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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Moors & Cabot, Inc Boston MA US 1011.1 
Centaurus Financial, Inc. Anaheim CA US 1043.6 
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 
Advisors Asset Management, Inc. Monument CO US 1166.8 
Money Concepts Advisory Service Palm Beach Gardens FL US 1181.5 
Rothschild Investment Corporation Chicago IL US 1198.5 
Hornor, Townsend & Kent, Inc. Horsham PA US 1216.1 
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 
Key Investment Service LLC Brooklyn OH US 1259.5 
M. Griffith Investment Service, Inc. New Hartford NY US 1262.0 
Harbor Investment Advisory, LLC Lutherville MD US 1315.0 
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 
Dunham & Associates Investment Counsel, Inc. San Diego CA US 1383.2 
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 
Bolton Global Asset Management Bolton MA US 1491.4 
Wunderlich Securities, Inc. Memphis TN US 1561.9 
Next Financial Group, Inc. Houston TX US 1564.2 
Cuna Brokerage Service, Inc. Waverly IA US 1619.3 
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 
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 
Ameritas Investment Corporation Lincoln NE US 2296.3 
Cliftonlarsonallen Wealth Advisors, LLC Minneapolis MN US 2426.9 
H. Beck, Inc. Bethesda MD US 2428.1 
Kotak Mahindra uk Limited London UK 2443.8 
Summit Equities Inc Parsippany NJ US 2600.0 
Ingalls & Snyder LLC New York NY US 2605.2 
Gregory J. Schwartz & Co., Inc. Bloomfield Hills MI US 2650.3 
Reaves Asset Management Jersey City NJ US 2735.4 
Investment Advisors Birmingham AL US 2787.5 
Peoples Securities, Inc. Bridgeport CT US 2810.1 
Citizens Securities, Inc. Dedham MA US 2822.9 
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 
Planmember Securities Corporation Carpinteria CA US 3150.0 
Woodbury Financial Service, Inc. Oakdale MN US 3251.7 
Investment Centers Of America, Inc. Appleton WI US 3545.4 
Cadaret Grant & Co Inc Syracuse NY US 3576.1 
Bmo Capital Markets Corporation. New York NY US 4000.0 
Invest Financial Corporation Tampa FL US 4070.8 
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 4281.2 
Gilder Gagnon Howe & Co. LLC New York NY US 4557.9 
Ubs Swiss Financial Advisers Zurich CZ 4871.6 
Wayne Hummer Investments LLC. Chicago IL US 4974.8 
U.s. Bancorp Investments, Inc. Saint Paul MN US 5065.1 
Prudential Financial Planning Service Newark NJ US 5161.2 
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 
Signator Investors, Inc. Boston MA US 5537.6 
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 
J.J.B. Hilliard, W.l. Lyons, LLC Louisville KY US 7005.0 
Park Avenue Securities LLC New York NY US 7228.2 
Franklin Templeton Investments asia Limited Hong Kong HK 7534.5 
Securian Financial Service, Inc. St Paul MN US 7655.3 
Stephens Little Rock AR US 7764.9 
National Planning Corporation npc Of America In Fl & Ny El Segundo CA US 7810.8 
Geneva Advisors, LLC Chicago IL US 7825.3 
Sanford C. Bernstein & Co., LLC New York NY US 7931.6 
Eaton Vance Management International Limited London UK 8003.0 
Morningstar Investment Service LLC Chicago IL US 8489.5 
Thrivent Investment Management Inc. Minneapolis MN US 8706.2 
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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