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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Fairbridge Capital Partners Newport Beach CA US 0.0 
Farmers Financial Solutions, LLC Agoura Hills CA US 0.0 
Fcg Wealth Management, LLC Chatham NJ US 633.7 
Federated Securities Corporation. Pittsburgh PA US 0.0 
Feldman, Ingardona & Co Downers Grove IL US 1928.2 
Feltl Advisors Minneapolis MN US 93.8 
Fiduciary Advisors, LLC Philadelphia PA US 284.6 
Fieldpoint Private Securities LLC Greenwich CT US 1917.8 
Fifth Third Securities, Inc. Cincinnati OH US 813.1 
Fig Partners, LLC Atlanta GA US 73.0 
Financial Investments, Inc. Herndon VA US 2.4 
Financial Northeastern Securities, Inc. Fairfield NJ US 0.0 
Financial Planning Group Inc. the Scotch Plains NJ US 2.5 
Financial Telesis, Inc. San Rafael CA US 324.2 
Financial West Group Westlake Village CA US 654.0 
Fintegra, LLC Minneapolis MN US 31.0 
First Allied Securities, Inc. San Diego CA US 0.0 
First Citizens Financial Plus, Inc. Dyersburg TN US 38.3 
First Citizens Investor Service, Inc. Raleigh NC US 559.0 
First Command Financial Planning, Inc. Ft Worth TX US 9680.8 
First Dallas Securities, Inc. Dallas TX US 149.2 
First Financial Equity Corporation Scottsdale AZ US 2864.5 
First Georgetown Securities, Inc Alexandria VA US 95.5 
First Kentucky Securities Corporation Louisville KY US 189.3 
First Manhattan Co New York NY US 19924.5 
First National Capital Markets, Inc. Omaha NE US 139.0 
First Republic Securities Company, LLC San Francisco CA US 0.0 
First Western Advisors Holladay UT US 214.3 
First Western Securities, Inc. Hurst TX US 25.0 
First Wilshire Securities Management, Inc. Pasadena CA US 754.5 
Folger Nolan Fleming Douglas Inc Washington DC US 537.7 
Foothill Securities, Inc. Santa Clara CA US 1157.8 
Forefront Capital Markets LLC New York NY US 41.6 
Foresters Equity Service, Inc. San Diego CA US 13.1 
Founders Financial Securities, LLC Towson MD US 614.5 
Franklin Templeton International Service S.a R.l. Luxembourg LU 0.0 
Franklin Templeton Investment Management Limited London UK 38725.5 
Franklin Templeton Investments asia Limited Hong Kong HK 7534.5 
Franklin Templeton Investments Corporation. Toronto ontario CA 30737.2 
Freedom Investors Corporation. Brookfield WI US 1.8 
Fsb Premier Wealth Management, Inc. Waterloo IA US 13.0 
Fsc Securities Corporation Atlanta GA US 5629.6 
Fsic Edmonds WA US 497.3 
Fsw Advisory Service Inc. Dallas TX US 12.6 
Ftb Advisors, Inc. Memphis TN US 4123.0 
           
 
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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Other Relevant Information
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