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Registered Broker Dealer
Firm Name City State Country Assets ($M) 
D.a. Davidson & Co. Great Falls MT US 11806.7 
Dale Buckner, Inc. Dba Dale Buckner And Asset Planning Group Amarillo TX US 84.2 
Darcy & Co., Inc. Syracuse NY US 16.1 
Davenport & Company LLC Richmond VA US 8440.8 
David A. Noyes & Company Chicago IL US 500.6 
Davinci Capital Management Inc. Cambridge MA US 18.1 
Dba Seslia Securities St. Thomas VI US 3.0 
Dempsey Lord Smith, LLC Rome GA US 58.9 
Destiny Capital Corporation Golden CO US 219.8 
Deutsche Bank Securities Inc. New York NY US 5523.9 
Dfpg Investments, Inc. Sandy UT US 95.0 
Directed Service LLC Scottsdale AZ US 36658.2 
Diversified Resources, LLC Warwick RI US 109.5 
Dominick & Dominick LLC New York NY US 371.7 
Dorn & Co., Inc. Fergus Falls MN US 0.0 
Dorsey & Company Inc. New Orleans LA US 426.9 
Dougherty & Company LLC Minneapolis MN US 101.7 
Duncan-williams, Inc. Memphis TN US 91.0 
Dunham & Associates Investment Counsel, Inc. San Diego CA US 1173.7 
Dupree & Company, Inc. Lexington KY US 1423.0 
Dynasty Capital Management, Inc Englewood CO 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:

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