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Firm Name City State Country Assets ($M) 
Ohanesian / Lecours, Inc. West Hartford CT US 500.0 
Euro Pacific Capital, Inc. Westport CT US 500.5 
David A. Noyes & Company Chicago IL US 500.6 
Estrada Hinojosa & Company, Inc. Dallas TX US 508.0 
Folger Nolan Fleming Douglas Inc Washington DC US 537.7 
Capitol Securities Management, Inc. Glen Allen VA US 538.7 
Institutional Securities Corporation Dallas TX US 538.8 
Penn Investment Advisors, Inc. Doylestown PA US 542.2 
Umpqua Investments, Inc. Portland OR US 542.5 
Harbour Investments, Inc. Madison WI US 552.4 
Santander Securities Dorchester MA US 556.1 
First Citizens Investor Service, Inc. Raleigh NC US 559.0 
J.derek Lewis & Associates, Inc. Newport Beach CA US 559.2 
Crown Capital Securities, L.P. Orange CA US 562.2 
Cutter & Company, Inc. Ballwin MO US 562.6 
Bok Financial Advisors Tulsa OK US 568.3 
George Mckelvey Co., Inc. Manasquan NJ US 571.0 
Hunter Associates LLC Pittsburgh PA US 572.7 
Infinex Investments, Inc. Meriden CT US 579.9 
Relevant Wealth Advisors, LLC Mill Valley CA US 580.0 
Conning Investment Products, Inc. Hartford CT US 586.0 
Pwmco, LLC Chicago IL US 586.1 
Hantz Financial Service, Inc. Southfield MI US 589.5 
Winslow, Evans & Crocker, Inc. Boston MA US 596.6 
Nations Financial Group, Inc. Cedar Rapids IA US 597.3 
Protected Investors Of America San Francisco CA US 607.9 
Smith Moore & Co. Clayton MO US 611.8 
Founders Financial Securities, LLC Towson MD US 614.5 
Pacer Advisors, Inc. Paoli PA US 620.1 
Hazlett, Burt & Watson, Inc. Wheeling WV US 628.5 
Allen & Company Of Florida, Inc. Lakeland FL US 631.6 
Fcg Wealth Management, LLC Chatham NJ US 633.7 
Investment Professionals, Inc. San Antonio TX US 634.1 
1914 Advisors West Conshohocken PA US 645.0 
Girard Securities, Inc. San Diego CA US 646.4 
Capital Management Associates Inc Minneapolis MN US 652.5 
Financial West Group Westlake Village CA US 654.0 
Ausdal Financial Partners, Inc. Davenport IA US 655.7 
Tfs Advisory Service Lincroft NJ US 655.8 
Mml Investors Service, LLC Springfield MA US 666.1 
City National Securities, Inc. Beverly Hills CA US 668.5 
Macquarie Bank International Limited London UK 678.6 
Liberty Group, LLC Oakland CA US 683.1 
Triad Advisors, Inc. Norcross GA US 689.2 
Arete Wealth Advisors, LLC Chicago IL US 691.4 
Bpu Investment Management, Inc. Pittsburgh PA US 698.7 
Sage, Rutty & Co., Inc. Rochester NY US 714.4 
Calton & Associates, Inc. Tampa FL US 714.9 
Kimelman & Baird, LLC New York NY US 722.5 
Landaas & Company Milwaukee WI US 727.3 
The Huntington Investment Company Columbus OH US 734.1 
Phillips & Company Portland OR US 753.8 
First Wilshire Securities Management, Inc. Pasadena CA US 754.5 
Romano Wealth Management Evanston IL US 757.7 
Bb&t Investment Service, Inc. Charlotte NC US 759.3 
Berthel, Fisher & Company Financial Service, Inc. Cedar Rapids IA US 764.5 
Unionbanc Investment Service, LLC Glendale CA US 773.3 
L.m. Kohn & Company Cincinnati OH US 802.6 
Advisors Asset Management, Inc. Monument CO US 809.8 
Fifth Third Securities, Inc. Cincinnati OH US 813.1 
Olstein Capital Management, L.P. Purchase NY US 815.7 
Timothy Partners, Limited. Maitland FL US 819.9 
Popular Securities, LLC Hato Rey PR US 824.4 
Mutual Of America Life Insurance Company New York NY US 826.1 
Cri Securities, LLC St.paul MN US 828.5 
Leader Capital Corporation. Portland OR US 854.3 
Halsey Associates Inc New Haven CT US 874.4 
Santander Investment Securities Inc. New York NY US 877.9 
Bancwest Investment Service, Inc. bwis And Bwis D/b/a Fhis Omaha NE US 896.5 
Western International Securities Pasadena CA US 900.0 
Mcdonald Partners LLC Cleveland OH US 918.2 
Comerica Securities Detroit MI US 920.0 
Hilltop Securities Inc. Dallas TX US 927.2 
Cantella & Co., Inc. Boston MA US 940.4 
City Securities Corporation Indianapolis IN US 949.1 
M Holdings Securities, Inc. Portland OR US 958.2 
Esi Financial Advisors Montpelier VT US 974.6 
Brown Advisory Securities, LLC Baltimore MD US 987.2 
Nbc Securities, Inc. Birmingham AL US 992.0 
           
 
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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