2 
Hall & Romkema Financial Service, LLC. East Lansing MI US 84.7 
Mutual Trust Asset Management., Inc. Clearwater FL US 86.8 
Sherwold G W Associates Inc Lake Forest CA US 87.5 
Coordinated Capital Securities, Inc. Madison WI US 88.4 
Nestlerode & Loy, Inc. State College PA US 89.6 
Western Growers Financial Service Irvine CA US 90.4 
Gladowsky Capital Management Corporation Smithtown NY US 90.8 
Planners Financial Service, Inc. Mendota Heights MN US 92.8 
Wealth Asset Managers Spokane WA US 93.4 
Dfpg Investments, Inc. Sandy UT US 95.0 
First Georgetown Securities, Inc Alexandria VA US 95.5 
Hudson Heritage Capital Management, Inc. Croton-on-hudson NY US 97.6 
Northern Trust Securities, Inc Chicago IL US 100.0 
Emerging Managers Group, L.P. New York NY US 100.0 
           
 
What is a broker-dealer?
A broker-dealer is a financial firm that trades securities either for its own account or on behalf of other firms. If a broker-dealer firm is trading securities on behalf of a customer account, it is acting as an agent or a broker whereas if the broker-deal firm is trading securities on behalf of its own account, it is acting as a principal or a dealer.

Broker-Dealer Registration
Most brokers and dealers must register with the SEC unless they transact all of their business within one state, in which case they are required to have a state registration. Those broker-dealers that advice or offer fee-based accounts generally must also register as an investment advisor. Investment advisors file Form ADV to register with the SEC or the states. Form ADV contains information about an investment advisor and its business operations. To view the latest filing for a particular registered investment advisor, please visit: www.adviserinfo.sec.gov

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