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.
View Demo
 
Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Jensen Capital Asset Management Solana Beach CA US 0.0 
Hanson Mcclain Securities Sacramento CA US 0.0 
Macquarie Fund Advisers Pty Limited Sydney Nsw AU 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 
Farmers Financial Solutions, LLC Agoura Hills CA USA 0.0 
Mma Securities LLC New York NY US 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 
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 
Abd Retirement Service, Inc. San Francisco CA USA 0.0 
Mmc Securities LLC New York NY US 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 
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 
Pinnacle Advisors LLC Syracuse NY US 1.7 
Paramus Investments LLC Paramus NJ US 1.0 
Cp Capital Securities, Inc. Miami FL US 0.0 
Higgins Capital Management, Inc. La Jolla CA US 1.0 
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 
Cocoon Investment Management Bloomington MN US 1.7 
Global Brokerage Service, Inc. Hunt Valley MD US 0.0 
Structured Capital Designs, Inc. Locust Valley NY US 0.0 
Aaron Capital Inc Memphis TN US 3.0 
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 
Jcp Securities, Inc. Irvine CA 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 
Zelek & Associates Moultonborough NH US 0.0 
Macquarie Infrastructure And Real Assets europe Limited London UK 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 
Btg Pactual Europe LLP London UK 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 
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 
Principled Advisors, Inc. Staten Island NY USA 0.0 
Marwood Group Research LLC New York NY US 0.0 
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 
Mb & Associates 1.2 
Cheetah Investment Management Limited Hong Kong HK 0.0 
Abraham & Co., Inc. 3.0 
Merriman Wealth Advisors San Francisco CA US 0.0 
Ngc Financial, LLC Bayside NY US 0.1 
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 
Oceanic Partners, Inc. Mill Valley CA 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 
Atb Securities Inc. Calgary CA 0.0 
Western Equity Group, Inc. Pleasant View TN US 0.0 
Scottsdale Capital Advisors Corporation Scottsdale AZ US 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 
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 
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 
Arlington Securities 0.0 
Cooper Malone Mcclain, Inc. Wichita KS 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 
Marwood Group New York NY 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 
Archer Capital Growth Funds Pty Limited Sydney Au 0.0 
Supreme Alliance LLC 0.7 
Kotak Mahindra International Limited Port Louis MU 0.0 
Rio Bravo Investimentos Dtvm LTDA. Sao Paulo BR 0.0 
First Allied Securities, Inc. San Diego CA USA 0.0 
Aon Securities Inc. Chicago IL US 0.0 
Croft & Bender, LP Atlanta GA USA 0.0 
Jeffrey Walter Heisey Fort Lauderdale FL US 0.0 
Lafise Securities Corporation Miami FL US 0.0 
Msh Capital Advisors LLC Scottsdale AZ USA 0.0 
Joseph Stone Wealth Management LLC Mineola NY US 0.0 
Nationwide Securities, LLC Grandview Heights OH USA 0.0 
Orbis Investment Management Limited Hamilton BM 0.0 
Kitsune Advisors 0.0 
Collins/bay Island Securities, LLC Newport Beach CA 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 
Colorado Financial Service Corporation Centennial CO US 4.4 
Wells Nelson & Associates, LLC. Oklahoma OK US 0.0 
Joseph Grace Holdings, Inc. New York NY US 0.0 
Multiple Financial Service, Inc. Irvine CA US 3.5 
East Capital AB Stockholm SE 0.0 
Airacobra Capital Management, LLC Plano TX US 0.0 
Verum, LLC Waltham MA US 0.0 
Lloyds Bank PLC London UK 0.0 
Nomura Securities International, Inc. New York NY US 0.0 
Hightower Financial Solutions LLC Chicago IL US 0.0 
Pension Fund Evaluations, Inc. Centereach NY USA 0.0 
Starboard Capital Partners, LLC Southport CT US 0.0 
Td Ameritrade, Inc. Omaha NE USA 0.0 
Simmons And Company International Limited Aberdeen UK 0.0 
Neuberger Berman Bd LLC New York NY US 0.0 
Atlantic Equities LLP London UK 0.0 
Charles Schwab & Co., Inc. San Francisco CA US 0.0 
Horace Mann Investors, Inc. Springfield IL US 0.0 
Integrated Financial Planning Service Heidelberg DE 0.0 
Somerset Wealth Management, LLC Portland OR US 0.0 
Pleso Capital Group, Inc. 0.0 
Bci Securities, Inc. Miami FL US 0.0 
Sovereign Global Advisors, LLC Melville NY US 0.0 
Church Capital, LLC 0.0 
Jmg Securities, LLC New York NY US 0.0 
Turning Point Analytics, LLC 0.0 
Innovationskapital /innkap Gothenburg SE 0.0 
Mutual Capital Partners Funds Westlake OH US 0.0 
West Face Capital Inc. Toronto CA 0.0 
Seaport Asset Management, LLC New York City NY US 0.0 
Efg - Hermes Uae Limited Dubai UAE 0.0 
Pinebridge Investments Asia Limited Hong Kong HK 0.0 
New Leaf Capital, LLC Denver CO US 0.0 
Vista Point Advisors, LLC San Francisco CA US 0.0 
Continuity Partners Group, LLC Fairfield IA US 0.0 
Hub International Investment Service Inc. hiis Westlake Village CA US 0.0 
Avendus Capital, Inc. New York NY US 0.0 
Key West Investments, LLC San Gabriel CA US 5.0 
Fairway Investment Group, LLC East Lansing MI US 4.4 
Sabadell Securities Usa, Inc. Miami FL US 0.0 
Mentor Securities, LLC Westlake Village CA US 0.0 
Intellivest Securities, Inc. 0.0 
Stonehurst Securities, Inc. Folsom CA US 0.0 
Tessera Capital Partners, LLC Penfield NY US 0.0 
Investment Network, Inc. Canton OH US 0.0 
Old Greenwich Partners, LLC 0.0 
Growth Capital Service, Inc. San Francisco CA US 0.0 
Monarch Capital Group, LLC New York NY US 0.0 
Washington Securities Corporation Chevy Chase MD US 0.0 
Florida Atlantic Securities Corporation. Miami FL US 0.0 
Loop Capital Markets LLC Chicago IL US 0.0 
Southeast Investments, N.c., Inc. Charlotte NC US 0.0 
Kun-lun DEVE Corporation 0.2 
Amerivet Securities, Inc. Moreno Valley CA US 0.0 
Mirae Asset Securities usa Inc. New York NY US 0.0 
Capital Portfolio Management, Inc. Timonium MD US 1.7 
Cantone Research Inc. Tinton Falls NJ US 0.0 
Executive Service Securities, LLC Atlanta GA US 0.0 
Cws Investments Newport Beach CA US 0.0 
First State Financial Management Farmington MO US 0.1 
James L. Finefrock And Associates Corporation. Phoenix AZ US 0.0 
First Financial Securities Of America, Inc. Houston TX US 0.0 
National Financial Service, LLC Boston MA US 0.0 
Crews & Associates, Inc. Little Rock AR US 2.1 
Federated Securities Corporation. Pittsburgh PA US 0.0 
Ashton Young, Inc. Bloomfield Hills MI US 0.0 
Quincy Cass Associates, Inc. Los Angeles CA US 0.0 
Carl M. Hennig, Inc. Milwaukee WI US 0.0 
1st Financial Investment, Inc. Clarks Summit PA US 3.0 
Liberty Centre Capital Management, LLC North Liberty IA US 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

Find a Registered Broker-Dealer
Search the www.brokerdealerfirms.com 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 http://www.brokerdealerfirms.com/download.php

Other Relevant Information
Search SEC-registered hedge funds: http://www.privateequityinfo.com/hedge-funds.php Search Registered Investment Advisors (RIAs): http://www.investmentadvisorsearch.com/index.php



DISCLAIMER
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