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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
Fairway Investment Group, LLC East Lansing MI US 4.4 
Farmers Financial Solutions, LLC Agoura Hills CA USA 0.0 
Federated Securities Corporation. Pittsburgh PA US 0.0 
Feldman, Ingardona & Co Downers Grove IL US 1928.2 
Fiduciary Advisors, LLC Philadelphia PA US 284.6 
Fiduciary Standard, LLC 13.0 
Fieldpoint Private Securities LLC Greenwich CT US 1917.8 
Fifth Third Securities, Inc. Cincinnati OH USA 887.8 
Financial Northeastern Securities, Inc. Fairfield NJ US 0.0 
Financial Planning Group Inc. the Scotch Plains NJ US 2.5 
Financial West Group Westlake Village CA USA 654.0 
First Allied Securities, Inc. San Diego CA USA 0.0 
First Citizens Investor Service, Inc. Raleigh NC US 559.0 
First Dallas Securities, Inc. Dallas TX US 149.2 
First Financial Equity Corporation Scottsdale AZ US 2864.5 
First Financial Securities Of America, Inc. Houston TX US 0.0 
First Georgetown Securities, Inc Alexandria VA US 95.5 
First Kentucky Securities Corporation Louisville KY US 189.3 
First Manhattan Co New York NY USA 20476.5 
First State Financial Management Farmington MO US 0.1 
First Western Advisors Holladay UT US 214.3 
First Western Securities, Inc. Hurst TX US 25.0 
Florida Atlantic Securities Corporation. Miami FL US 0.0 
Folger Nolan Fleming Douglas Inc Washington DC US 537.7 
Foresters Equity Service, Inc. San Diego CA US 16.0 
Founders Financial Securities, LLC Towson MD USA 754.9 
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 USA 6203.1 
Fsic Edmonds WA US 497.3 
Fsw Advisory Service Inc. Dallas TX USA 17.0 
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

Find a Registered Broker-Dealer
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Other Relevant Information
Search SEC-registered hedge funds: http://www.privateequityinfo.com/hedge-funds.php Search Registered Investment Advisors (RIAs): http://www.investmentadvisorsearch.com/index.php



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