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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Hornor, Townsend & Kent, Inc. Horsham PA US 1000.5 
Moors & Cabot, Inc Boston MA US 1011.1 
Transamerica Financial Advisors, Inc. St Petersburg FL US 1026.5 
Centaurus Financial, Inc. Anaheim CA US 1043.6 
Chapin Davis Asset Management Baltimore MD US 1048.3 
Bancwest Investment Service, Inc. bwis And Bwis D/b/a Fhis Omaha NE US 1056.0 
Carolinas Investment Consulting LLC Charlotte NC US 1063.0 
St. Germain Investment Management Springfield MA US 1123.3 
Bolton Global Asset Management Bolton MA US 1167.2 
Dunham & Associates Investment Counsel, Inc. San Diego CA US 1173.7 
Money Concepts Advisory Service Palm Beach Gardens FL US 1181.5 
Rothschild Investment Corporation Chicago IL US 1198.5 
Key Investment Service LLC Brooklyn OH US 1210.8 
Hollencrest Capital Management Newport Beach CA US 1225.9 
Thoroughbred Financial Service, LLC Brentwood TN US 1231.9 
J. W. Cole Advisors, Inc. Tampa FL US 1249.9 
M. Griffith Investment Service, Inc. New Hartford NY US 1262.0 
Harbor Investment Advisory, LLC Lutherville MD US 1315.0 
Cuna Brokerage Service, Inc. Waverly IA US 1331.4 
Mbsc Securities Corporation New York NY US 1354.2 
Arvest Wealth Management Lowell AR US 1357.1 
Prospera Financial Service, Inc. Dallas TX US 1382.8 
Gwn Securities Inc. Palm Beach Gardens FL US 1387.0 
Dupree & Company, Inc. Lexington KY US 1407.5 
Abner Herrman & Brock, LLC Jersey City NJ US 1457.1 
Wedbush Securities Inc. Los Angeles CA US 1466.8 
Millington Securities, Inc. Red Bank NJ US 1487.1 
Capital Advisors, Inc. Tulsa OK US 1552.3 
Wunderlich Securities, Inc. Memphis TN US 1561.9 
Next Financial Group, Inc. Houston TX US 1564.2 
Blue Vista Capital, LLC Chicago IL US 1640.6 
Synovus Securities, Inc. Columbus GA US 1710.4 
Td Private Client Wealth LLC New York NY US 1789.3 
United Planners Financial Service Of America A Limited Partner Scottsdale AZ US 1805.6 
Avondale Partners, LLC Nashville TN US 1809.3 
Cuso Financial Service, L.P. San Diego CA US 1811.6 
H. Beck, Inc. Bethesda MD US 1825.1 
Independent Financial Group, LLC San Diego CA US 1855.9 
Principal Securities, Inc. Des Moines IA US 1916.2 
Fieldpoint Private Securities LLC Greenwich CT US 1917.8 
Feldman, Ingardona & Co Downers Grove IL US 1928.2 
Hanys Benefit Service Rensselaer NY US 1948.5 
Geneos Wealth Management, Inc. Centennial CO US 2024.1 
Lincoln Financial Securities Corporation Fort Wayne IN US 2112.3 
Signator Investors, Inc. Boston MA US 2195.7 
Ameritas Investment Corporation Lincoln NE US 2296.3 
Citizens Securities, Inc. Dedham MA US 2379.1 
Summit Equities Inc Parsippany NJ US 2418.5 
Cliftonlarsonallen Wealth Advisors, LLC Minneapolis MN US 2426.9 
Kotak Mahindra uk Limited London UK 2443.8 
Ingalls & Snyder LLC New York NY US 2605.2 
Planmember Securities Corporation Carpinteria CA US 2637.6 
Gregory J. Schwartz & Co., Inc. Bloomfield Hills MI US 2650.3 
Investment Advisors Birmingham AL US 2683.5 
Peoples Securities, Inc. Bridgeport CT US 2729.3 
Reaves Asset Management Jersey City NJ US 2735.4 
First Financial Equity Corporation Scottsdale AZ US 2864.5 
Essex Financial Service, Inc. Essex CT US 2864.7 
Hsbc Securities usa Inc. New York NY US 2984.9 
Bosera Asset Management International Co., Limited Hong Kong HK 3028.1 
Stanford Group Company Houston TX US 3051.5 
Investment Centers Of America, Inc. Appleton WI US 3132.9 
Woodbury Financial Service, Inc. Oakdale MN US 3251.7 
Cadaret Grant & Co Inc Syracuse NY US 3474.6 
Bmo Capital Markets Corporation. New York NY US 4000.0 
Ftb Advisors, Inc. Memphis TN US 4123.0 
Belle Haven Investments, L.P. Rye Brook NY US 4157.6 
Benjamin F. Edwards & Company, Inc St. Louis MO US 4221.5 
Sii Investments, Inc. Appleton WI US 4225.9 
Invest Financial Corporation Tampa FL US 4432.3 
Gilder Gagnon Howe & Co. LLC New York NY US 4557.9 
Ubs Swiss Financial Advisers Zurich CZ 4896.0 
Prudential Financial Planning Service Newark NJ US 4930.5 
Wayne Hummer Investments LLC. Chicago IL US 4974.8 
U.s. Bancorp Investments, Inc. Saint Paul MN US 5065.1 
Sagepoint Financial, Inc. Phoenix AZ US 5164.7 
Kms Financial Service, Inc Seattle WA US 5173.9 
Royal Alliance Associates, Inc. New York NY US 5419.8 
Deutsche Bank Securities Inc. New York NY US 5523.9 
Sparx Asset Management Co., Limited. Tokyo 5610.7 
Guggenheim Funds Distributors, LLC Chicago IL US 5612.0 
Lincoln Investment Fort Washington PA US 5982.4 
Hefren-tillotson, Inc. Pittsburgh PA US 6161.0 
Fsc Securities Corporation Atlanta GA US 6203.1 
Putnam Investments Limited London UK 6335.9 
Park Avenue Securities LLC New York NY US 6646.1 
Morningstar Investment Service LLC Chicago IL US 6812.5 
J.J.B. Hilliard, W.l. Lyons, LLC Louisville KY US 7005.0 
Sanford C. Bernstein & Co., LLC New York NY US 7232.9 
Stephens Little Rock AR US 7281.2 
Franklin Templeton Investments asia Limited Hong Kong HK 7534.5 
Securian Financial Service, Inc. St Paul MN US 7655.3 
National Planning Corporation npc Of America In Fl & Ny El Segundo CA US 7810.8 
Geneva Advisors, LLC Chicago IL US 7825.3 
Eaton Vance Management International Limited London UK 8003.0 
Thrivent Investment Management Inc. Minneapolis MN US 8706.2 
Voya Financial Advisors, Inc. Des Moines IA US 9298.5 
Cetera Advisors LLC Denver CO US 9423.9 
Oppenheimer & Co. Inc. New York NY US 9634.9 
Axa Advisors, LLC New York NY US 9866.7 
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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