broker dealer firms Powered By Private Equity Info 
Home Download Data Links Contact Us Broker Dealer Firms is a compilation of SEC registered broker dealer.
download Private Equity Firms
Sorted by industry and
acquisition criteria.
Registered Broker Dealer
Firm Name City State Country Assets ($M) 
Rogan & Associates Safety Harbor FL US 250.1 
Curbstone Financial Management Corporation. Manchester NH US 261.2 
Taylor Securities, Inc. Brentwood TN US 261.2 
Keidan Financial Consultants LLC Columbus OH US 261.6 
Usa Financial Securities Corporation Ada MI US 262.3 
Cullen Asset Management Lafayette LA US 262.4 
Harbor Financial Service, LLC Mobile AL US 262.8 
Searle & Co. Greenwich CT US 275.6 
Levy, Harkins & Co., Inc. New York NY US 278.4 
Wellington Shields & Co., LLC New York NY US 278.5 
Hilltop Securities Independent Network Inc. Dallas TX US 279.5 
Signal Securities, Inc. Fort Worth TX US 282.9 
Consolidated Investment Advisors Charlotte NC US 284.2 
Fiduciary Advisors, LLC Philadelphia PA US 284.6 
Coburn & Meredith, Inc. Simsbury CT US 286.0 
Cowen Prime Advisors New York NY US 286.4 
Westminster Financial Advisory Corporation Dayton OH US 294.4 
Janus Capital Singapore Pte. Limited Singapore SG 297.5 
Npa Asset Management, LLC Paramus NJ US 303.8 
Puplava Financial Service Inc San Diego CA US 312.0 
Lara, May & Associates, LLC Falls Church VA US 322.3 
Midwestern Securities Trading Co.,LLC East Peoria IL US 324.0 
Leader Capital Corporation. Portland OR US 326.5 
Access Financial Group, Inc. Chicago IL US 327.3 
Hancock Investment Service, Inc. New Orleans LA US 329.8 
Thurston, Springer, Miller, Herd & Titak, Inc. Indianapolis IN US 331.1 
Client One Securities LLC Leawood KS US 331.2 
Pinnacle Investments, LLC Syracuse NY US 331.3 
Monongahela Capital Management Harmony PA US 331.9 
Bcg Securities, Inc. Cherry Hill NJ US 338.7 
American Investors Co San Ramon CA US 340.6 
Commerce Brokerage Service, Inc Clayton MO US 346.4 
Signature Securities Group Corporation. New York NY US 355.7 
Aegis Capital Corporation. New York NY US 369.1 
Lafayette Investments, Inc. Ashton MD US 378.2 
Centennial Securities Company Inc Grand Rapids MI US 379.5 
Sycamore Financial Group Kokomo IN US 379.6 
Loeb Partners Corporation New York NY US 381.1 
Bft Financial Group, LLC Bedford TX US 389.9 
World Trend Financial Planning Service, Limited. Cedar Rapids IA US 393.6 
Piper Jaffray & Co. Minneapolis MN US 393.8 
Associated Investment Service, Inc. Green Bay WI US 404.7 
Moloney Securities Asset Management LLC Manchester MO US 407.3 
B. C. Ziegler And Company Chicago IL US 412.3 
Ek Riley Investments, LLC Seattle WA US 426.1 
Dorsey & Company Inc. New Orleans LA US 426.9 
Truenorth, Inc. Wichita KS US 427.1 
Northeast Asset Management, Inc. Mitchel Field NY US 429.5 
Mercantil Commercebank Investement Service, Inc. Coral Gables FL US 445.1 
Npb Financial Group, LLC Burbank CA US 450.0 
Steben & Company, Inc. Gaithersburg MD US 459.9 
Ross, Sinclaire & Associates, LLC Cincinnati OH US 465.6 
Lombard Odier Transatlantic Limited Montreal CA 477.5 
Madison Avenue Securities, LLC San Diego CA US 485.0 
World Equity Group, Inc. Arlington Heights IL US 491.2 
Fsic Edmonds WA US 497.3 
Ohanesian / Lecours, Inc. West Hartford CT US 500.0 
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:

Find a Registered Broker-Dealer
Search the directory using either:
  • Search broker-dealers alphabetically
  • Search broker-dealers by state
  • Search broker-dealers by assets under management
Download Broker-Dealer Firms
To order a download-to-Excel file of broker-dealer firms, visit

Other Relevant Information
Search SEC-registered hedge funds: Search Registered Investment Advisors (RIAs):

This website is for informational purposes only and is not to be construed as a solicitation or an offer to buy or sell any securities or related financial instruments nor an endorsement of any particular investment advisor firm or individual.

No warranty or guarantee of any kind, expressed or implied, is given regarding the accuracy, reliability, veracity, or completeness of the information provided here or by following links from this or any other page within this site, and under no circumstances will the author or service provider be held responsible, or liable for errors, or omissions resulting in any loss or damage caused or alleged to be caused by information contained in the material presented on the site, including but not limited to direct, indirect, incidental, special or consequential damages caused by using the information.

Home | Download Data | Links | Contact Us

©2011- PEI Services Ltd. All Rights Reserved. Terms and Conditions