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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Cadaret Grant & Co Inc Syracuse NY US 3576.1 
Caldwell Securities, Inc Sausalito CA US 165.0 
California Capital Management North Hollywood CA US 163.3 
Calton & Associates, Inc. Tampa FL US 714.9 
Cambria Capital LLC Salt Lake City UT US 0.8 
Canaccord Genuity Wealth Management Vancouver, Bc Ca 0.0 
Cantella & Co., Inc. Boston MA US 940.4 
Cantone Research Inc. Tinton Falls NJ US 0.0 
Cape Fear Securities, Inc. 0.0 
Capfi Partners, LLC Washington DC US 0.0 
Capital City Asset Management Group, LLC Columbus OH US 35.8 
Capital Financial Service, Inc. Minot ND US 142.0 
Capital Management Associates Inc Minneapolis MN US 652.5 
Capital Portfolio Management, Inc. Timonium MD US 1.7 
Capital Synergy Partners Newport Beach CA US 35.7 
Capitol Securities Management, Inc. Glen Allen VA US 538.7 
Carl M. Hennig, Inc. Milwaukee WI US 0.0 
Carl P. Sherr & Co., LLC Worcester MA US 166.0 
Carolinas Investment Consulting LLC Charlotte NC US 1063.0 
Carter, Terry & Company, Inc. Atlanta GA US 63.7 
Cascade Financial Management, Inc. Denver CO US 226.0 
Cascade Investment Group, Inc. Colorado Springs CO US 226.0 
Cbiz Retirement Plan Advisory Service Cleveland OH US 11331.9 
Centaurus Financial, Inc. Anaheim CA US 1043.6 
Centennial Securities Company Inc Grand Rapids MI US 379.5 
Centerpoint Advantage, LLC Jackson MS US 27.2 
Central States Capital Markets, LLC Prairie Village KS US 19.8 
Century Securities Associates Inc St Louis MO US 572.2 
Cetera Advisor Networks LLC El Segundo CA US 15297.8 
Cetera Advisors LLC Denver CO US 10963.5 
Cfs Wealth Management Macon GA US 75.2 
Chapin Davis Asset Management Baltimore MD US 199.5 
Charles Schwab & Co., Inc. San Francisco CA US 0.0 
Charter Capital Management, Inc Wauwatosa WI US 142.6 
Charter Oak Asset Management, Inc. Cheshire CT US 53.1 
Cheetah Investment Management Limited Hong Kong HK 0.0 
Church Capital, LLC 0.0 
Churchill Financial, LLC Louisville KY US 6.3 
Cirrus Research, LLC Tarrytown NY US 0.0 
Citigroup Global Markets Inc. New York NY US 22285.3 
Citizens Securities, Inc. Dedham MA US 2822.9 
City National Securities, Inc. Beverly Hills CA US 734.3 
City Securities Corporation Indianapolis IN US 949.1 
Clary Financial, Inc. So. Easton MA US 36.8 
Cleveland Hauswirth Investment Management, Inc. Milwaukee WI US 208.0 
Client One Securities LLC Leawood KS US 331.2 
Cliftonlarsonallen Wealth Advisors, LLC Minneapolis MN US 2426.9 
Coburn & Meredith, Inc. Simsbury CT US 286.0 
Cocoon Investment Management Bloomington MN US 1.7 
Coker & Palmer Jackson MS US 150.8 
Coleridge Frost & Associates Inc Sarasota FL US 0.0 
Collins/bay Island Securities, LLC Newport Beach CA US 0.0 
Colorado Financial Service Corporation Centennial CO US 4.4 
Comerica Securities Detroit MI US 920.0 
Commerce Brokerage Service, Inc Clayton MO US 346.4 
Commonwealth Financial Network Waltham MA US 52072.8 
Communityamerica Financial Solutions, LLC Lenexa KS US 100.7 
Compass Capital Corporation Braintree MA US 170.0 
Conley Capital Group Eugene OR US 58.5 
Conning Investment Products, Inc. Hartford CT US 586.0 
Conover Securities Corporation Bellevue WA US 14.4 
Consolidated Investment Advisors Charlotte NC US 284.2 
Continental Investors Service, Inc. Longview WA US 12.1 
Continuity Partners Group, LLC Fairfield IA US 0.0 
Cooper Malone Mcclain, Inc. Wichita KS US 0.0 
Coordinated Capital Securities, Inc. Madison WI US 88.4 
Core Alpha, Inc. Rochester NY US 36.5 
Corinthian Partners Asset Management LLC New York NY US 0.0 
Cornerstone Financial Service, Inc. Greenfield IN US 0.0 
Correll Co. Investment Service Corporation. Hickory Hills IL US 165.1 
Country Club Financial Service, Inc. Kansas City MO US 41.2 
Cowen Prime Advisors New York NY US 286.4 
Cp Capital Securities, Inc. Miami FL US 0.0 
Credit Suisse Securities usa LLC New York NY US 168.3 
Cresap, Inc. Radnor PA US 156.3 
Crescent Capital Group LP Los Angeles CA US 17906.8 
Crews & Associates, Inc. Little Rock AR US 2.1 
Cri Securities, LLC St.paul MN US 970.5 
Croft & Bender, LP Atlanta GA US 0.0 
Crown Capital Securities, L.P. Orange CA US 562.2 
Cu Investment Solutions LLC Overland Park KS US 0.0 
Cullen Asset Management Lafayette LA US 262.4 
Cuna Brokerage Service, Inc. Waverly IA US 1619.3 
Curbstone Financial Management Corporation. Manchester NH US 261.2 
Cuso Financial Service, L.P. San Diego CA US 1811.6 
Cutter & Company, Inc. Ballwin MO US 562.6 
Cw Securities, LLC Knoxville TN US 13.8 
Cws Investments Newport Beach CA 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

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