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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Wbb Securities, LLC San Diego CA US 10.0 
Capital Securities Advisory Service Oak Brook IL US 10.0 
Netherland Securities, Inc. Dallas TX US 10.0 
S C Parker & Co Investment Advisor Service Williamsville NY US 10.0 
R.m. Duncan Capital Management Corporation Little Rock AR US 10.7 
Umb Financial Service, Inc. Kansas City MO US 10.8 
Paulson Investment Company, LLC Chicago IL US 11.5 
Leigh Baldwin & Co., LLC Cazenovia NY US 11.6 
Klein Asset Management LLC 11.7 
Roth Capital Partners, LLC Newport Beach CA US 11.9 
Continental Investors Service, Inc. Longview WA US 12.1 
Worth Financial Group Inc. Dallas TX US 12.1 
Quint Capital Management New York NY US 12.4 
The Garbacz Group Inc. St. Louis MO US 12.4 
Stock Traders Huntington Beach CA US 12.5 
Keystone Capital Corporation San Diego CA US 12.5 
Fsw Advisory Service Inc. Dallas TX US 12.6 
Vestech Securities, Inc. Wichita KS US 13.0 
Fsb Premier Wealth Management, Inc. Waterloo IA US 13.0 
Foresters Equity Service, Inc. San Diego CA US 13.1 
Private Label Money Management, Inc. Kirkwood MO US 13.6 
Whitehall-parker Securities, Inc San Francisco CA US 14.0 
Mwa Financial Service, Inc. Rock Island IL US 14.1 
Conover Securities Corporation Bellevue WA US 14.4 
Advanced Strategies Inc. Huron OH US 14.7 
Harger And Company, Inc. Baton Rouge LA US 14.7 
Littlejohn Financial Service, LLC 15.0 
North Nassau Advisors, LLC Syosset NY US 15.0 
Univest Investments, Inc. Souderton PA US 15.1 
Bankers & Investors Co. Kansas City KS US 15.6 
Darcy & Co., Inc. Syracuse NY US 16.1 
Podesta & Co. Chicago IL US 16.2 
Callaway Financial Service Arlington TX US 16.7 
Imbb Investment Advisors Indianapolis IN US 18.0 
Davinci Capital Management Inc. Cambridge MA US 18.1 
Baker & Co., Inc Rocky River OH US 18.3 
Arque Capital, Limited. Scottsdale AZ US 18.7 
American Capital Management, Inc. New Albany IN US 18.8 
Buttonwood Partners, Inc. Madison WI US 18.8 
Windham Financial Service, Inc. 18.9 
Equinox Securities, Inc. Redlands CA US 19.1 
Midwest Investment Advisors, LLC Fenton MO US 19.1 
Central States Capital Markets, LLC Prairie Village KS US 19.8 
Portsmouth Financial Service San Francisco CA US 19.9 
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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