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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Asset Builders Corporation 0.0 
Hanson Mcclain Securities Sacramento CA US 0.0 
Macquarie Fund Advisers Pty Limited Sydney Nsw AU 0.0 
White, Weld & Co. Wealth Management Chicago IL US 0.0 
Franklin Templeton International Service S.a R.l. Luxembourg LU 0.0 
Primerica Advisors Duluth GA US 0.0 
Plan B Investments, Inc. Burbank CA US 0.0 
American Funds Distributors, Inc. Los Angeles CA US 0.0 
Usi Securities, Inc. Glastonbury CT US 0.0 
Mma Securities LLC New York NY US 0.0 
Courtney Retirement & Investment Service Alpena MI US 0.0 
Atlantic Equities LLP London UK 0.0 
Amp Capital Investors Limited Sydney Nsw AU 0.0 
Archer Capital Pty Limited Sydney, Nsw Au 0.0 
Canaccord Genuity Wealth Management Vancouver, Bc Ca 0.0 
Vorpahl Wing Securities Spokane WA US 1.2 
Weeden & Co.L.P. Greenwich CT US 0.0 
American Municipal Securities, Inc. St Petersburg FL US 0.0 
Blakeslee And Blakeslee Inc. San Luis Obispo CA US 0.0 
Maxwell Simon, Inc. Minneapolis MN US 0.0 
Mmc Securities LLC New York NY US 0.0 
Btg Pactual Europe LLP London UK 0.0 
The Gms Group, LLC Livingston NJ US 0.0 
The Baker Group, LP Oklahoma City OK US 0.0 
Kaiog Capital Partners Inc. Toronto CA 0.0 
Abd Retirement Service, Inc. San Francisco CA US 0.0 
John Navin Navidomskis Iv 2.8 
Mutual Of Omaha Investor Service, Inc. Omaha NE US 0.0 
American Trust Investment Service Advisory Whiting IN US 4.2 
Shields & Company, Inc. Waltham MA US 0.0 
Trinity Financial Group, LLC 0.0 
Pinnacle Advisors LLC Syracuse NY US 1.7 
Brooklight Place Securities, Inc. Downers Grove IL US 0.0 
Hart Asset Management 0.0 
Welhouse & Associates,Inc. Appleton WI US 4.8 
Cp Capital Securities, Inc. Miami FL US 0.0 
Advanced Strategies, Inc. 1.3 
Waveland Capital Partners LLC Irvine CA US 0.0 
Higgins Capital Management, Inc. La Jolla CA US 1.0 
C. G. Menk & Associates, Inc. Hanover MD US 0.0 
Plexus Financial Service, LLC Deer Park IL US 0.0 
James T. Borello & Co. East Dundee IL US 0.0 
Bernstein, Robert Jay 0.0 
Oda And Company, Inc. Medina OH US 0.0 
Hill Country Wealth Management 0.0 
CV Investment Advisors LLC West Conshohocken PA US 0.0 
Cocoon Investment Management Bloomington MN US 1.7 
Global Brokerage Service, Inc. Hunt Valley MD US 0.0 
Hamilton Cavanaugh & Associates, Inc. North White Plains NY US 2.1 
Convergex Execution Solutions LLC New York NY US 0.0 
Structured Capital Designs, Inc. Locust Valley NY US 0.0 
Green Street Advisors, LLC Newport Beach CA US 0.0 
Aaron Capital Inc Memphis TN US 3.0 
J.p. Morgan Clearing Corporation. New York NY US 0.0 
Efg - Hermes Uae Limited Dubai UA 0.0 
Pareto Project Finance Oslo NO 0.0 
Financial Investments, Inc. Herndon VA US 2.4 
Independent Investment Bankers Corporation. Austin TX US 0.0 
Associate Equity Group Irving TX US 0.0 
Cambria Capital LLC Salt Lake City UT US 0.8 
Capfi Partners, LLC Washington DC US 0.0 
Financial Northeastern Securities, Inc. Fairfield NJ US 0.0 
Apple Lane Advisory, LLC 0.0 
Jcp Securities, Inc. Irvine CA US 0.0 
Teri W. Bergstrom, Clu, LLC Austin TX US 0.0 
Maine Securities Corporation Portland, ME US 0.5 
Eqt Partners Asia Limited Hong Kong CN 0.0 
Beacon Capital Management, Inc. Hauppauge NY US 0.0 
Shamrock Israel Growth Fund Advisors Limited. Tel-aviv IL 0.0 
Dynasty Capital Management, Inc Englewood CO US 0.0 
Zelek & Associates Moultonborough NH US 0.0 
Macquarie Infrastructure And Real Assets europe Limited London UK 0.0 
Fairbridge Capital Partners Newport Beach CA US 0.0 
Care Capital, LLC Princeton NJ US 0.0 
Ofg Financial Service, Inc. Topeka KS US 2.9 
Freedom Investors Corporation. Brookfield WI US 1.8 
Vertex One Asset Management Inc. Vancouver, British Columbia CA 0.0 
Brazos Securities, Inc. Dallas TX US 4.4 
Palmetto Advisory 0.0 
Professional Broker-dealer Financial Planning, Inc. 0.7 
Cape Fear Securities, Inc. 0.0 
Strategic Stock Investments Inc 0.0 
Dorn & Co., Inc. Fergus Falls MN US 0.0 
Onyx Partners, Inc Las Vegas NV US 0.0 
Barings Australia Pty Limited Sydney Au 0.0 
Max Frost & Co., Inc. 0.0 
Cirrus Research, LLC Tarrytown NY US 0.0 
Needham & Company, LLC New York NY US 0.0 
Corinthian Partners Asset Management LLC New York NY US 0.0 
Marwood Group Research LLC New York NY US 0.0 
Courtlandt Wealth Management Irvine CA US 5.0 
Pursuit Capital Marketing, LLC Medfield MA US 0.0 
Grant Williams L.P. Philadephia PA US 0.0 
Cu Investment Solutions LLC Overland Park KS US 0.0 
J.h. Darbie & Co., Inc. New York NY US 0.0 
Kinsel Financial Advisors, LLC 0.0 
Mb & Associates 1.2 
Bny Mellon Investment Management Hong Kong Limited Hong Kong HK 0.0 
Cheetah Investment Management Limited Hong Kong HK 0.0 
Abraham & Co., Inc. 3.0 
Baldwin Investment Advisors, Inc. 2.0 
Merriman Wealth Advisors San Francisco CA US 0.0 
Access Capital Management, LLC Bethany OK US 3.7 
Ngc Financial, LLC Bayside NY US 0.1 
Principled Advisors, Inc. Staten Island NY US 0.0 
Integrity Capital Management 0.0 
Grail Partners San Francisco CA US 0.0 
Windham Capital Group, Inc. 0.0 
Northwest Investment Advisors, Inc Spokane WA US 4.7 
Chapin Hill Advisors Pound Ridge NY US 0.0 
Atlas Advisory Service Clearwater FL US 0.0 
Titan Securities Dallas TX US 0.0 
Tax + Investment Advisory Service Annapolis MD US 2.0 
Gbs Retirement Service, Inc. Itasca IL US 0.0 
Dba Seslia Securities St. Thomas VI US 3.0 
Bhirud Associates Inc Darien CT US 0.2 
The Kelt Group, LLC Santa Barbara CA US 4.1 
The Fig Group, LLC Dallas TX US 0.0 
Western Equity Group, Inc. Pleasant View TN US 0.0 
Federated Securities Corporation. Pittsburgh PA US 0.0 
Scottsdale Capital Advisors Corporation Scottsdale AZ US 0.0 
Elara Capital, Inc. New York NY US 0.0 
The Financial Advantage Company 0.0 
Lexington Investment Company, Inc. Lexington KY US 0.8 
Bley Investment Group, Inc. Fort Worth TX US 0.0 
R.w.pressprich & Co. New York NY US 0.0 
Shapaur Investments & Trust 0.0 
Financial Planning Group Inc. the Scotch Plains NJ US 2.5 
Geoffrey Richards Securities Corporation. Hypoluxo FL US 0.0 
Three Lakes Securities, LLC Madison WI US 0.0 
Blaylock Beal Van, LLC Oakland CA US 1.0 
Willis Securities, Inc. New York NY US 0.0 
Atb Securities Inc. Calgary CA 0.0 
Radnor Research & Trading Company LLC Berwyn PA US 0.0 
Redhawk Investment Advisors Bloomington MN US 0.0 
Guzman & Company Coral Gables FL US 0.0 
Cornerstone Financial Service, Inc. Greenfield IN US 0.0 
Great Nation Investment Corporation Amarillo TX US 0.0 
Arlington Securities 0.0 
Cooper Malone Mcclain, Inc. Wichita KS US 0.0 
Brill Securities, Inc. New York NY US 0.0 
Oak Tree Securities, Inc. Livermore CA US 4.6 
Raphael Aryeh And Associates Flushing NY US 4.4 
E-w Investment Counsel, A Division Of E-w Investments, Inc. San Gabriel CA US 0.5 
M&t Securities, Inc. Buffalo NY US 0.0 
Pacific Commonwealth Corporation Tiburon CA US 0.0 
Ni Advisors Oakland CA US 0.0 
Straus Capital, LLC Princeton Junction NJ US 0.0 
Europa Investment Bank Inc. Port Of Spain TT 0.0 
Polar Asset Management Partners Inc. Toronto CA 0.0 
Mutual Capital Partners Funds Westlake OH US 0.0 
Marwood Group New York NY US 0.0 
Allovest Advisory Service, LLC Huntington Beach CA US 0.0 
Barrett & Company Providence RI US 0.0 
Northwestern Mutual Investment Service,LLC Milwaukee WI US 0.0 
N M Rothschild & Sons Limited London UK 0.0 
Bazbaz LLC 0.0 
Petroff Institutional 0.0 
Archer Capital Growth Funds Pty Limited Sydney Au 0.0 
Kotak Mahindra International Limited Port Louis MU 0.0 
Rio Bravo Investimentos Dtvm LTDA. Sao Paulo BR 0.0 
Portia Advisors, LLC Albany NY US 0.0 
Wallis Advisors, LLC Albany NY US 0.0 
Edna Advisors, LLC Albany NY US 0.0 
Thomas Crown Capital, LLC Atlanta GA US 1.3 
Pacific Family Offices, LLC Santa Barbara CA US 0.0 
360playerexperience, LLC Atlanta GA US 0.0 
Aon Securities Inc. Chicago IL US 0.0 
National Financial Service, LLC Boston MA US 0.0 
Jeffrey Walter Heisey Fort Lauderdale FL US 0.0 
Lafise Securities Corporation Miami FL US 0.0 
Sunset Financial Service, Inc. Kansas City MO US 0.0 
Wealth Quarterback, LLC 0.0 
Orbis Investment Management Limited Hamilton BM 0.0 
Collins/bay Island Securities, LLC Newport Beach CA US 0.0 
Pinnacle Equity Management Inc St Louis MO US 0.0 
Coleridge Frost & Associates Inc Sarasota FL US 0.0 
J.v. Delaney & Associates 0.0 
Leumi Investment Service Inc. New York NY US 0.0 
First Republic Securities Company, LLC San Francisco CA US 0.0 
Higgins Associates Inc 2.0 
Colorado Financial Service Corporation Centennial CO US 4.4 
Caldwell International Securities 0.0 
Wells Nelson & Associates, LLC. Oklahoma OK US 0.0 
Montecito Advisors, Inc. Santa Barbara CA US 0.0 
Joseph Grace Holdings, Inc. New York NY US 0.0 
Lesko Securities, Inc. Binghamton NY US 1.4 
Multiple Financial Service, Inc. Irvine CA US 3.5 
Pension Fund Evaluations, Inc. Centereach NY US 0.0 
East Capital AB Stockholm SE 0.0 
Airacobra Capital Management, LLC Plano TX US 0.0 
Continuity Partners Group, LLC Fairfield IA US 0.0 
Msh Capital Advisors LLC Scottsdale AZ US 0.0 
Td Ameritrade, Inc. Omaha NE US 0.0 
Verum, LLC Waltham MA US 0.0 
Moloney Investment Advisory LLC Manchester MO US 0.0 
Pinebridge Investments Asia Limited Hong Kong HK 0.0 
Lloyds Bank PLC London UK 0.0 
West Face Capital Inc. Toronto CA 0.0 
Nomura Securities International, Inc. New York NY US 0.0 
Impactive Advisors LLC Nashville TN US 0.0 
First Allied Securities, Inc. San Diego CA US 0.0 
Hightower Financial Solutions LLC Chicago IL US 0.0 
Simmons And Company International Limited Aberdeen UK 0.0 
Supreme Alliance LLC 0.7 
Farmers Financial Solutions, LLC Agoura Hills CA US 0.0 
Neuberger Berman Bd LLC New York NY US 0.0 
Charles Schwab & Co., Inc. San Francisco CA US 0.0 
Nationwide Securities, LLC Grandview Heights OH US 0.0 
Horace Mann Investors, Inc. Springfield IL US 0.0 
Integrated Financial Planning Service Heidelberg DE 0.0 
           
 
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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