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Registered Broker Dealer
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 
Folger Nolan Fleming Douglas Inc Washington DC US 537.7 
Capitol Securities Management, Inc. Glen Allen VA US 538.7 
Penn Investment Advisors, Inc. Doylestown PA US 542.2 
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 
George Mckelvey Co., Inc. Manasquan NJ US 571.0 
Century Securities Associates Inc St Louis MO US 572.2 
Hunter Associates LLC Pittsburgh PA US 572.7 
Relevant Wealth Advisors, LLC Mill Valley CA US 580.0 
Berthel Fisher & Company Financial Service, Inc. Cedar Rapids IA US 585.9 
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 
Bok Financial Advisors Tulsa OK US 594.8 
Smith Moore & Co. Clayton MO US 611.8 
Winslow, Evans & Crocker, Inc. Boston MA US 615.2 
The Strategic Financial Alliance Atlanta GA US 624.2 
Hazlett, Burt & Watson, Inc. Wheeling WV US 628.5 
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 
Tfs Advisory Service Lincroft NJ US 655.8 
Umpqua Investments, Inc. Portland OR US 665.5 
Liberty Wealth Management, LLC Oakland CA US 683.1 
Triad Advisors, Inc. Norcross GA US 689.2 
Bpu Investment Management, Inc. Pittsburgh PA US 698.7 
Santander Investment Securities Inc. New York NY US 702.1 
Sage, Rutty & Co., Inc. Rochester NY US 714.4 
Allen & Company Of Florida, Inc. Lakeland FL US 714.7 
Calton & Associates, Inc. Tampa FL US 714.9 
Kimelman & Baird, LLC New York NY US 722.5 
City National Securities, Inc. Beverly Hills CA US 734.3 
Founders Financial Securities, LLC Towson MD US 754.9 
Romano Wealth Management Evanston IL US 757.7 
Bb&t Investment Service, Inc. Charlotte NC US 759.3 
Harbour Investments, Inc. Madison WI US 762.6 
Unionbanc Investment Service, LLC Glendale CA US 773.3 
Ausdal Financial Partners, Inc. Davenport IA US 777.3 
L.m. Kohn & Company Cincinnati OH US 802.6 
Landaas & Company Milwaukee WI US 808.1 
Arete Wealth Advisors, LLC Chicago IL US 808.3 
Olstein Capital Management, L.P. Purchase NY US 815.7 
Infinex Investments, Inc. Meriden CT US 849.8 
Pacer Advisors, Inc. Paoli PA US 877.0 
Mutual Of America Life Insurance Company New York NY US 881.0 
Fifth Third Securities, Inc. Cincinnati OH US 887.8 
The Huntington Investment Company Columbus OH US 888.1 
Western International Securities Pasadena CA US 900.0 
Hilltop Securities Inc. Dallas TX US 918.1 
Mcdonald Partners LLC Cleveland OH US 918.2 
Comerica Securities Detroit MI US 920.0 
Cantella & Co., Inc. Boston MA US 940.4 
Popular Securities, LLC Hato Rey PR US 943.3 
Timothy Partners, Limited. Maitland FL US 946.8 
City Securities Corporation Indianapolis IN US 949.1 
M Holdings Securities, Inc. Portland OR US 958.2 
Nations Financial Group, Inc. Cedar Rapids IA US 962.4 
Transamerica Financial Advisors, Inc. St Petersburg FL US 969.4 
Cri Securities, LLC St.paul MN US 970.5 
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:

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