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Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
H. Beck, Inc. Bethesda MD US 1825.1 
Hall & Romkema Financial Service, LLC. East Lansing MI US 84.7 
Halsey Associates Inc New Haven CT US 874.4 
Hamilton Cavanaugh & Associates, Inc. North White Plains NY US 2.1 
Hamilton Lane Bala Cynwyd PA US 252870.7 
Hancock Investment Service, Inc. New Orleans LA US 329.8 
Hanson Mcclain Securities Sacramento CA US 0.0 
Hantz Financial Service, Inc. Southfield MI US 589.5 
Hanys Benefit Service Rensselaer NY US 2227.3 
Harbor Financial Service, LLC Mobile AL US 262.8 
Harbor Investment Advisory, LLC Lutherville MD US 1315.0 
Harbour Investments, Inc. Madison WI US 552.4 
Harger And Company, Inc. Baton Rouge LA US 14.7 
Harold Dance Investments Logan UT US 32.0 
Hart Asset Management 0.0 
Hazlett, Burt & Watson, Inc. Wheeling WV US 628.5 
Hefren-tillotson, Inc. Pittsburgh PA US 6161.0 
Hennion & Walsh Asset Management, Inc. Parsippany NJ US 172.5 
Heritage Benefits Investment Management, LLC Bellevue WA US 23.4 
Hermes Econometrics San Rafael CA US 31.0 
Herndon Plant Oakley Limited Corpus Christi TX US 51.6 
Higgins Associates Inc 2.0 
Higgins Capital Management, Inc. La Jolla CA US 1.0 
Hightower Financial Solutions LLC Chicago IL US 0.0 
Hill Country Wealth Management 0.0 
Hilltop Securities Inc. Dallas TX US 927.2 
Hilltop Securities Independent Network Inc. Dallas TX US 244.6 
Hollencrest Capital Management Newport Beach CA US 1165.2 
Horace Mann Investors, Inc. Springfield IL US 0.0 
Horan Wealth Management Cincinnati OH US 112.3 
Hornor, Townsend & Kent, Inc. Horsham PA US 1000.5 
Hsbc Securities usa Inc. New York NY US 2984.9 
Huckin Financial Group, Inc. Houston TX US 34.7 
Hudson Heritage Capital Management, Inc. Croton-on-hudson NY US 97.6 
Hunter Associates LLC Pittsburgh PA US 572.7 
           
 
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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