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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
C. G. Menk & Associates, Inc. Hanover MD US 0.0 
Cadaret Grant & Co Inc Syracuse NY US 3474.6 
Caldwell International Securities 0.0 
Caldwell Securities, Inc Sausalito CA US 165.0 
California Capital Management North Hollywood CA US 163.3 
Callaway Financial Service Arlington TX US 16.7 
Calton & Associates, Inc. Tampa FL US 714.9 
Cambria Capital LLC Salt Lake City UT US 0.8 
Cambridge Place Collateral Management LLC Concord NH US 368.0 
Canaccord Genuity Wealth Management Vancouver, Bc Ca 0.0 
Cantella & Co., Inc. Boston MA US 940.4 
Cape Fear Securities, Inc. 0.0 
Capfi Partners, LLC Washington DC US 0.0 
Capital Advisors, Inc. Tulsa OK US 1552.3 
Capital Financial Service, Inc. Minot ND US 142.0 
Capital Management Associates Inc Minneapolis MN US 652.5 
Capital Securities Advisory Service Oak Brook IL US 10.0 
Capitol Securities Management, Inc. Glen Allen VA US 538.7 
Captrust Financial Advisors Or captrust Raleigh NC US 116235.2 
Care Capital, LLC Princeton NJ US 0.0 
Carl P. Sherr & Co., LLC Worcester MA US 166.0 
Carolinas Investment Consulting LLC Charlotte NC US 1063.0 
Cascade Financial Management, Inc. Denver CO US 226.0 
Cascade Investment Group, Inc. Colorado Springs CO US 215.2 
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 392.7 
Cetera Advisor Networks LLC El Segundo CA US 16790.8 
Cetera Advisors LLC Denver CO US 9423.9 
Cetera Investment Service LLC St Cloud MN US 1193.3 
Cfs Wealth Management Macon GA US 75.2 
Chapin Davis Asset Management Baltimore MD US 1048.3 
Chapin Hill Advisors Pound Ridge NY US 0.0 
Charles Schwab & Co., Inc. San Francisco CA US 0.0 
Charter Capital Management, Inc Wauwatosa WI US 142.6 
Cheetah Investment Management Limited Hong Kong HK 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 2379.1 
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 
Cleary Gull Inc. Milwaukee WI US 1000.5 
Cleveland Hauswirth Investment Management, Inc. Milwaukee WI US 208.0 
Client One Securities LLC Leawood KS US 262.6 
Cliftonlarsonallen Wealth Advisors, LLC Minneapolis MN US 2426.9 
Cnbs Overland Park KS US 1125.7 
Coburn & Meredith, Inc. Simsbury CT US 286.0 
Cocoon Investment Management Bloomington MN US 1.7 
Coker & Palmer Jackson MS US 132.8 
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 
Constellation Wealth Advisors LLC New York NY US 6180.6 
Continental Investors Service, Inc. Longview WA US 12.1 
Continuity Partners Group, LLC Fairfield IA US 0.0 
Convergex Execution Solutions LLC New York NY 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 
Courtlandt Wealth Management Irvine CA US 5.0 
Courtney Retirement & Investment Service Alpena MI US 0.0 
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 135.3 
Cresap, Inc. Radnor PA US 120.0 
Crescent Capital Group LP Los Angeles CA US 17906.8 
Cri Securities, LLC St.paul MN US 828.5 
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 1331.4 
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 
CV Investment Advisors LLC West Conshohocken PA 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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