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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Aaron Capital Inc Memphis TN US 3.0 
Abd Retirement Service, Inc. San Francisco CA US 0.0 
Abner Herrman & Brock, LLC Jersey City NJ US 1457.1 
Abraham & Co., Inc. 3.0 
Aca/prudent Investors Planning Corporation Green Brook NJ US 139.1 
Access Financial Group, Inc. Chicago IL US 327.3 
Accrued Equities Inc. Melville NY US 181.7 
Advanced Advisor Group, LLC Cambridge MN US 6.8 
Advanced Strategies Inc. Huron OH US 14.7 
Advice And Planning Service New York NY US 21672.5 
Advisors Asset Management, Inc. Monument CO US 1166.8 
Aegis Capital Corporation. New York NY US 369.1 
Airacobra Capital Management, LLC Plano TX US 0.0 
Akar Capital Management, Inc. Plantation FL US 26.9 
Alamo Capital Walnut Creek CA US 37.0 
Alexander Investment Service Co. Louisville KY US 162.9 
Alexander Labrunerie & Co., Inc. Columbia MO US 118.8 
Allegheny Investments, Limited. Pittsburgh PA US 208.5 
Allen & Company Of Florida, Inc. Lakeland FL US 714.7 
Alliance Advisory & Securities, Inc Westlake Village CA US 208.2 
Alliant Securities, Inc. Turner, Nord, Kienbaum Liberty Lake WA US 50.0 
Alphasource Advisors LLC New York NY US 6.8 
American Capital Management, Inc. New Albany IN US 18.8 
American Funds Distributors, Inc. Los Angeles CA US 0.0 
American Independent Securities Group, LLC Eagle ID US 130.1 
American Investors Co San Ramon CA US 340.6 
American Investors Group, Inc. Minnetonka MN US 47.5 
American Municipal Securities, Inc. St Petersburg FL US 0.0 
American Trust Investment Service Advisory Whiting IN US 4.2 
American Wealth Management, Inc. Atlanta GA US 152.6 
Ameriprise Financial Service, Inc. Minneapolis MN US 198002.7 
Ameritas Investment Corporation Lincoln NE US 2296.3 
Amerivet Securities, Inc. Moreno Valley CA US 0.0 
Amp Capital Investors Limited Sydney Nsw AU 0.0 
Andrew Garrett, Inc. New York NY US 45.3 
Aon Securities Inc. Chicago IL US 0.0 
APS Associates Jackson CA US 75.0 
Archer Capital Growth Funds Pty Limited Sydney Au 0.0 
Archer Capital Pty Limited Sydney, Nsw Au 0.0 
Arete Wealth Advisors, LLC Chicago IL US 808.3 
Arlington Securities 0.0 
Arque Capital, Limited. Scottsdale AZ US 18.7 
Arvest Wealth Management Lowell AR US 1357.1 
Ashton Young, Inc. Bloomfield Hills MI US 0.0 
Asia Pacific Financial Management Group, Inc. Hagatna GU 100.8 
Associate Equity Group Irving TX US 0.0 
Associated Investment Service, Inc. Green Bay WI US 404.7 
Atb Securities Inc. Calgary CA 0.0 
Atis Highland IN US 15.2 
Atlantic Equities LLP London UK 0.0 
Ausdal Financial Partners, Inc. Davenport IA US 777.3 
Avendus Capital, Inc. New York NY US 0.0 
Avondale Partners, LLC Nashville TN US 1809.3 
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: www.adviserinfo.sec.gov

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Other Relevant Information
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