broker dealer firms Powered By Private Equity Info 
Home Download Data Links Contact Us Broker Dealer Firms is a compilation of SEC registered broker dealer.
 
download Private Equity Firms
Sorted by industry and
acquisition criteria.
View Demo
 
Registered Broker Dealer
           
           
Firm Name City State Country Assets ($M) 
I4 Advisors LLC Indianapolis IN US 9.2 
Ibn Financial Service, Inc Liverpool NY US 26.7 
Imbb Investment Advisors Indianapolis IN US 18.0 
Impactive Advisors LLC Nashville TN US 0.0 
Independence Capital Co., Inc. Parma OH US 36.8 
Independent Financial Group, LLC San Diego CA US 1855.9 
Independent Investment Bankers Corporation. Austin TX US 0.0 
Infinex Investments, Inc. Meriden CT US 579.9 
Infinity Financial Service Oakland CA US 37.0 
Ingalls & Snyder LLC New York NY US 2605.2 
Innovation Partners LLC Charlotte NC US 49.5 
Insight Securities, Inc. Highland Park IL US 151.5 
Institutional Securities Corporation Dallas TX US 538.8 
Integrated Financial Planning Service Heidelberg DE 0.0 
Integrated Investment Strategies,Inc. Carmel IN US 32.0 
Integrity Capital Management 0.0 
Intercarolina Financial Service, Inc. Greensboro NC US 22.3 
Invest Financial Corporation Tampa FL US 4432.3 
Investment Advisors Birmingham AL US 2683.5 
Investment Centers Of America, Inc. Appleton WI US 3132.9 
Investment Professionals, Inc. San Antonio TX US 634.1 
Investments By Planners, Inc. Boca Raton FL US 61.7 
Investors Brokerage Of Texas, Limited. Waco TX US 23.0 
Investors Capital Advisory Lynnfield MA US 1571.3 
           
 
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
Search the www.brokerdealerfirms.com directory using either:
  • Search broker-dealers alphabetically
  • Search broker-dealers by state
  • Search broker-dealers by assets under management
Download Broker-Dealer Firms
To order a download-to-Excel file of broker-dealer firms, visit http://www.brokerdealerfirms.com/download.php

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



DISCLAIMER
This website is for informational purposes only and is not to be construed as a solicitation or an offer to buy or sell any securities or related financial instruments nor an endorsement of any particular investment advisor firm or individual.

No warranty or guarantee of any kind, expressed or implied, is given regarding the accuracy, reliability, veracity, or completeness of the information provided here or by following links from this or any other page within this site, and under no circumstances will the author or service provider be held responsible, or liable for errors, or omissions resulting in any loss or damage caused or alleged to be caused by information contained in the material presented on the site, including but not limited to direct, indirect, incidental, special or consequential damages caused by using the information.




Home | Download Data | Links | Contact Us

©2011- PEI Services Ltd. All Rights Reserved. Terms and Conditions