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Firm Name City State Country Assets ($M) 
Kcd Financial, Inc. Depere WI US 20.9 
Jacques Advisors, LLC 21.4 
Intercarolina Financial Service, Inc. Greensboro NC US 22.3 
1st Discount Brokerage, Inc. Lake Worth FL US 22.9 
Sorsby Financial Corporation Chicago IL US 23.0 
Investors Brokerage Of Texas, Limited. Waco TX US 23.0 
Mha Financial Corporation 23.0 
Mkg Financial Group, Inc. Portland OR US 23.2 
Heritage Benefits Investment Management, LLC Bellevue WA US 23.4 
Silicon Valley Securities, Inc. San Jose CA US 23.6 
United Brokers S.a. agente De Valores Montevideo UY 23.6 
J.v.b. Investment Company Jackson MI US 23.8 
R & R Financial Planners, Inc. East Meadow NY US 23.9 
Pen Facs Financial Service 24.2 
Pts Brokerage, LLC Mt. Laurel NJ US 24.2 
Bodell Overcash Anderson & Co., Inc. Jamestown NY US 24.5 
First Western Securities, Inc. Hurst TX US 25.0 
Millington Financial Advisors, LLC Naperville IL US 25.3 
Stark Financial Advisers, Inc. Delray Beach FL US 25.4 
Wesbanco Securities, Inc. St Clairsville OH US 25.8 
Liberty Capital Portland OR US 26.4 
Sovereign Legacy, Inc. 26.7 
Ibn Financial Service, Inc Liverpool NY US 26.7 
Akar Capital Management, Inc. Plantation FL US 26.9 
Centerpoint Advantage, LLC Jackson MS US 27.2 
V.m. Manning & Co., Inc. Greenville SC US 27.7 
Long View Financial Service, Inc 29.6 
National Pension & Group Consultants, Inc. Kansas City MO US 30.8 
Hermes Econometrics San Rafael CA US 31.0 
Benjamin Securities, Inc. Hauppauge NY US 31.5 
Integrated Investment Strategies,Inc. Carmel IN US 32.0 
Harold Dance Investments Logan UT US 32.0 
Silber Bennett Financial, Inc. Encino CA US 32.2 
Pflueger & Baerwald Inc. San Francisco CA US 32.2 
Lifemark Securities Corporation. Rochester NY US 32.6 
R. F. Lafferty & Co., Inc. New York NY US 33.0 
Teckmeyer Financial Service, LLC. Omaha NE US 33.1 
Trendz Advisors Knoxville TN US 33.6 
Repex Investment Management Co., Inc. Closter NJ US 34.0 
Huckin Financial Group, Inc. Houston TX US 34.7 
Quest Capital Strategies, Inc. Lake Forest CA US 35.0 
Martin Nelson & Co., Inc. Seattle WA US 35.0 
Securities Research, Inc Vero Beach FL US 35.2 
Capital Synergy Partners Newport Beach CA US 35.7 
Great American Advisors, Inc. Cincinnati OH US 36.1 
Core Alpha, Inc. Rochester NY US 36.5 
Gold Coast Securities, Inc. Thousand Oaks CA US 36.8 
Clary Financial, Inc. So. Easton MA US 36.8 
Independence Capital Co., Inc. Parma OH US 36.8 
Infinity Financial Service Oakland CA US 37.0 
Alamo Capital Walnut Creek CA US 37.0 
Sizemore Capital Management, LLC Dallas TX US 37.1 
Peachtree Capital Corporation Inc. Atlanta GA US 37.2 
Tryon Investments, LLC North Liberty IA US 37.5 
Union Capital Company Tucson AZ US 38.0 
Brown, Lisle/cummings, Inc Providence RI US 39.2 
Veritas Independent Partners, LLC Conway AR US 39.6 
Renaissance Advisory Group Bryn Mawr PA US 40.0 
Bennington Financial Planning Group Bennington VT US 40.0 
Country Club Financial Service, Inc. Kansas City MO US 41.2 
Lowell Wealth Management Lubbock TX US 41.3 
Bryan Advisory Service, LLC Canonsburg PA US 42.0 
Nafa Capital Markets, LLC Oklahoma City OK US 42.0 
Gramercy Park Wealth Advisors, LLC Nashville TN US 42.8 
Kornfield Investment Management Lancaster PA US 43.0 
Uhlmann Investment Management, LLC Chicago IL US 43.0 
Potomac Investment Company 43.2 
Gradient Wealth Management Arden Hills MN US 43.4 
Trustfirst Inc. Knoxville TN US 43.6 
E. Magnus Oppenheim & Co. Inc. New York NY US 43.8 
Quayle Financial Group, LLC Grand Blanc MI US 44.1 
Planned Investment Co., Inc. Indianapolis IN US 44.9 
The J. Arnold Wealth Management Co., LLC Canfield OH US 45.0 
Andrew Garrett, Inc. New York NY US 45.3 
Harvest Financial Corporation Pittsburgh PA US 45.5 
Milestone Investments, Inc. Charlotte NC US 46.0 
Sound Financial Management, Inc. Raleigh NC US 46.7 
Wilmington Capital Securities, LLC Garden City NY US 47.1 
Richards, Merrill & Peterson, Inc. Spokane WA US 47.3 
American Investors Group, Inc. Minnetonka MN US 47.5 
Mirae Asset Wealth Management usa Inc. Los Angeles CA US 49.1 
Marsden Capital Management, LLC. Erie PA US 49.5 
Bestvest Investments, Limited. Media PA US 49.5 
Alliant Securities, Inc. Turner, Nord, Kienbaum Liberty Lake WA US 50.0 
Bmo Nesbitt Burns Securities Limited. Toronto, Ontario CA 50.0 
           
 
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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