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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
G. A. Repple & Company Casselberry FL US 207.9 
G.L. Smith & Associates Huntsville AL US 143.3 
Gagnon Securities, LLC New York NY US 191.9 
Garrett Nagle & Co., Inc. Woburn MA US 106.0 
Gbs Retirement Service, Inc. Itasca IL US 0.0 
Ge Asset Management Canada Company Montreal CA 1297.1 
Geneos Wealth Management, Inc. Centennial CO US 2024.1 
Geneva Advisors, LLC Chicago IL US 7825.3 
Geoffrey Richards Securities Corporation. Hypoluxo FL US 0.0 
George Mckelvey Co., Inc. Manasquan NJ US 571.0 
Gerstein Fisher New York NY US 1916.6 
Gilder Gagnon Howe & Co. LLC New York NY US 4557.9 
Gilford Financial Corporation. New York NY US 80.7 
Gill Capital Partners Denver CO US 179.3 
Girard Securities, Inc. San Diego CA US 646.4 
Gladowsky Capital Management Corporation Smithtown NY US 90.8 
Glen Eagle Advisors, LLC Princeton NJ US 128.1 
Global Brokerage Service, Inc. Hunt Valley MD US 0.0 
Gold Coast Securities, Inc. Thousand Oaks CA US 36.8 
Goldman, Sachs & Co. New York NY US 165045.2 
Goodwin Securities, Inc. Albuquerque NM US 6.2 
Googins Advisors, Inc. Middleton WI US 158.9 
Gradient Wealth Management Arden Hills MN US 26.9 
Grail Partners San Francisco CA US 0.0 
Grant Williams L.P. Philadephia PA US 0.0 
Great American Advisors, Inc. Cincinnati OH US 36.1 
Great Nation Investment Corporation Amarillo TX US 0.0 
Green Street Advisors, LLC Newport Beach CA US 0.0 
Greenberg Financial Group Tucson AZ US 174.6 
Greenman Parker Connally Greenman Inc. Fort Worth TX US 50.0 
Gregory J. Schwartz & Co., Inc. Bloomfield Hills MI US 2650.3 
Guggenheim Funds Distributors, LLC Chicago IL US 5612.0 
Guzman & Company Coral Gables FL US 0.0 
Gwn Securities Inc. Palm Beach Gardens FL US 1387.0 
           
 
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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