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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Northern Trust Securities, Inc Chicago IL US 100.0 
Emerging Managers Group, L.P. New York NY US 100.0 
Communityamerica Financial Solutions, LLC Lenexa KS US 100.7 
Asia Pacific Financial Management Group, Inc. Hagatna GU 100.8 
Taglich Brothers, Inc. Huntington NY US 101.3 
Dougherty & Company LLC Minneapolis MN US 101.7 
Northland Asset Management Minneapolis MN US 102.7 
Simmons First Investment Group, Inc. Little Rock AR US 103.9 
Waterford Capital Investment Advisory Service LLC Addison TX US 105.0 
Garrett Nagle & Co., Inc. Woburn MA US 106.0 
Source Capital Group, Inc. Westport CT US 106.0 
Diversified Resources, LLC Warwick RI US 109.5 
Gladowsky Capital Management Corporation Smithtown NY US 109.6 
Dale Buckner, Inc. Dba Dale Buckner And Asset Planning Group Amarillo TX US 109.6 
Innovation Partners LLC Charlotte NC US 110.7 
Lieblong & Associates, Inc. Little Rock AR US 111.7 
United Brokerage Service Inc Parkersburg WV US 114.5 
Sanders Morris Harris LLC Houston TX US 117.3 
Alexander Labrunerie & Co., Inc. Columbia MO US 118.8 
Oriental Financial Service Corporation. San Juan PR US 119.2 
Secure Planning, Inc. Portsmouth NH US 120.2 
Wiley Bros.-aintree Capital, LLC Nashville TN US 123.5 
Mack Investment Securities, Inc. Northfield IL US 125.2 
Trust Advisory Group Limited Woburn MA US 126.2 
Raymond James usa Limited Vancouver US 127.5 
J K R & Company, Inc. Laguna Beach CA US 129.2 
American Independent Securities Group, LLC Eagle ID US 130.1 
Smith, Brown & Groover, Inc. Macon GA US 135.0 
J W Korth & Company Miami FL US 135.0 
Oneamerica Securities, Inc. Indianapolis IN US 137.4 
Aca/prudent Investors Planning Corporation Green Brook NJ US 139.1 
Philosmith Capital Corporation Stamford CT US 140.1 
Capital Financial Service, Inc. Minot ND US 142.0 
Charter Capital Management, Inc Wauwatosa WI US 142.6 
G.L. Smith & Associates Huntsville AL US 143.3 
Larimer Capital Corporation Denver CO US 143.4 
The Putney Financial Group, Registered Investment Advisors San Rafael CA US 147.5 
Wealth Management Resources, Inc. N. Smithfield RI US 148.9 
First Dallas Securities, Inc. Dallas TX US 149.2 
Coker & Palmer Jackson MS US 150.8 
Insight Securities, Inc. Highland Park IL US 151.5 
American Wealth Management, Inc. Atlanta GA US 152.6 
Bankoh Advisors Honolulu HI US 153.8 
Saperston Asset Management, Inc. Hamburg NY US 154.2 
Horan Wealth Management Cincinnati OH US 155.9 
Cresap, Inc. Radnor PA US 156.3 
Westport Capital Markets, LLC Westport CT US 157.7 
Googins Advisors, Inc. Middleton WI US 158.9 
Alexander Investment Service Co. Louisville KY US 162.9 
Private Client Service, LLC Louisville KY US 163.1 
California Capital Management North Hollywood CA US 163.3 
Mclaughlin Ryder Investments, Inc. Alexandria VA US 164.1 
Caldwell Securities, Inc Sausalito CA US 165.0 
Excel Securities & Associates,Inc. Rochester NY US 165.0 
Correll Co. Investment Service Corporation. Hickory Hills IL US 165.1 
Mercadien Asset Management, LLC Hamilton NJ US 166.0 
Carl P. Sherr & Co., LLC Worcester MA US 166.0 
Brokers Financial Urbandale IA US 167.4 
The Oak Ridge Financial Service Group, Inc Golden Valley MN US 167.8 
Credit Suisse Securities usa LLC New York NY US 168.3 
Compass Capital Corporation Braintree MA US 170.0 
Hennion & Walsh Asset Management, Inc. Parsippany NJ US 172.5 
North Ridge Securities Corporation. Melville NY US 174.4 
Brighton Securities Corporation. Rochester NY US 174.4 
Greenberg Financial Group Tucson AZ US 174.6 
Gill Capital Partners Denver CO US 179.3 
Accrued Equities Inc. Melville NY US 181.7 
Navy Federal Brokerage Service LLC Vienna VA US 184.3 
Safeguard Securities, Inc. Mayfield Heights OH US 185.9 
First Kentucky Securities Corporation Louisville KY US 189.3 
Pine Valley Investments Marlton NJ US 190.0 
Gagnon Securities, LLC New York NY US 191.9 
Bermuda Investment Advisory Service Limited Hamilton BM 192.6 
Optivest, Inc. Dana Point CA US 196.8 
Chapin Davis Asset Management Baltimore MD US 199.5 
Sunbelt Securities Houston TX US 200.8 
Stonnington Group, LLC Woodland Hills CA US 201.3 
G. A. Repple & Company Casselberry FL US 207.9 
Cleveland Hauswirth Investment Management, Inc. Milwaukee WI US 208.0 
Alliance Advisory & Securities, Inc Westlake Village CA US 208.2 
Allegheny Investments, Limited. Pittsburgh PA US 208.5 
Woodstock Financial Group, Inc. Woodstock GA US 210.7 
Trubee, Collins & Co., Inc. Buffalo NY US 211.0 
Performance Trust Capital Partners, LLC Chicago IL US 212.1 
Mcclurg Capital Corporation San Rafael CA US 213.0 
Means Wealth Management Bangor ME US 213.5 
Trg Advisors, Inc. Amherst NY US 213.7 
First Western Advisors Holladay UT US 214.3 
Royal Advisors, LLC Grandville MI US 216.9 
Destiny Capital Corporation Golden CO US 219.8 
Thompson Davis Asset Management Richmond VA US 220.0 
Titleist Asset Management, Limited. San Antonio TX US 225.0 
Cascade Financial Management, Inc. Denver CO US 226.0 
Cascade Investment Group, Inc. Colorado Springs CO US 226.0 
Ntb Advisers, A Division Of Neidiger, Tucker, Bruner Inc Englewood CO US 229.9 
Silver Oak Securities, Inc. Jackson TN US 230.9 
Bhk Securities, LLC Birmingham AL US 233.2 
Packerland Brokerage Service, Inc. Green Bay WI US 238.6 
Voya Financial Partners, LLC Windsor CT US 242.2 
           
 
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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