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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Davenport & Company LLC Richmond VA US 10387.0 
Pnc Investments Pittsburgh PA US 11195.1 
Cbiz Retirement Plan Advisory Service Cleveland OH US 11331.9 
Bb&t Securities, LLC Richmond VA US 11707.0 
Bmo Harris Financial Advisors, Inc Chicago IL US 11800.9 
D.a. Davidson & Co. Great Falls MT US 11806.7 
Mortgage INDS Advisory Company New York NY US 12400.0 
Lincoln Financial Advisors Corporation Fort Wayne IN US 15325.7 
William Blair & Company LLC. Chicago IL US 16328.5 
Cetera Advisor Networks LLC El Segundo CA US 16790.8 
Bernard L. Madoff Investment Securities LLC New York NY US 17091.6 
Crescent Capital Group LP Los Angeles CA US 17906.8 
Waddell & Reed Overland Park KS US 19056.9 
Spectrum Asset Management, Inc. Stamford CT US 19379.0 
Janney Montgomery Scott LLC Philadelphia PA US 19593.3 
Advice And Planning Service New York NY US 19723.8 
First Manhattan Co New York NY US 19924.5 
Citigroup Global Markets Inc. New York NY US 22285.3 
Valic Financial Advisors, Inc. Houston TX US 22665.0 
Usaa Investment Management Company San Antonio TX US 23290.7 
Newport Group Securities, Inc. Heathrow FL US 24600.0 
Pgim Limited London UK 27241.0 
Templeton Asset Management Limited. Singapore SG 29161.0 
Franklin Templeton Investments Corporation. Toronto ontario CA 30737.2 
Directed Service LLC Scottsdale AZ US 36658.2 
Stifel, Nicolaus & Company, Inc St Louis MO US 38401.4 
Franklin Templeton Investment Management Limited London UK 38725.5 
Wells Fargo Advisors Financial Network, LLC St. Louis MO US 42504.1 
Mackenzie Investments Toronto, Ontario CA 45132.4 
Templeton Global Advisors Limited Nassau BS 47893.2 
Commonwealth Financial Network Waltham MA US 52072.8 
J.P. Morgan Securities LLC New York NY US 70743.2 
Rbc Capital Markets, LLC New York NY US 81781.5 
Robert W. Baird & Co. Inc Milwaukee WI US 83909.8 
Raymond James & Associates, Inc. St Petersburg FL US 112007.3 
Lpl Financial LLC Boston MA US 112086.4 
Nikko Asset Management Co Limited Tokyo 120572.7 
Russell Investments Seattle WA US 136275.7 
Edward Jones St. Louis MO US 140424.1 
Goldman, Sachs & Co. New York NY US 165045.2 
Ameriprise Financial Service, Inc. Minneapolis MN US 198002.7 
Hamilton Lane Bala Cynwyd PA US 252870.7 
Ubs Financial Service Inc. Weehawken NJ US 358253.4 
Wells Fargo Clearing Service, LLC St. Louis MO US 409716.3 
Morgan Stanley Purchase NY US 535890.1 
Merrill Lynch, Pierce, Fenner & Smith Inc New York NY US 639574.2 
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:

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